November 2010 

Comprehensive Preparedness Guide (CPG) 101 

Version 2.0

Developing and Maintaining 

Emergency Operations Plans 
 
I am pleased to announce the release of Version 2.0 of Comprehensive Preparedness Guide 101: 

Developing and Maintaining Emergency Operations Plans. 

Comprehensive Preparedness Guide (CPG) 101 provides guidance for developing emergency operations 

plans. It promotes a common understanding of the fundamentals of risk-informed planning and decision 

making to help planners examine a hazard or threat and produce integrated, coordinated, and 

synchronized plans. The goal of CPG 101 is to assist in making the planning process routine across all 

phases of emergency management and for all homeland security mission areas. This Guide helps planners 

at all levels of government in their efforts to develop and maintain viable, all-hazards, all-threats 

emergency plans. 

Based on input from state, territorial, tribal, and local officials from across the United States, this update 

of CPG 101 expands on the fundamentals contained in the first version. With this edition, greater 

emphasis is placed on representing and engaging the whole community—to include those with access and 

functional needs, children, and those with household pets and service animals. 

Residents and all sectors of the community have a critical role and shared responsibility to take 

appropriate actions to protect themselves, their families and organizations, and their properties. Planning 

that engages and includes the whole community serves as the focal point for building a collaborative and 

resilient community. 

CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. 

Planners in other disciplines, organizations, and the private sector, as well as other levels of government, 

may find this Guide useful in the development of their emergency operations plans. While CPG 101 

maintains its link to previous guidance, it also reflects the reality of the current operational planning 

environment. This Guide integrates key concepts from national preparedness policies and doctrines, as 

well as lessons learned from disasters, major incidents, national assessments, and grant programs. 

 W. Craig Fugate 

 Administrator, Federal Emergency Management Agency 

 
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Preface 

Comprehensive Preparedness Guide (CPG) 101 provides Federal Emergency Management Agency 

(FEMA) guidance on the fundamentals of planning and developing emergency operations plans (EOP). 

CPG 101 shows that EOPs are connected to planning efforts in the areas of prevention, protection, 

response, recovery, and mitigation. Version 2.0 of this Guide expands on these fundamentals and 

encourages emergency and homeland security managers to engage the whole community in addressing all 

risks that might impact their jurisdictions. 

While CPG 101 maintains its link to previous guidance, it also reflects the reality of the current 

operational planning environment. This Guide integrates key concepts from national preparedness 

policies and doctrines, as well as lessons learned from disasters, major incidents, national assessments, 

and grant programs. CPG 101 provides methods for planners to: 

• Conduct community-based planning that engages the whole community by using a planning process 

that represents the actual population in the community and involves community leaders and the 

private sector in the planning process 

• Ensure plans are developed through an analysis of risk 

• Identify operational assumptions and resource demands 

• Prioritize plans and planning efforts to support their seamless transition from development to 

execution for any threat or hazard 

• Integrate and synchronize efforts across all levels of government. 

CPG 101 incorporates the following concepts from operational planning research and day-to-day 

experience: 

• The process of planning is just as important as the resulting document. 

• Plans are not scripts followed to the letter, but are flexible and adaptable to the actual situation. 

• Effective plans convey the goals and objectives of the intended operation and the actions needed to 

achieve them. 

Successful operations occur when organizations know their roles, understand how they fit into the overall 

plan, and are able to execute the plan. 

This Guide is part of a series of CPGs published by FEMA. CPG 101 discusses the steps used to produce 

an EOP, possible plan structures, and components of a basic plan and its annexes. CPGs provide detailed 

information about planning considerations for specific functions, hazards, and threats. 

CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. 

Planners in other disciplines, organizations, and the private sector, as well as other levels of government, 

may find this Guide useful in the development of their EOPs. 

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Comprehensive Preparedness Guide 101 

ii 

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Contents 

INTRODUCTION AND OVERVIEW ....................................................................................... INTRO-1

Purpose .......................................................................................................................................... Intro-1

Applicability and Scope ................................................................................................................ Intro-1

Supersession .................................................................................................................................. Intro-2

How to Use This Guide ................................................................................................................. Intro-2

Suggested Training ........................................................................................................................ Intro-2

National Incident Management System Implementation .............................................................. Intro-2

Administrative Information ........................................................................................................... Intro-2

Revision Process ............................................................................................................................ Intro-3

1. THE BASICS OF PLANNING ........................................................................................................... 1-1

Overview ............................................................................................................................................. 1-1

Planning Fundamentals ....................................................................................................................... 1-1

Planning Principles ....................................................................................................................... 1-1

Strategic, Operational, and Tactical Planning ............................................................................... 1-4

Planning Approaches .................................................................................................................... 1-5

Plan Integration ............................................................................................................................. 1-6

Plan Synchronization .................................................................................................................... 1-7

Common Planning Pitfalls ............................................................................................................ 1-7

Planning Considerations ...................................................................................................................... 1-8

2. UNDERSTANDING THE PLANNING ENVIRONMENT: FEDERAL, STATE, AND LOCAL 

PLANS ...................................................................................................................................................... 2-1

Overview ............................................................................................................................................. 2-1

Relationship Between Federal Plans and State Emergency Operations Plans .................................... 2-1

The National Incident Management System ................................................................................. 2-1

The National Response Framework .............................................................................................. 2-2

Federal Emergency Plans at the National and Regional Levels ................................................... 2-4

State, Territorial, and Tribal Emergency Operations Plans .......................................................... 2-5

Local Emergency Operations Plans .............................................................................................. 2-5

Linking Federal, State, and Local Emergency Plans ........................................................................... 2-6

3. FORMAT AND FUNCTION: IDENTIFYING THE RIGHT PLAN FOR THE JOB ................. 3-1

Overview ............................................................................................................................................. 3-1

The Emergency Operations Plan ......................................................................................................... 3-1

State and Local Emergency Operations Plans .............................................................................. 3-2

Structuring an Emergency Operations Plan......................................................................................... 3-3

Traditional Functional Format ...................................................................................................... 3-4

Emergency Support Function Format ........................................................................................... 3-5

Agency-/Department-Focused Format .......................................................................................... 3-7

Using Planning Templates ................................................................................................................... 3-9

Additional Types of Plans ................................................................................................................... 3-9

Procedural Documents ................................................................................................................ 3-10

Emergency Operations Plan Content ................................................................................................. 3-12

The Basic Plan ............................................................................................................................ 3-12

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Comprehensive Preparedness Guide 101 

iv 

Supporting Annexes .................................................................................................................... 3-15

Hazard-, Threat-, or Incident-Specific Annexes ......................................................................... 3-18

4. THE PLANNING PROCESS ............................................................................................................. 4-1

Overview ............................................................................................................................................. 4-1

Steps in the Planning Process .............................................................................................................. 4-1

Step 1: Form a Collaborative Planning Team ............................................................................... 4-2

Step 2: Understand the Situation ................................................................................................... 4-7

Step 3: Determine Goals and Objectives .................................................................................... 4-11

Step 4: Plan Development ........................................................................................................... 4-12

Step 5: Plan Preparation, Review, and Approval ........................................................................ 4-16

Step 6: Plan Implementation and Maintenance ........................................................................... 4-25

APPENDIX A: AUTHORITIES AND REFERENCES ...................................................................... A-1

APPENDIX B: LIST OF ACRONYMS AND GLOSSARY ............................................................... B-1

APPENDIX C: EMERGENCY OPERATIONS PLAN DEVELOPMENT GUIDE ........................ C-1

APPENDIX D: SUGGESTED TRAINING .......................................................................................... D-1
Introduction and Overview 

Purpose 

Comprehensive Preparedness Guide (CPG) 101 provides guidelines on developing emergency operations 

plans (EOP). It promotes a common understanding of the fundamentals of risk-informed planning and 

decision making to help planners examine a hazard or threat and produce integrated, coordinated, and 

synchronized plans. The goal of CPG 101 is to make the planning process routine across all phases of 

emergency management and for all homeland security mission areas. This Guide helps planners at all 

levels of government in their efforts to develop and maintain viable all-hazards, all-threats EOPs. 

Accomplished properly, planning provides a methodical way to engage the whole community in thinking 

through the life cycle of a potential crisis, determining required capabilities, and establishing a framework 

for roles and responsibilities. It shapes how a community envisions and shares a desired outcome, selects 

effective ways to achieve it, and communicates expected results. Each jurisdiction’s plans must reflect 

what that community will do to address its specific risks with the unique resources it has or can obtain. 

Planners achieve unity of purpose through 

coordination and integration of plans across all 

levels of government, nongovernmental 

organizations, the private sector, and individuals 

and families. This supports the fundamental 

principle that, in many situations, emergency management and homeland security operations start at the 

local level and expand to include Federal, state, territorial, tribal, regional, and private sector assets as the 

affected jurisdiction requires additional resources and capabilities. Plans must, therefore, integrate 

vertically to ensure a common operational focus. Similarly, horizontal integration ensures that individual 

department and agency EOPs fit into the jurisdiction’s plans, and that each department or agency 

understands, accepts, and is prepared to execute identified mission assignments. Incorporating vertical 

and horizontal integration into a shared planning community ensures that the sequence and scope of an 

operation are synchronized. 

“Let our advance worrying become advanced thinking 

and planning.” 

Winston Churchill 

A shared planning community increases the likelihood of integration and synchronization, makes 

planning cycles more efficient and effective, and makes plan maintenance easier. 

Applicability and Scope 

The Federal Emergency Management Agency (FEMA) recommends that teams responsible for 

developing EOPs use CPG 101 to guide their efforts. It provides a context for emergency planning in 

light of other existing plans and describes a universal planning process. This Guide recognizes that many 

jurisdictions across the country have already developed EOPs that address many emergency management 

operations. Therefore, CPG 101 establishes no immediate requirements, but suggests that the next 

iteration of all EOPs follow this guidance. 

Additionally, regulatory requirements may necessitate the use of additional guides for the development of 

certain EOP annexes (e.g., the requirements for the Radiological Emergency Preparedness Program). 

CPG 101 has been designed to complement the use of those guides where required by law or regulation. 

 Intro-1 
Comprehensive Preparedness Guide 101 

Supersession 

CPG 101 replaces State and Local Guide 101, which is rescinded. In addition, CPG 101 Version 2.0 

supersedes CPG 101 Version 1.0, which is rescinded. CPG 101 Version 2.0 also supersedes the Interim 

CPG 301, which is rescinded. 

How to Use This Guide 

CPG 101 is designed to help both novice and experienced planners navigate the planning process. Used in 

its entirety, this Guide provides information and instruction on the fundamentals of planning and their 

application. Chapters 1 and 2 lay the foundation for planning efforts by providing information on the 

basics of planning (Chapter 1) and the environment within which planners function (Chapter 2). With an 

understanding of these fundamentals, the Guide then transitions from theory to practice by discussing the 

different plan formats and functions (Chapter 3) and moving into an explanation of the planning process 

(Chapter 4). A detailed checklist, building upon Chapters 3 and 4, is provided in Appendix C. Because 

Appendix C provides a set of detailed questions to consider throughout the planning process, users are 

encouraged to copy or remove this checklist and employ it as they work through the planning process in 

Chapter 4. 

Suggested Training 

To use this Guide to its fullest, users will benefit from training in emergency management and emergency 

planning. Appendix D provides a suggested list of training courses to increase users’ understanding of 

emergency management and emergency planning concepts. 

National Incident Management System 

Implementation 

In November 2005, FEMA’s National Integration Center published guides for integrating National 

Incident Management System (NIMS) concepts into EOPs.1

 CPG 101 incorporates the concepts and 

suggestions found in those documents, which have been discontinued. 

Administrative Information 

Terms and acronyms in the text come from the FEMA Acronyms, Abbreviations, and Terms; the National 

Response Framework (NRF); the NIMS; or the Homeland Security Act of 2002. Websites referenced in 

this Guide were active at the time of its publication. 

CPG 101 uses the following contextual definitions for incident, state, and local government throughout 

the document: 

• Incident means an occurrence or event—natural, technological, or human-caused—that requires a 

response to protect life, property, or the environment (e.g., major disasters, emergencies, terrorist 

attacks, terrorist threats, civil unrest, wildland and urban fires, floods, hazardous materials 

[HAZMAT] spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical 

 

1 State NIMS Integration: Integrating the National Incident Management System into State Emergency Operations Plans and 

Standard Operating Procedures 

Local and Tribal NIMS Integration: Integrating the National Incident Management System into Local and Tribal Emergency 

Operations Plans and Standard Operating Procedures 

Intro-2 
Introduction and Overview 

storms, tsunamis, war-related disasters, public health and medical emergencies, other occurrences 

requiring an emergency response). 

• State means any state of the United States, and includes the District of Columbia, the Commonwealth 

of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern 

Mariana Islands, a Native American Tribe or organization,2

 an Alaska native village or Regional 

Native Corporation, and any possession of the United States. 

• Local government means: 

– A county, municipality, city, town, township, local public authority, school district, special 

district, intrastate district, council of governments (regardless of whether the council of 

governments is incorporated as a not-for-profit corporation under state law), regional or interstate 

government entity, or agency or instrumentality of a local government 

– A rural community, unincorporated town or village, or other public entity. 

Revision Process 

FEMA will revise CPG 101, as needed, and issue change pages through the publication distribution 

system and online through approved sources. 

FEMA welcomes recommendations on how to improve this Guide so it better serves the needs of the 

emergency management community. Provide recommendations for improving this Guide to: 

NPD-Planning@dhs.gov, ATTN: CPG Initiative – 101. 

 

2

 FEMA recognizes that a tribe’s right of self-government flows from the inherent sovereignty of tribes as nations and that the 

Federally-recognized tribes have a unique and direct relationship with the Federal Government. 

 Intro-3 
Comprehensive Preparedness Guide 101 

Intro-4 

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1. The Basics of Planning 

Overview 

The elected and appointed leaders in each jurisdiction are responsible for ensuring that necessary and 

appropriate actions are taken to protect people and property from any threat or hazard. When threatened 

by any hazard, citizens expect elected or appointed leaders to take immediate action to help them resolve 

the problem. Citizens expect the government to marshal its resources, channel the efforts of the whole 

community—including voluntary organizations and the private sector—and, if necessary, solicit 

assistance from outside the jurisdiction. 

Residents and all sectors of the community have a critical role and shared responsibility to take 

appropriate actions to protect themselves, their families and organizations, and their properties. Planning 

that includes the whole community builds a resilient community.3

This chapter serves as a foundation for the rest of the Guide by providing an overview of the basics of 

planning. It describes how risk-informed, community-based planning supports decision making. This 

chapter also discusses key planning concepts, effective planning, and planning pitfalls. 

Planning Fundamentals 

Planning Principles 

A

p

pplying the following principles to the planning process is key to developing an all-hazards plan for 

rotecting lives, property, and the environment: 

Planning must be community-based, 

representing the whole population and its 

needs. Understanding the composition of the 

population—such as accounting for people with 

disabilities, others with access and functional 

needs, and for the needs of children—must occur 

from the outset of the planning effort. For 

example, the demographics of the population, including its resources and needs, have a profound effect on 

evacuation, shelter operations, and family reunification.4

 Another key consideration is the integration of 

household pets and service animals into the planning process. Many individuals may make decisions on 

whether to comply with protective action measures based on the jurisdiction’s ability to address the 

concerns about their household pets and service animals. Establishing a profile of the community will also 

let planners know if courses of action are feasible. For example, if the majority of the actual resident 

population do not own cars, then planning efforts must account for greater transportation resource 

requirements than if the population was predominately composed of car-owning households. The 

businesses that comprise your jurisdiction must also be a part of your demographics—your jurisdiction 

Community-based planning is the concept that 

planning must not only be representative of the actual 

population within the community, but also must involve 

the whole community in the planning process. The 

process for engaging the whole community in 

community-based planning is discussed in Chapter 4.

 

3

 Per the Department of Homeland Security Risk Lexicon (http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf), resiliency is the 

ability for governments, infrastructures, systems, businesses, and citizenry to resist, absorb, recover from, or adapt to an adverse 

occurrence that may cause harm or destruction to our health, safety, economic well-being, essential services, or public confidence. 4

 Planners should ensure compliance with the requirements of Title VI of the Civil Rights Act of 1964, Executive Order 13166, the 

Americans with Disabilities Act, Section 504 of the Rehabilitation Act, and other Federal, state, or local laws and anti-discrimination 

laws. 

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Comprehensive Preparedness Guide 101 

may house the only business providing a critical resource to your area or the Nation. By fully 

understanding the composition and requirements of the actual population (including all segments of the 

community), community-based plans will lead to improved response and recovery activities and, 

ultimately, overall preparedness. 

Planning must include participation from all stakeholders in the community. Effective planning 

ensures that the whole community is represented and involved in the planning process. The most realistic 

and complete plans are prepared by a diverse planning team, including representatives from the 

jurisdiction’s departments and agencies, civic leaders, businesses, and organizations (e.g., civic, social, 

faith-based, humanitarian, educational, advocacy, professional) who are able to contribute critical 

perspectives and/or have a role in executing the plan. The demographics of the community will aid in 

determining who to involve as the planning team is constructed. Including community leaders 

representative of the entire community in planning reinforces the expectation that the community 

members have a shared responsibility and strengthens the public motivation to conduct planning for 

themselves, their families, and their organizations. For example, it is essential to incorporate individuals 

with disabilities or specific access and functional needs and individuals with limited English proficiency, 

as well as the groups and organizations that support these individuals, in all aspects of the planning 

process. When the plan considers and incorporates the views of the individuals and organizations 

assigned tasks within it, they are more likely to accept and use the plan. 

Planning uses a logical and analytical problem-solving process to help address the complexity and 

uncertainty inherent in potential hazards and threats. By following a set of logical steps that includes 

gathering and analyzing information, determining operational objectives, and developing alternative ways 

to achieve the objectives, planning allows a jurisdiction or regional response structure to work through 

complex situations. Planning helps a jurisdiction identify the resources at its disposal to perform critical 

tasks and achieve desired outcomes/target levels of performance. Rather than concentrating on every 

detail of how to achieve the objective, an effective plan structures thinking and supports insight, 

creativity, and initiative in the face of an uncertain and fluid environment. While using a prescribed 

planning process cannot guarantee success, inadequate plans and insufficient planning are proven 

contributors to failure. 

Planning considers all hazards and threats. While the causes of emergencies can vary greatly, many of 

the effects do not. Planners can address common operational functions in their basic plans instead of 

having unique plans for every type of hazard or threat. For example, floods, wildfires, HAZMAT releases, 

and radiological dispersal devices may lead a jurisdiction to issue an evacuation order and open shelters. 

Even though each hazard’s characteristics (e.g., speed of onset, size of the affected area) are different, the 

general tasks for conducting an evacuation and shelter operations are the same. Planning for all threats and 

hazards ensures that, when addressing emergency functions, planners identify common tasks and those 

responsible for accomplishing the tasks. 

Planning should be flexible enough to address both traditional and catastrophic incidents. Scalable 

planning solutions are the most likely to be understood and executed properly by the operational 

personnel who have practice in applying them. Planners can test whether critical plan elements are 

sufficiently flexible by exercising them against scenarios of varying type and magnitude. In some cases, 

planners may determine that exceptional policies and approaches are necessary for responding to and 

recovering from catastrophic incidents. These exceptional planning solutions should be documented 

within plans, along with clear descriptions of the triggers that indicate they are necessary. 

Plans must clearly identify the mission and supporting goals (with desired results). More than any 

other plan element, the clear definition of the mission and supporting goals (which specify desired 

results/end-states) enables unity of effort and consistency of purpose among the multiple groups and 

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1. The Basics of Planning 

activities involved in executing the plan. Every other plan element should be designed and evaluated 

according to its contributions to accomplishing the mission and achieving the goals and desired results. 

Planning depicts the anticipated environment for action. This anticipation promotes early 

understanding and agreement on planning assumptions and risks, as well as the context for interaction. In 

situations where a specific hazard has not been experienced, planning provides the opportunity to 

anticipate conditions and systematically identify potential problems and workable solutions. Planners 

should review existing EOPs to ensure current assumptions are still necessary and valid. After-action 

reports (AAR) of recent emergency operations and exercises in the jurisdiction will help planners develop 

a list of lessons learned to address when updating plans. 

Planning does not need to start from scratch.

Planners should take advantage of the experience 

of other planners, as well as plans generated by 

other jurisdictions. Further, many states publish 

their own standards and guidance for emergency 

planning, conduct workshops and training courses, 

and assign their planners to work with local 

planners. FEMA offers resident, locally presented, 

and independent study emergency planning courses. FEMA also publishes guidance related to planning 

for specific functions and risks. By participating in this training and reviewing existing emergency or 

contingency plans, planners can: 

Key infrastructure sectors, often owned and operated 

by the private sector, are frequently well prepared to 

maintain their business continuity and protect their 

employees. Their planning often follows recognized 

industry standards or established regulatory 

requirements. Use key infrastructure planning to 

complement State and local planning. 

• Identify applicable authorities and statutes 

• Gain insight into community risk perceptions 

• Identify organizational arrangements used in the past 

• Identify mutual aid agreements (MAA) with other jurisdictions 

• Identify private sector planning that can complement and focus public sector planning 

• Learn how historical planning issues were resolved 

• Identify preparedness gaps. 

Planning identifies tasks, allocates resources to accomplish those tasks, and establishes 

accountability. Decision makers must ensure that they provide planners with clearly established priorities 

and adequate resources; additionally, planners and plan participants should be held accountable for 

effective planning and execution. 

Planning includes senior officials throughout the process to ensure both understanding and 

approval. Potential planning team members have many day-to-day concerns but must be reminded that 

emergency planning is a high priority. Senior official buy-in helps the planning process meet 

requirements of time, planning horizons, simplicity, and level of detail. The more involved decision 

makers are in planning, the better the planning product will be. 

The emergency or homeland security planner, hereafter referred to simply as “planner,” must reaffirm the 

senior official’s understanding that planning is an iterative, dynamic process that ultimately facilitates his 

or her job in a crisis situation by: 

• Identifying and sharing the hazard, risk, and threat analyses for the jurisdiction 

• Discussing readiness and capability assessments, as well as exercise critiques 

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Comprehensive Preparedness Guide 101 

• Describing what the government body and the senior official will have to do prior to, during, and after 

an incident to either prevent or minimize the incident’s impact. 

Senior officials play a critical role in determining when and which plans should be developed or revised. 

Additionally, they customarily have the authority to approve the final product in coordination with key 

stakeholders. By participating throughout the planning process, senior officials will better understand how 

to implement the plan during an incident. 

Time, uncertainty, risk, and experience influence planning. These factors define the starting point 

where planners apply appropriate concepts and methods to create solutions to particular problems. 

Planning is, therefore, often considered to be both an art and a science in that successful planners are able 

to draw from both operational experience and an understanding of emergency management principles, but 

also are intuitive, creative, and have the ability to anticipate the unexpected. While the science and 

fundamental principles of planning can be learned through training and experience, the art of planning 

requires an understanding of the dynamic relationships among stakeholders, of special political 

considerations, and of the complexity imposed by the situation. Because this activity involves judgment 

and the balancing of competing demands, plans should not be overly detailed—to be followed by the 

letter—or so general that they provide insufficient direction. Mastering the balance of art and science is 

the most challenging aspect of becoming a successful planner. 

Effective plans tell those with operational responsibilities what to do and why to do it, and they 

instruct those outside the jurisdiction in how to provide support and what to expect. Plans must 

clearly communicate to operational personnel and support providers what their roles and responsibilities 

are and how those complement the activities of others. There should be no ambiguity regarding who is 

responsible for major tasks. This enables personnel to operate as a productive team more effectively, 

reducing duplication of effort and enhancing the benefits of collaboration. 

Planning is fundamentally a process to manage risk. Risk 

management is a process by which context is defined, risks are 

identified and assessed, and courses of action for managing 

those risks are analyzed, decided upon, and implemented, 

monitored, and evaluated. As part of the process, planning is a 

tool that allows for systematic risk management to reduce or 

eliminate risks in the future. 

Planning is one of the key components of the preparedness 

cycle. The preparedness cycle (Figure 1.1) illustrates the way 

that plans are continuously evaluated and improved through a 

cycle of planning, organizing, training, equipping, exercising, 

evaluating, and taking corrective action. 

Strategic, Operational, and Tactical Planning 

There are three tiers of planning: strategic planning, operational 

planning, and tactical (incident scene) planning. Strategic planning sets the context and expectations for 

operational planning, while operational planning provides the framework for tactical planning. All three 

tiers of planning occur at all levels of government. 

Figure 1.1: The Preparedness Cycle

Strategic plans describe how a jurisdiction wants to meet its emergency management or homeland 

security responsibilities over the long-term. These plans are driven by policy from senior officials and 

establish planning priorities. 

1-4 
1. The Basics of Planning 

Operational plans provide a description of roles and responsibilities, tasks, integration, and actions 

required of a jurisdiction or its departments and agencies during emergencies. Jurisdictions use plans to 

provide the goals, roles, and responsibilities that a jurisdiction’s departments and agencies are assigned, 

and to focus on coordinating and integrating the activities of the many response and support organizations 

within a jurisdiction. They also consider private sector planning efforts as an integral part of communitybased planning, and to ensure efficient allocation of resources. Department and agency plans do the same 

thing for the internal elements of those organizations. Operational plans tend to focus more on the broader 

physical, spatial, and time-related dimensions of an operation; thus, they tend to be more complex and 

comprehensive, yet less defined, than tactical plans. 

Tactical plans focus on managing personnel, equipment, and resources that play a direct role in an 

incident response. Pre-incident tactical planning, based upon existing operational plans, provides the 

opportunity to pre-identify personnel, equipment, exercise, and training requirements. These gaps can 

then be filled through various means (e.g., mutual aid, technical assistance, updates to policy, 

procurement, contingency leasing). 

Figure 1.2: Relationship Between Strategic, Operational, and Tactical Planning 

Comprehensive and integrated planning can help other levels of government plan their response to an 

incident within a jurisdiction. By knowing the extent of the jurisdiction’s capability, supporting planners 

can pre-identify shortfalls and develop pre-scripted resource requests. 

Planning Approaches 

Planners use a number of approaches, either singly or in combination, to develop plans: 

• Scenario-based planning. This approach starts with building a scenario for a hazard or threat. Then, 

planners analyze the impact of the scenario to determine appropriate courses of action. Planners 

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Comprehensive Preparedness Guide 101 

typically use this planning concept to develop planning assumptions, primarily for hazard- or threatspecific annexes to a basic plan. 

• Function-based planning (functional planning). This approach identifies the common functions that 

a jurisdiction must perform during emergencies. Function-based planning defines the function to be 

performed and some combination of government agencies and departments responsible for its 

performance as a course of action. 

• Capabilities-based planning. This approach focuses on a jurisdiction’s capacity to take a course of 

action. Capabilities-based planning answers the question, “Do I have the right mix of training, 

organizations, plans, people, leadership and management, equipment, and facilities to perform a 

required emergency function?” Some planners view this approach as a combination of scenario- and 

function-based planning because of its “scenario-to-task-to-capability” focus. 

In reality, planners commonly use a combination of the three previous approaches to operational 

planning. This hybrid planning approach provides the basis for the planning process discussed in 

Chapter 4. Using the hybrid approach converts requirements generated by a scenario into goals and 

objectives that drive the planning process. It leads to a basic plan that describes overarching roles, 

relationships, and responsibilities with functional, hazard, and threat annexes that reflect sequencing of 

actions. A hybrid planning approach helps identify the courses of action that a jurisdiction must be able to 

take and the required functions it must perform based upon a comprehensive risk analysis; thus, it helps 

identify the capabilities a jurisdiction must have. FEMA strongly advocates the hybrid approach. 

Plan Integration 

National guidance and consensus standards expect that a jurisdiction’s plans will be coordinated and 

integrated among all levels of government and with critical infrastructure planning efforts. The NIMS and 

NRF support a concept of layered operations. They recognize that all incidents start at the local level, and, 

as needs exceed resources and capabilities, Federal, state, territorial, tribal, regional, and private sector 

assets are applied. This approach means that planning must be vertically integrated to ensure that all 

response levels have a common operational focus. Similarly, planners at each level must ensure that 

department and supporting agency plans fit into their jurisdiction’s concept of operations (CONOPS) 

through horizontal integration. Planners must also appropriately integrate the community’s 

nongovernmental and private sector plans and resources. 

Vertical integration is the meshing of planning both up and down the various levels of government. It 

follows the concept that the foundation for operations is at the local level and that support from Federal, 

state, territorial, tribal, regional, and private sector entities is layered onto the local activities. This means 

that as a planning team identifies a support requirement from a “higher level” during the planning 

process, the two levels work together to resolve the situation. Chapter 2 presents a concept for vertical 

integration. 

Horizontal integration serves two purposes. First, it integrates operations across a jurisdiction. For 

example, an agency, department, or sector would write its plan or standard operating procedures/standard 

operating guidelines (SOPs/SOGs) for its role in an evacuation to fit the controlling jurisdiction’s plan for 

such an evacuation. Horizontal integration allows departments and support agencies to produce plans that 

meet their internal needs or regulatory requirements and still integrate into the EOP. Second, horizontal 

integration ensures that a jurisdiction’s set of plans supports its neighboring or partner jurisdictions’ 

similar sets of plans. A jurisdiction’s plan should include information about mission assignments that it 

executes in conjunction with, in support of, or with support from its neighbors or partners. 

1-6 
1. The Basics of Planning 

Plan Synchronization 

The concept of sequencing creates effective EOPs that are synchronized in time, space, and purpose. Four 

planning concepts help sequence operations: phasing, branches, planning horizons, and forward and 

reverse planning. 

Phasing. A phase is a specific part of an operation that is distinctly different from the ones that precede or 

follow. For example, a set of phases might include routine operations, heightened awareness, 

mobilization-activation-deployment, incident response, and transition to recovery. Planners often use the 

factors of time, distance, geography, resources, and critical events to define phase lengths. 

Branches. A branch is an option built into an EOP. For example, a hurricane may affect a certain state by 

moving up its coast, by moving inland and traveling up a large bay, or by taking a more middle track that 

affects both areas. While many elements of the plan would be the same for all three scenarios, the change 

in track could affect response activities. Under the concept of branching, the hurricane annex of an EOP 

would provide options for each major contingency, therefore allowing the planner to anticipate different 

requirements and courses of action. Planners use branches only for major, critical options and not for 

every possible variation in the response. 

Planning horizon. A planning horizon is a point in time that planners use to focus the planning effort. 

Because no one can predict when most incidents will occur, planners typically use planning horizons 

expressed in months to years when developing EOPs. For example, the base components of an EOP may 

be updated on a two- to three-year cycle, while key annexes may be on a shorter cycle. Since planners 

develop these plans with little or no specific knowledge of how a future incident will evolve, the plan 

must describe broad concepts that allow for quick and flexible operations. They must allow for several 

courses of action and project potential uses of organizations and resources during those operations. 

Planners should view plans as living contingency plans because they provide the starting point for 

response operations if and when an emergency occurs. 

Forward and reverse planning. Forward planning starts with (assumed) present conditions and lays out 

potential decisions and actions forward in time, building an operation step-by-step toward the desired goal 

or objective. Conversely, reverse planning starts with the end in mind and works backward, identifying 

the objectives necessary and the related actions to achieve the desired end-state. When using reverse 

planning, it is essential to have a well-defined goal or objective. In practice, planners usually use a 

combination of the two methods: they use forward planning to look at what is feasible in the time allotted 

and use reverse planning to establish the desired goal (or end-state) and related objectives. 

Common Planning Pitfalls 

The most common planning pitfall is the development of lengthy, overly detailed plans that those 

responsible for their execution do not read. A plan that tries to cover every conceivable condition or that 

attempts to address every detail will only frustrate, constrain, and confuse those charged with its 

implementation. Successful plans are simple and flexible. 

Another major pitfall faced by planners is failing to account for the community’s needs, concerns, 

capabilities, and desire to help. Often, plans are written based on the “average citizen” or mirror image of 

the planners. However, communities are diverse and comprise a wide variety of people, including those 

with access and functional needs, those requiring the support of service animals, and those who cannot 

independently care for themselves, such as children. This also includes diverse racial and ethnic 

populations and immigrant communities. Failing to base planning on the demographics and requirements 

of the particular community may lead to false planning assumptions, ineffective courses of action, and 

inaccurate resource calculations. Related to this pitfall is the notion that responders are the only people 

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who can take action. The public often does their work before responders arrive. The community must be 

engaged in the planning process and included as an integral part of the plan. 

Planning is only as good as the information on which it is based. Too often, planners rely on untested 

assumptions or uncoordinated resources. Planners should ensure that they have adequately validated 

assumptions and properly coordinated with those agencies/entities that they include in their plan. 

Planning needs may be coordinated directly with a required agency/entity via a memorandum of 

agreement (MOA)/memorandum of understanding (MOU) or by signatory of a designated representative. 

Planning is not a theoretical process that occurs without an understanding of the community, nor is it a 

scripting process that tries to prescribe hazard actions and response actions with unjustified precision. 

Community-based plans provide a starting point for operations, adjusting as the situation dictates and as 

facts replace planning assumptions. 

Planning Considerations 

Emergency planning includes the key areas involved in addressing any threat or hazard: prevention, 

protection, response, recovery, and mitigation. Integrating the key areas as part of the overall planning 

effort allows jurisdictions to produce an effective EOP and advance overall preparedness. 

Prevention consists of actions that reduce risk from human-caused incidents, primarily terrorism (see 

Figure 1.3). Prevention planning can also help mitigate secondary or opportunistic incidents that may 

occur after the primary incident. Incorporating prevention methods into the comprehensive planning 

process also helps a jurisdiction identify information or intelligence requirements that support the overall 

planning process. 

Figure 1.3: Types of Hazards 

Protection reduces or eliminates a threat to people, property, and the environment. Primarily focused on 

adversarial incidents, the protection of critical infrastructure and key resources (CIKR) is vital to local 

jurisdictions, national security, public health and safety, and economic vitality. Protection planning 

safeguards citizens and their freedoms, critical infrastructure, property, and the economy from acts of 

terrorism, natural disasters, or other emergencies. It includes actions or measures taken to cover or shield 

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1. The Basics of Planning 

assets from exposure, injury, or destruction. 

Protective actions may occur before, during, or 

after an incident and prevent, minimize, or 

contain the impact of an incident. 

Response embodies the actions taken in the 

immediate aftermath of an incident to save and 

sustain lives, meet basic human needs, and 

reduce the loss of property and the effect on 

critical infrastructure and the environment. 

Following an incident, response operations 

reduce the physical, psychological, social, and 

economic effects of an incident. Response 

planning provides rapid and disciplined incident 

assessment to ensure a quickly scalable, 

adaptable, and flexible response. It incorporates 

national response doctrine as presented in the 

NRF, which defines basic roles and 

responsibilities for incident response across all 

levels of government and the private sector. 

Recovery encompasses both short-term and 

long-term efforts for the rebuilding and 

revitalization of affected communities. 

Recovery planning builds stakeholder 

partnerships that lead to community restoration 

and future sustainability and resiliency.5

Recovery planning must provide for a near-seamless transition from response activities to short-term 

recovery operations—including restoration of interrupted utility services, reestablishment of 

transportation routes, and the provision of food and shelter to displaced persons. Planners should design 

long-term recovery plans to maximize results through the efficient use of resources and incorporate 

national recovery doctrine. A recovery plan should address: 

Planning for Adaptive versus Non-Adaptive Risks

One of the fundamental challenges planners face is how 

to address, through their planning efforts, the differences 

in risk that a hazard or threat poses to a jurisdiction. One 

way to focus those efforts is to determine whether the 

hazard’s or threat’s risk is adaptive or non-adaptive. A 

hazard or threat shows adaptive risk if it has the ability to 

change its behavior or characteristics in reaction to 

protection, prevention, response, or recovery measures 

taken by a jurisdiction. Only human-caused hazards or 

adversarial threats, such as civil disturbances or 

terrorism, have adaptive risk characteristics. When facing 

a hazard or threat characterized by adaptive risk, 

planners must continually evaluate and evolve their plans 

as the adversary learns and adapts to existing plans. 

Natural and technological hazards fall into the category of 

non-adaptive risks. Their physical characteristics and 

disaster dimensions do not change when a jurisdiction 

takes preventive, protective, or mitigation measures. 

Plans for such hazards tend to be more stable, requiring 

change only as the characteristics of the jurisdiction 

change. Traditional mitigation activities are most 

appropriate to deal with these risks. It is important to 

remember that this is not a “black and white” 

differentiation—extremist groups may take the opportunity 

presented by a hurricane (non-adaptive risk) to launch a 

terrorist attack (adaptive risk). 

• Recovery-related MAAs and regional compacts 

• Prewritten emergency ordinances that facilitate recovery operations, such as those dealing with road 

closures, debris removal, and expedited permitting 

• Continuity of government (COG) operations (may also be addressed in a separate continuity of 

operations [COOP] plan) 

• Strategies for including civic leaders and the public in the recovery decision-making process 

• Community efforts that affect mitigation processes with the potential to reduce the effects of a threat 

or incident. 

Mitigation, with its focus on the impact of a hazard, encompasses the structural and non-structural 

approaches taken to eliminate or limit a hazard’s presence; peoples’ exposure; or interactions with people, 

property, and the environment. The emphasis on sustained actions to reduce long-term risk differentiates 

 

5

 Sustainability refers to decision making that does not reduce the options of future generations, but passes on to them a natural, 

economic, and social environment that provides a high quality of life. Resiliency refers to the ability to resist, absorb, recover from, 

or successfully adapt to adversity or a change in conditions. 

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mitigation from those tasks that are required to survive an emergency safely. Examples of mitigation 

activities include: 

• Complying with or exceeding National Flood Insurance Program floodplain management regulations 

• Enforcing stringent building codes, flood-proofing requirements, seismic design standards, and windbracing requirements for new construction or repairing existing buildings 

• Adopting zoning ordinances that steer development away from areas subject to flooding, storm surge, 

or coastal erosion 

• Retrofitting public buildings to withstand ground shaking or hurricane-strength winds 

• Acquiring damaged homes or businesses in flood-prone areas, relocating the structures, and returning 

the property to open space, wetlands, or recreational uses 

• Building community shelters and tornado safe rooms to help protect people in their homes, public 

buildings, and schools in hurricane- and tornado-prone areas. 
2. Understanding the 

Planning Environment: 

Federal, State, and Local 

Plans 

Overview 

Understanding the basics of planning is critical to the planner’s role. Building on that understanding, this 

chapter explains the environment within which this planning occurs, outlines the links between different 

levels of government, and summarizes how planning considerations shape the content of the NRF, 

Federal plans, and state/local EOPs. 

Relationship Between Federal Plans and State 

Emergency Operations Plans 

Federal plans and state EOPs describe each respective government-level approach to emergency 

operations. Because these levels of government all provide support to emergency operations conducted at 

the local level, there are similar and overlapping functions in their plans. 

As indicated in Chapter 1, all levels of government must coordinate plans vertically to ensure a singular 

operational focus. The goal is to ensure the effectiveness of combined Federal and state operations 

through integration and synchronization. Key concepts for a national planning structure—integration and 

synchronization—serve different but equally important purposes in linking Federal plans and state EOPs. 

From the Federal perspective, integrated planning helps answer the question of how Federal agencies and 

departments add the right resources at the right time to support state and local operations. From the states’ 

perspectives, integrated planning provides answers to questions about which other organizations to work 

with and where to obtain resources. 

The National Incident Management System 

NIMS provides a consistent framework for incident management, regardless of the cause, size, or 

complexity of the incident. NIMS provides the Nation’s first responders and authorities with the same 

foundation for incident management for all hazards. The Incident Command System (ICS) is a critical 

component of NIMS and is used to manage all domestic incidents. 

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As part of the development of EOPs, institutionalizing NIMS means that government officials: 

• Adopt NIMS through executive order, proclamation, or legislation as the jurisdiction’s official 

incident response system 

• Direct all incident managers and response organizations in their jurisdictions to train, exercise, and 

use NIMS in their response operations 

• Integrate NIMS into functional, system-wide emergency operations policies, plans, and procedures 

• Provide ICS training for responders, supervisors, and command-level officers 

• Conduct exercises for responders at all levels, including responders from all disciplines and 

jurisdictions. 

Depending on the jurisdiction, institutionalization means that an EOP should: 

• Use ICS and the multiagency coordination system to manage and support all incidents, including 

recurring and/or planned special events 

• Integrate all response agencies and entities into a single, seamless system, from the incident command 

post, to the department emergency operations centers (EOC) and local EOCs, to the state EOC, and to 

regional- and national-level entities 

• Develop and implement a public information plan 

• Identify and characterize all resources according to established standards and types 

• Ensure that all personnel are trained properly for the jobs they perform and the training is validated 

• Ensure interoperability, accessibility, and redundancy of communications. 

Planners should consider each of these requirements as they develop or revise their jurisdiction’s EOP. 

The National Response Framework 

The NRF is a guide to how the Nation conducts all-hazards incident response. The NRF states that each 

Federal department or agency must also plan for its role in incident response. Virtually every Federal 

department and agency possesses resources that a jurisdiction may need when responding to an incident. 

Some Federal departments and agencies have primary responsibility for specific aspects of incident 

response, such as HAZMAT remediation. Others may have supporting roles in providing different types 

of resources, such as communications personnel and equipment. Regardless of their roles, all Federal 

departments and agencies must develop policies, plans, and procedures governing how they will 

effectively locate resources and provide them as part of a coordinated Federal response. The planning 

considerations described for response can also guide prevention and protection planning. 

Planning Considerations 

The NRF identifies government responsibility to develop detailed all-hazards/all-threats EOPs. It states 

these plans should: 

• Define leadership roles and responsibilities and clearly articulate the decisions that need to be made, 

who will make them, and when 

• Include an all-hazards basic plan, as well as hazard- and threat-specific annexes 

• Integrate and incorporate key private sector and nongovernmental elements 

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2. Understanding the Planning Environment: Federal, State, and Local Plans 

• Include strategies for both no-notice and forewarned evacuations, with particular consideration given 

to assisting children, as well as individuals with disabilities, access and functional needs, or limited 

English proficiency. 

State, Territorial, and Tribal Government Planning 

State, territorial, and tribal governments have significant resources of their own, including emergency 

management and homeland security agencies, police departments, health agencies, transportation 

agencies, incident management teams, specialized teams, and the National Guard. The NRF states that the 

role of a state government during emergency response is to supplement local efforts before, during, and 

after a disaster or emergency situation. If a state anticipates that its needs may exceed its resources, the 

Governor can request assistance from other states through MAAs (e.g., Emergency Management 

Assistance Compact) and/or from the Federal Government. 

Local Government Planning Resilient Communities and Planning

Resilience, broadly defined, is the ability to 

resist, absorb, recover from, or adapt to an 

adverse occurrence. Engaging the community 

in the planning process will improve 

community resiliency by increasing the 

understanding of threats and hazards, 

participating in the planning process, and 

communicating the expected actions for the 

community to undertake during an 

emergency. 

At the local and state level, this entails 

knowing the community and its 

demographics, as well as involving both the 

formal and informal community leadership 

structure in the planning process. This is true 

for all levels of government as each level 

works to engage the issues surrounding 

individuals with access and functional needs, 

individuals with limited English proficiency, 

children, and those with household pets and 

service animals. 

Engaging the private sector is a critical 

element of the process. Much of the critical 

infrastructure necessary to our communities is 

owned and operated by the private sector. 

Connecting the government and the private 

sector is, therefore, a necessary part of the 

planning process. 

The NRF emphasizes the concept of resilient 

communities. Resiliency begins with prepared individuals 

and depends on the leadership and engagement of local 

government, civic leaders, and private sector businesses 

and organizations. Local police, fire, emergency medical 

services (EMS), emergency management, public health 

and medical providers, public works, and other community 

agencies are often the first to be notified about a threat or 

hazard or to respond to an incident. These entities should 

work with individuals, families, and service providers for 

people with disabilities and others with access and 

functional needs to enhance their awareness of risk levels 

and specific threats, develop household emergency plans 

that include household pets and service animals, and 

prepare emergency supply kits. 

Concept of Operations 

The NRF guides governments at all levels, the private 

sector, nongovernmental organizations, and individual 

citizens toward a shared and effective response. Upon 

receiving the warning that a disaster is likely to occur or 

has occurred, elements of the NRF may be implemented in 

a scalable and flexible way to improve response. 

Functional Organization 

The NRF uses 15 Emergency Support Functions (ESF) to 

group and describe the kinds of resources and types of 

Federal assistance available to augment state and local 

response efforts: 

 

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• ESF #1 Transportation • ESF #8 Public Health and Medical Services 

• ESF #2 Communications • ESF #9 Search and Rescue 

• ESF #3 Public Works and Engineering • ESF #10 Oil and Hazardous Materials Response 

• ESF #4 Firefighting • ESF #11 Agriculture and Natural Resources 

• ESF #5 Emergency Management • ESF #12 Energy 

• ESF #6 Mass Care, Emergency 

Assistance, Housing, and 

Human Services 

• ESF #13 Public Safety and Security 

• ESF #14 Long-Term Community Recovery 

• ESF #7 Logistics Management and 

Resource Support 

• ESF #15 External Affairs. 

Each ESF has a Federal department or agency identified as its coordinator. During response and recovery 

operations, the coordinating agency forms and activates a team that is responsible for working with the 

appropriate state and local officials to identify unmet resource needs. The team also coordinates the flow 

of resources and assistance provided by the Federal Government to meet these needs. 

Federal Emergency Plans at the National and Regional Levels 

The NRF serves as the foundation for the development of national and regional response plans that 

implement Federal response activities. At the national level, the Federal planning structure supports the 

NRF. 

FEMA Regions are developing plans to address potential activities and actions taken by regional offices 

of Federal departments and agencies in support of state and local operations. They also provide the 

necessary link between the state EOP and the NRF. Within an identified scope, each Regional plan 

addresses one or more of the following: 

• Specifies the responsibilities assigned to each of the tasked Federal departments and agencies for 

mobilizing and deploying resources to assist the state(s) in response/recovery efforts 

• Describes the relationship between the responding Federal agencies/departments and their state 

counterparts 

• Provides information to the states on the various response mechanisms, capabilities, and resources 

available to them through the Federal Government 

• Describes notification procedures and protocols for communicating with state officials; procedures 

and systems for communication; frequency of contact; and message content 

• Provides for Incident Management Assistance Team personnel to assist in conducting a rapid 

situation assessment immediately prior to or after a disaster has occurred 

• Describes coordination responsibilities of the regional liaison officer(s) and the provisions established 

for deployment to the state EOC 

• Provides for deployment of Incident Management Assistance Team members to the state EOC/Joint 

Field Office (JFO) and/or staging locations or directly into the area impacted by the disaster 

• Provides for obtaining work space in the state EOC and other locations for the initial response cadre; 

arrangements to obtain work space for the JFO and other follow-on response teams; and a variety of 

other activities that require extensive coordination. 

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2. Understanding the Planning Environment: Federal, State, and Local Plans 

State, Territorial, and Tribal Emergency Operations Plans 

The state/territorial/tribal EOP addresses several operational response functions and describes how to 

fulfill its mission of providing resources to satisfy unmet needs. These functions focus on actions, such as 

direction and control, warning, public notification, and evacuation, that the state/territorial/tribal 

government must take during the initial phase of response operations and that fall outside of the Federal 

response mission. Thus, they are not appropriate for inclusion in Federal response plans. 

Because state/territorial/tribal governments must channel Federal assistance provided under the NRF, 

some choose to mirror the NRF functions. There is no need to replicate the Federal ESFs exactly. Some 

have successfully used a hybrid approach, either by giving the counterparts of Federal ESFs extra 

responsibilities appropriate to the state/territorial/tribal level or by creating functions in addition to those 

used by the Federal Government to address state/territorial/tribal responsibilities and concerns. The 

important thing is for the choice of functions to fit the state/territorial/tribal government’s own concept of 

operations, policies, governmental structure, and resource base. That fit is critical, because the EOP 

describes what the state/territorial/tribal government will do when conducting emergency operations. The 

EOP: 

• Identifies the departments and agencies designated to perform response and recovery activities and 

specifies tasks they must accomplish 

• Outlines the assistance that is available to local jurisdictions during disasters that generate emergency 

response and recovery needs beyond what the local jurisdiction can satisfy 

• Specifies the direction, control, and communications procedures and systems that will be relied upon 

to alert, notify, recall, and dispatch emergency response personnel; warn local jurisdictions; protect 

residents and property; and request aid/support from other jurisdictions and/or the Federal 

Government (including the role of the Governor’s Authorized Representative) 

• Describes ways to obtain initial situation assessment information from the local jurisdiction(s) 

directly affected by the disaster or emergency 

• Describes how work space and communication support will be provided to the Regional Liaison 

Officers and other Federal teams deployed to the EOC, staging areas, or the area directly impacted by 

the disaster 

• Designates a State Coordinating Officer to work directly with the Federal Coordinating Officer 

• Assists the Federal Coordinating Officer in identifying candidate locations for establishing the JFO 

• Provides coordinating instructions and provisions for implementing interstate compacts, as applicable 

• Describes the logistical support for planned operations. 

Local Emergency Operations Plans 

Local EOPs should largely be consistent with state/territorial/tribal plans. The EOP addresses several 

operational response functions and describes how to fulfill its mission of providing resources to satisfy 

unmet needs. These functions focus on actions, such as direction and control, warning, public notification, 

and evacuation, that the local government must take during the initial phase of response operations and 

that fall outside of the state/territorial/tribal response mission. Thus, they are not appropriate for inclusion 

in those response plans. Local jurisdictions should work with their state, territorial, or tribal leadership to 

clearly delineate roles, responsibilities, and structures as required. 

At a minimum the EOP describes what the local government will do when conducting emergency 

operations. The EOP: 

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2-6 

• Identifies the departments and agencies designated to perform response and recovery activities and 

specifies tasks they must accomplish 

• Outlines the integration of assistance that is available to local jurisdictions during disaster situations 

that generate emergency response and recovery needs beyond what the local jurisdiction can satisfy 

• Specifies the direction, control, and communications procedures and systems that will be relied upon 

to alert, notify, recall, and dispatch emergency response personnel; warn the public; protect residents 

and property; and request aid/support from other jurisdictions and/or the Federal Government 

(including the role of the Governor’s Authorized Representative) 

• Provides coordinating instructions and provisions for implementing MAAs, as applicable 

• Describes the logistical support for planned operations. 

Linking Federal, State, and Local Emergency Plans 

A close analysis of the planning relationships described in the previous section shows that the FEMA 

Region is the interface between the Federal and jurisdictional planning processes. The FEMA Region is 

the place where jurisdictional needs during an incident are converted into Federal support missions until a 

JFO is established. It is through the FEMA Region that planning for Federal operations is integrated and 

synchronized with planning for operations shaped by the hazards and risks faced by state, territorial, 

tribal, and local communities. 

Course of action development determines jurisdictional needs during the planning process. Similarly, 

FEMA Regions determine capability gaps, resource shortfalls, and state expectations for Federal 

assistance through the process of gap analysis. FEMA Regions conduct these analyses by using a joint 

planning team with multiple state representatives, individually with each state, or through some other 

method. 

To ensure a common operational concept, each Region’s plan may include an annex that summarizes the 

CONOPS, priorities, concerns, and needs of each state within its jurisdiction. 

In short, the relationships established between the FEMA Region and all Federal, state, and local partners 

ensure effective collaboration before, during, and after emergency operations. The integrated plans 

resulting from these relationships clarify the roles and responsibilities at all levels and result in more 

effective operations. 
3. Format and Function: 

Identifying the Right Plan for 

the Job 

Overview 

The first two chapters provided a foundation for planners by illustrating not only the basics of planning, 

but also the environment in which planning occurs. Chapter 3 shifts from theory to application by 

examining the different types of plans and how they are used to meet the requirements of a jurisdiction. 

The Emergency Operations Plan 

Traditionally, the focus of a jurisdiction’s operational planning effort has been the EOP. EOPs are plans 

that define the scope of preparedness and emergency management activities necessary for that 

jurisdiction. The EOP structures and concepts that follow provide an example for jurisdictions to use 

when developing any plan. The EOP format works well for both conventional and complex emergency 

operations. 

Emergency management involves several kinds of plans, just as it involves several kinds of actions. 

While many jurisdictions consider the EOP the centerpiece of their planning effort, it is not the only plan 

that addresses emergency management functions. Other types of plans that support and supplement the 

EOP are discussed later in this chapter. 

A jurisdiction’s EOP is a document that: 

• Assigns responsibility to organizations and individuals for carrying out specific actions that exceed 

routine responsibility at projected times and places during an emergency 

• Sets forth lines of authority and organizational relationships and shows how all actions will be 

coordinated 

• Describes how people (including unaccompanied minors, individuals with disabilities, others with 

access and functional needs, and individuals with limited English proficiency) and property are 

protected 

• Identifies personnel, equipment, facilities, supplies, and other resources available within the 

jurisdiction or by agreement with other jurisdictions 

• Reconciles requirements with other jurisdictions. 

An EOP is flexible enough for use in all emergencies. A complete EOP describes: the purpose of the plan; 

the situation; assumptions; CONOPS; organization and assignment of responsibilities; administration and 

logistics; plan development and maintenance; and authorities and references. 

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The EOP contains annexes appropriate to the jurisdiction’s organization and operations. EOPs predesignate a jurisdictional lead agency and/or functional area representatives to the incident command, 

unified command, or multiagency coordination entity whenever possible to facilitate responsive and 

collaborative incident management. 

The EOP facilitates prevention, protection, response, and short-term recovery, which sets the stage for 

successful long-term recovery. Response actions and some post-disaster recovery issues, such as the 

rebuilding and placement of temporary housing facilities, are time-sensitive. Advance planning makes 

performing these tasks easier, especially in a changing environment. Jurisdictions, especially those with 

known severe hazards and vulnerabilities, should integrate complex housing and overall recovery 

planning with that of the EOP. 

Typically, an EOP does not detail long-term recovery actions. However, the EOP should provide for a 

transition to a long-term recovery plan, if any exists, and for a stand-down of response forces. As 

mentioned previously, the EOP may cover some short-term recovery actions that are natural extensions of 

response. For example, meeting human needs requires maintaining logistical support for mass care 

actions initiated in the response phase. It could also involve the restoration of infrastructure “lifelines” 

and the removal of debris to facilitate the response. At the state’s discretion, its disaster assistance plans 

for distribution of Federal and state relief funds might be included as an annex to the EOP. Disaster 

assistance plans indicate how to identify, contact, match to aid, certify, and provide support to eligible aid 

recipients. 

State and Local Emergency Operations Plans 

In the Nation’s system of emergency management, the local government must act first to address the 

public’s emergency needs. Depending on the nature and size of the emergency, Federal, state, territorial, 

tribal, and regional (e.g., the National Capital Region) assistance may be provided to the local 

jurisdiction. The focus of local and tribal EOPs is on the emergency measures that are essential for 

protecting the public. At the minimum, these measures include warning, emergency public information, 

evacuation, and shelter. 

States, territories, and regional organizations play three roles: assisting local jurisdictions whose 

capabilities must be augmented or are overwhelmed by an emergency; responding first to certain 

emergencies; and working with the Federal Government when Federal assistance is necessary. The state 

EOP is the framework within which local EOPs are created and through which the Federal Government 

becomes involved. As such, the state EOP ensures that all levels of government are able to mobilize in a 

unified way to safeguard the well-being of their citizens. The state and regional organization EOPs should 

synchronize and integrate with local, tribal, and regional plans. 

A planning team’s main concern is to include all essential information and instructions in the EOP. 

FEMA does not mandate a particular format for EOPs. In the final analysis, an EOP’s format is 

acceptable if users understand it, are comfortable with it, and can extract the information they need. In 

designing a format for an all-hazards EOP, the planning team should consider the following: 

• Organization. Do the EOP section and subsection titles help users find what they need, or must users 

sift through information that is not relevant? Can single plan components be revised without forcing a 

substantial rewrite of the entire EOP? 

• Progression. In any one section of the EOP, does each element seem to follow from the previous one, 

or are some items strikingly out of place? Can the reader grasp the rationale for the sequence and scan 

for the information he or she needs? 

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3. Format and Function: Identifying the Right Plan for the Job 

• Consistency. Does each section of the EOP use the same logical progression of elements, or must the 

reader reorient himself or herself in each section? 

• Adaptability. Does the EOP’s organization make its information easy to use during unanticipated 

situations? 

• Compatibility. Does the EOP format promote or hinder coordination with other jurisdictions, 

including the state and/or Federal Government? Can reformatting the EOP or making a chart of the 

coordinating relationships (i.e., a “crosswalk”) solve problems in this area? 

• Inclusivity. Does the EOP appropriately address the needs of those with disabilities or other access 

and functional needs, children, individuals with limited English proficiency, and household pets and 

service animals? 

Structuring an Emergency Operations Plan 

While the causes of emergencies vary greatly, their potential effects do not. Jurisdictions can plan for 

effects common to several hazards rather than develop separate plans for each hazard. For example, 

earthquakes, floods, and hurricanes can all force people from their homes. The jurisdiction can develop a 

plan organized around the task of finding shelter and food for individuals who have been displaced. If 

desired, the EOP planners can make minor adjustments to reflect differences in the speed of onset, 

duration, and intensity of the hazards. 

This section outlines a variety of formats that a jurisdiction could use when developing an EOP, including 

a functional format, an ESF format, and an agency-/department-focused format. These format options 

come from EOPs used by jurisdictions across the Nation. They are suggestions for new planners on where 

to begin when developing an EOP. Seasoned planners can use these formats to validate the effectiveness 

of their EOP’s organization. 

The planning team must try to identify all critical common tasks or functions that participating 

organizations must perform, and assign responsibility for accomplishing each task or function. The 

planning team must work with the heads of tasked organizations to ensure that they prepare SOPs/SOGs 

detailing how they will carry out critical tasks associated with the jurisdiction’s strategy. Because the 

jurisdiction’s goal is a coordinated and integrated response, all EOP styles should flow from a basic plan 

that outlines the jurisdiction’s overall emergency organization and its policies. 

As the planning team begins to develop a new EOP, members must discuss which format is the most 

effective for and applicable to their jurisdiction. The jurisdiction’s style of government or the results of a 

risk assessment may help the team decide which format to use. For example, in a sprawling metropolitan 

county that contains several municipalities and has a complex government structure, county emergency 

operations may assume more of a coordination and support role. Thus, an ESF approach may be optimal 

for that county’s EOP. In contrast, a small rural community with a limited government structure and staff 

that performs multiple duties may benefit from a function-based EOP. In short, “form follows function” 

in the sense that operational needs should help determine the EOP format a jurisdiction uses. Generally, 

the functional or agency/department formats are used by local jurisdictions, while the ESF format tends to 

be used by larger jurisdictions and other levels of government. 

None of these formats are mandatory to achieve NIMS compliance. The planning team may modify any 

of these formats to make the EOP fit the jurisdiction’s emergency management strategy, policy, 

resources, and capabilities. Note, however, that some states prescribe an EOP format for their local 

governments. 

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Comprehensive Preparedness Guide 101 

Traditional Functional Format 

The traditional functional structure is probably the most commonly used EOP format. This is the format 

that many jurisdictions have used to develop EOPs since the 1990s, following FEMA’s Civil 

Preparedness Guide 1-8 and State and Local Guide 101, which have been rescinded and replaced by this 

Guide. The traditional functional format has three major sections: the basic plan, functional annexes, and 

hazard-specific annexes (see Figure 3.1).6

Figure 3.1: Traditional Functional EOP Format 

 

6

 The term annex is used throughout this CPG to refer to functional, support, hazard/incident-specific, or other supplements to the 

basic plan, consistent with the NRF. Some jurisdictions’ plans may use the term appendix in the same fashion (e.g., hazard-specific 

appendix). 

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3. Format and Function: Identifying the Right Plan for the Job 

The basic plan provides an overview of the jurisdiction’s preparedness and response strategies. It 

describes expected hazards, outlines agency roles and responsibilities, and explains how the jurisdiction 

keeps the plan current. 

The functional annexes are individual chapters that focus on missions (e.g., communications, damage 

assessment). These annexes describe the actions, roles, and responsibilities of participating organizations. 

Functional annexes discuss how the jurisdiction manages the function before, during, and after the 

emergency, and they identify the agencies that implement that function. However, each functional annex 

addresses only general strategies used for any emergency. 

The hazard-, threat-, or incident-specific annexes describe the policies, situation, CONOPS, and 

responsibilities for particular hazards, threats, or incidents. They explain the procedures that are unique to 

that annex for a hazard type. For example, the direction and control annex may discuss how a local law 

enforcement’s command post would coordinate its functions; this information would only be addressed in 

a hazard-, threat-, or incident-specific annex if it would be different for particular hazards, threats, or 

incidents. Strategies already outlined in a functional annex should not be repeated in a hazard-specific 

annex. 

The traditional format also uses a specific outline to define the elements of each annex. When the format 

is followed, EOP users can find information in the plan more easily because the same type of information 

is in the same location. The traditional EOP format is flexible enough to accommodate all jurisdictional 

strategies. The planning team can add annexes to include a new function or a newly identified hazard or 

threat. Similarly, the team can separate an operational issue (e.g., mass care) into two separate annexes 

(e.g., sheltering and feeding, distribution of emergency supplies). 

Emergency Support Function Format 

The ESF format is the plan structure used in the NRF. Many state-level EOPs use this format. It begins 

with a basic plan, includes unique annexes that support the whole plan, addresses individual ESF annexes, 

and then attaches separate support or incident annexes (see Figure 3.2). 

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Comprehensive Preparedness Guide 101 

Figure 3.2: Emergency Support Function EOP Format 

The basic plan provides an overview of the jurisdiction’s emergency management system. It briefly 

explains the hazards faced, capabilities, requirements, and the jurisdiction’s emergency management 

structure. It also reviews expected mission execution for each emergency phase and identifies the 

agencies that have the lead for a given ESF. The basic plan then outlines the ESFs activated during an 

emergency. 

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3. Format and Function: Identifying the Right Plan for the Job 

The ESF annexes identify the ESF coordinator and the primary and support agencies for each function. 

ESFs with multiple primary agencies should designate an ESF coordinator to coordinate pre-incident 

planning. An ESF annex describes expected mission execution for each emergency phase and identifies 

tasks assigned to members of the ESF, including nongovernmental and private sector partners. 

The support annexes describe the framework through which a jurisdiction’s departments and agencies, the 

private sector, not-for-profit and voluntary organizations, and other nongovernmental organizations 

coordinate and execute the common emergency management strategies. The actions described in the 

support annexes apply to nearly every type of emergency. Each support annex identifies a coordinating 

agency, as well as assisting and cooperating agencies. In some instances, two departments or agencies 

share coordinating agency responsibilities. 

The hazard-, threat-, or incident-specific annexes describe the policies, situation, CONOPS, and 

responsibilities for particular hazards, threats, or incidents. Each annex should consider the following 

components: 

• Policies. The policy section identifies the authorities unique to the incident type, the special actions or 

declarations that may result, and any special policies that may apply. 

• Situation. The situation section describes the incident or hazard characteristics and the planning 

assumptions. It also outlines the management approach for those instances when key assumptions do 

not hold (e.g., how authorities will operate if they lose communication with senior decision makers). 

• Concept of Operations. This section describes the flow of the emergency management strategy for 

accomplishing a mission or set of objectives in order to reach a desired end-state. It identifies special 

coordination structures, specialized response teams or resources needed, and other considerations 

unique to the type of incident or hazard. 

• Responsibilities. Each incident annex identifies the coordinating and cooperating agencies involved 

in an incident-, hazard-, or threat-specific response. 

Agency-/Department-Focused Format 

The agency-/department-focused format addresses each department’s or agency’s tasks in a separate 

section. In addition to the basic plan, this format includes lead and support agency sections and hazardspecific procedures for the individual agencies (see Figure 3.3). Very small communities may find this 

format more appropriate for their situation than the other formats previously presented. 

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Figure 3.3: Agency-/Department-Focused EOP Format 

Like the other EOP formats, the basic plan provides an overview of a jurisdiction’s ability to prevent, 

protect against, respond to, and recover from emergencies. It summarizes the basic tasks taken to prepare 

for a disaster and defines how the plan is developed and maintained. 

Separate lead and support agency sections discuss the emergency functions completed by individual 

departments, agencies, and nongovernmental partners. Each individual agency section still needs to refer 

to other agency sections to ensure coordination with their respective emergency management strategies. 

The hazard-specific procedures section addresses the unique preparedness, response, and recovery 

strategies relevant to each department or agency for specific disaster types. The hazard-specific 

procedures can immediately follow each agency section or be attached as a separate chapter to the plan. 

This format allows EOP users to review only those procedures specific to their agency without having to 

review other agencies’ response tasks. The individual sections still reference the unique relationships that 

need to exist with other agencies during a disaster; however, they do not contain details on the other 

departments’ or agencies’ strategies. If needed, the plan users can go to the other departments’ or 

agencies’ sections and review their procedures to understand the bigger picture. The level of detail 

provided in each section varies according to the needs of the specific department or agency. Agencies or 

departments with detailed SOPs/SOGs may not need much information in their portion of the plan, while 

others may need to provide more details in the EOP. 

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3. Format and Function: Identifying the Right Plan for the Job 

Using Planning Templates 

Managers and planners, particularly at the local level, recognize that the planning process demands a 

significant commitment of time, effort, and resources. To ease this burden, many planners and 

jurisdictions use templates to complete their plans. Some states provide templates to their local 

jurisdictions. Other templates are available through hazard-specific preparedness programs or 

commercially from private sector vendors. 

Planners must ensure that using those templates does not undermine the planning process. For example, 

“fill-in-the-blank” templates can defeat the socialization, mutual learning, and role acceptance that are so 

important to achieving effective planning and a successful response. The best templates are those that 

offer a plan format and describe the content that each section might contain, allowing for tailoring to the 

jurisdiction’s geographic, political, and social environment. With this in mind, planners should consider 

CPG 101 a template because it provides plan formats and content guidance. 

When using a planning template, planners should consider whether: 

• The resulting plan represents the jurisdiction’s unique hazard and threat situation by ensuring that the 

underlying facts and assumptions match those applicable to the jurisdiction 

• The hazard and risk assessments match the jurisdiction’s demographics, infrastructure inventory, 

probability of hazard occurrence, etc. 

• The template broadly identifies the resources needed to address the problems generated by an 

emergency or disaster 

• Using the template stifles creativity and flexibility, thereby constraining the development of strategies 

and tactics needed to solve disaster problems 

• Using the templates encourages planning “in a vacuum,” by allowing a single individual to “write” 

the plan. 

Regardless of the template used, planners will likely discover that the template will need to be adjusted to 

meet their jurisdiction’s needs. This observation does not mean that planners should not use templates or 

plans from other jurisdictions to help with writing style and structure. Instead, what it does mean is that 

planners must evaluate the usefulness of any planning tool (e.g., template, software) used as part of the 

planning process. 

Additional Types of Plans 

Emergency operations involve several kinds of plans, just as they involve several kinds of actions. While 

the EOP is often the centerpiece of emergency planning efforts, it is not the only plan that addresses 

emergency management or homeland security missions. There are other types of plans that support and 

supplement the EOP and its annexes. 

Joint Operational Plans or Regional Coordination Plans typically involve multiple levels of 

government to address a specific incident or a special event. These plans should be developed in a manner 

consistent with this Guide and included as an annex or supplemental plan to the EOP, depending on the 

subject of the plan. Standing plans should be an annex to the related EOPs, while special events plans 

should be stand-alone supplements based on the information contained within the related EOPs. 

Administrative plans describe basic policies and procedures to support a governmental endeavor. 

Typically, they deal less with external work products than with internal processes. Examples include 

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Comprehensive Preparedness Guide 101 

plans for financial management, personnel management, records review, and labor relations activities. 

Such plans are not the direct concern of an EOP. However, planners should reference the administrative 

plan in the EOP if its provisions apply during an emergency. Planners should make similar references in 

the EOP for exceptions to normal administrative plans permitted during an emergency. 

Preparedness plans address the process for developing and maintaining capabilities for the whole 

community both pre- and post-incident. Preparedness plans should address capabilities needed for 

prevention, protection, response, recovery, and mitigation activities. These plans include the schedule for 

identifying and meeting training needs based on the expectations created by the EOP; the process and 

schedule for developing, conducting, and evaluating exercises and correcting identified deficiencies; and 

plans for procuring, retrofitting, or building facilities and equipment that could withstand the effects of 

the hazards facing the jurisdiction. 

Continuity plans outline essential functions that must be performed during an incident that disrupts 

normal operations and the methods by which these functions will be performed. They also describe the 

process for timely resumption of normal operations once the emergency has ended. COOP plans address 

the continued performance of core capabilities and critical operations during any potential incident. COG 

plans address the preservation and/or reconstitution of government to ensure that constitutional, 

legislative, and/or administrative responsibilities are maintained. 

Recovery plans developed prior to a disaster enable jurisdictions to effectively direct recovery activities 

and expedite a unified recovery effort. Pre-incident planning performed in conjunction with community 

development planning helps to establish recovery priorities, incorporate mitigation strategies in the wake 

of an incident, and identify options and changes that should be considered or implemented after an 

incident. Post-incident community recovery planning serves to integrate the range of complex decisions in 

the context of the incident and works as the foundation for allocating resources. 

Mitigation plans outline a jurisdiction’s strategy for mitigating the hazards it faces. The Disaster 

Mitigation Act of 2000 requires jurisdictions seeking certain disaster assistance funding to have approved 

mitigation plans. Mitigation planning is often a long-term effort and may be part of or tied to the 

jurisdiction’s strategic development plan or similar documents. Mitigation planning committees may 

differ from operational planning teams in that they include zoning boards, floodplain managers, and 

individuals with long-term cultural or economic interests. Existing plans for mitigating hazards are 

relevant to an EOP since both originate from a hazard-based analysis and share similar component 

requirements. 

Prevention and protection plans typically tend to be more facility focused and procedural or tactical in 

their content. Common jurisdictional prevention and protection plans include fusion center operations 

plans, sector-specific or CIKR security plans, and incident-specific contingency action plans. 

Procedural Documents 

Procedural documents describe how to accomplish specific activities needed to finish a task or achieve a 

goal or objective. Put simply, plans describe the “what” and procedures describe the “how.” Planners 

should prepare procedural documents to keep the plan free of unnecessary detail. The basic criterion is: 

What does the audience of this part of the plan need to know or have set out as a matter of public record? 

Information and how-to instructions used by an individual or small group should appear in procedural 

documents. The plan should reference procedural documents as appropriate. 

With regard to many responsibilities in the EOP, it is enough to assign the responsibility to an individual 

(by position or authority) or organization and specify the assignee’s accountability: to whom does the 

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3. Format and Function: Identifying the Right Plan for the Job 

person report or with whom does the person coordinate? For example, a plan assigning responsibility for 

extinguishing fires to the fire department would not detail procedures used at the scene or specify what 

fire equipment is most appropriate. In this situation, the EOP would defer to the fire department’s 

SOPs/SOGs. However, the plan would describe the relationship between the Incident Commander and the 

central organization directing the jurisdictional response to the emergency, of which the fire in question 

may be only a part. 

Overviews are brief concept summaries of an incident-related function, team, or capability. There are two 

types of overview documents. One type explains general protocols and procedures. This document serves 

as the bridge between all functional or hazard-specific planning annexes and procedural documentation. It 

could contain an EOC layout, describe activation levels, and identify which functions or sections are 

responsible for planning, operational, and support activities. An easy way to develop an overview 

document is to review the assignments and responsibilities outlined in the EOP and ensure that the 

overview document references the procedures developed to fulfill them. The second type of overview 

document is specific to a functional team or area. It describes the general responsibilities and tasks of a 

functional team. This overview document provides enough information to supporting personnel to aid in 

activities related to the function, team, or capability summarized by the document. It identifies 

qualifications to support the team, provides a summary of operational procedures, and defines possible 

missions in greater detail than is described in plan annexes. As an example, the overview document 

addressing transportation would describe the purpose of this function, composition of support personnel, 

requirements for the team or branch, and missions that might be required. It might also identify the 

hazards or conditions that determine when missions are assigned. A successful overview document helps 

orient a newly arriving member of the department or agency brought in to support a particular function, 

mission, or section. 

Standard Operating Procedures (SOP)/Standard 

Operating Guidelines (SOG) are complete reference 

documents that provide the purpose, authorities, 

duration, and details of the preferred method for 

performing a single function or a number of 

interrelated functions in a uniform manner. 

SOPs/SOGs often describe processes that evolved 

institutionally over the years or document common 

practices so that institutional experience is not lost to 

the organization as a result of staff turnover. 

SOPs/SOGs are sometimes task-specific (e.g., how to activate a siren system or issue an Emergency Alert 

System [EAS] message). SOPs/SOGs should grow naturally out of the responsibilities identified and 

described in the EOP. Staff members who typically engage in emergency activities should develop the 

procedures found in an SOP/SOG. 

SOPs/SOGs may include checklists, call-down 

rosters, resource listings, maps, and charts. 

SOPs/SOGs may also describe how to notify 

staff; how to obtain and use equipment, 

supplies, and vehicles; how to obtain mutual aid; 

how to report information to organizational work 

centers and the EOC; and how to communicate 

with staff members who are operating from 

more than one location.

The planning team works with the senior representatives of tasked organizations to ensure that the 

SOPs/SOGs needed to implement the EOP do, in fact, exist and do not conflict with the EOP or with one 

another. 

Field Operations Guides (FOG) or handbooks are durable pocket or desk guides containing information 

required to perform specific assignments or functions. FOGs provide those individuals assigned to 

specific teams, branches, or functions with information about the procedures they are likely to perform or 

portions of an SOP/SOG appropriate for the missions they are likely to complete. The FOG is a shortform version of the SOP/SOG and serves as a resource document. When combined with the overview 

document, it gives an accurate and complete picture of the positions these individuals fill. In addition to 

relevant procedures, the FOG or handbook may include administrative procedures that staff must follow. 

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Comprehensive Preparedness Guide 101 

Job aids are checklists or other materials that help users perform a task. Examples of job aids include 

telephone rosters, report templates, software or machine operating instructions, and task lists. Job aids are 

often included to help relatively inexperienced EOC personnel complete their assigned tasks or as a 

reference for experienced personnel. Job aids may also reduce complexity or the opportunity for error in 

executing a task (e.g., providing a lookup chart of temperature conversions rather than providing a 

formula for doing the conversion). These job aids do not eliminate the need for training, but may serve to 

address gaps in training during an incident. 

Emergency Operations Plan Content 

The Basic Plan 

The basic plan provides an overview of the jurisdiction’s approach to emergency operations. It identifies 

emergency response policies, describes the response organization, and assigns tasks. Although the basic 

plan guides the development of the more operationally-oriented annexes, its primary audience consists of 

the jurisdiction’s senior official, his or her staff, agency heads, and the community (as appropriate). The 

elements listed in this section should meet the needs of this audience while providing a solid foundation 

for the development of supporting annexes. 

Introductory Material 

Certain items that enhance accountability and ease of use should preface an EOP. Typical introductory 

material includes the following components: 

• Cover Page. The cover page has the title of the plan. It should include a date and identify the 

jurisdiction(s) covered by the plan. 

• Promulgation Document. Promulgation is the process that officially announces/declares a plan (or 

law). The promulgation document gives the plan official status. It gives both the authority and the 

responsibility to organizations to perform their tasks. It should also mention the responsibilities of 

tasked organizations with regard to preparing and maintaining their own procedures/guidelines and 

commit those organizations to carrying out the training, exercises, and plan maintenance needed to 

support the plan. In addition, the promulgation document allows senior officials to affirm their 

support for emergency management. 

• Approval and Implementation Page. The approval and implementation page introduces the plan, 

outlines its applicability, and indicates that it supersedes all previous plans. It should include a 

delegation of authority for specific modifications that can be made to the plan and by whom they can 

be made without the senior official’s signature. It should also include a date and should be signed by 

the senior official(s) (e.g., governor, tribal leader[s], mayor, county judge, commissioner[s]). 

• Record of Changes. Each update or change to the plan should be tracked. The record of changes, 

usually in table format, contains, at a minimum, a change number, the date of the change, the name of 

the person who made the change, and a summary of the change. Other relevant information could be 

considered. 

• Record of Distribution. The record of distribution, usually in table format, indicates the title and the 

name of the person receiving the plan, the agency to which the recipient belongs, the date of delivery, 

and the number of copies delivered. Other relevant information could be considered. The record of 

distribution can be used to prove that tasked individuals and organizations have acknowledged their 

receipt, review, and/or acceptance of the plan. Copies of the plan can be made available to the public 

and media without SOPs/SOGs, call-down lists, or other sensitive information. 

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3. Format and Function: Identifying the Right Plan for the Job 

• Table of Contents. The table of contents should be a logically ordered and clearly identified layout of 

the major sections and subsections of the plan that will make finding information within the plan 

easier. 

Purpose, Scope, Situation Overview, and Planning Assumptions 

The purpose, scope, situation overview, and planning assumptions section includes the following 

components: 

• Purpose. The purpose sets the foundation for the rest of the EOP. The basic plan’s purpose is a 

general statement of what the EOP is meant to do. The statement should be supported by a brief 

synopsis of the basic plan and annexes. 

• Scope. The EOP should also explicitly state the scope of emergency and disaster response and the 

entities (e.g., departments, agencies, private sector, citizens) and geographic areas to which the plan 

applies. 

• Situation Overview. The situation section characterizes the “planning environment,” making it clear 

why an EOP is necessary. The level of detail is a matter of judgment; some information may be 

limited to a few specific annexes and presented there. At a minimum, the situation section should 

summarize hazards faced by the jurisdiction and discuss how the jurisdiction expects to receive (or 

provide) assistance within its regional response structures. The situation section covers a general 

discussion of: 

– Relative probability and impact of the hazards 

– Geographic areas likely to be affected by particular hazards 

– Vulnerable critical facilities (e.g., nursing homes, schools, hospitals, infrastructure) 

– Population distribution and locations, including any concentrated populations of individuals with 

disabilities, others with access and functional needs, or individuals with limited English 

proficiency, as well as unaccompanied minors and children in daycare and school settings 

– Dependencies on other jurisdictions for critical resources 

– The process used by the jurisdiction to determine its capabilities and limits in order to prepare for 

and respond to the defined hazards 

– The actions taken in advance to minimize an incident’s impacts, including short- and long-term 

strategies. 

• Planning Assumptions. These identify what the planning team assumes to be facts for planning 

purposes in order to make it possible to execute the EOP. During operations, the assumptions indicate 

areas where adjustments to the plan have to be made as the facts of the incident become known. 

These also provide the opportunity to communicate the intent of senior officials regarding emergency 

operations priorities. 

Concept of Operations (CONOPS) 

The audience for the basic plan needs to be able to visualize the sequence and scope of the planned 

emergency response. The CONOPS section is a written or graphic statement that explains in broad terms 

the decision maker’s or leader’s intent with regard to an operation. The CONOPS should describe how 

the response organization accomplishes a mission or set of objectives in order to reach a desired end-state. 

Ideally, it offers clear methodology to realize the goals and objectives to execute the plan. This may 

include a brief discussion of the activation levels identified by the jurisdiction for its operations center. 

The CONOPS should briefly address direction and control, alert and warning, and continuity matters that 

may be dealt with more fully in annexes. 

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Organization and Assignment of Responsibilities 

The basic plan establishes the operational organization that will be relied on to respond to an emergency 

situation. It includes a list of the kinds of tasks to be performed, by position and organization, without all 

of the procedural details included in functional annexes. When two or more organizations perform the 

same kind of task, one should be given primary responsibility, with the other(s) providing a supporting 

role. For the sake of clarity, a matrix of organizations and areas of responsibility (including functions) 

should be included to summarize the primary and supporting roles. Shared general responsibilities, such 

as developing SOPs/SOGs, should not be neglected, and the matrix might include organizations not under 

jurisdictional control, if they have defined responsibilities for responding to emergencies that might occur 

in the jurisdiction. Organization charts, especially those depicting how a jurisdiction is implementing the 

ICS or Multiagency Coordination System structure, are helpful. This section should also outline agency 

and departmental roles related to prevention and protection activities. 

In addition, this section is where a jurisdiction discusses the option that it uses for organizing emergency 

management—ESF, agency and department, functional areas of ICS/NIMS, or a hybrid. The selected 

management structure determines what types of annexes are included in the EOP and should be carried 

through to any hazard annexes. 

Direction, Control, and Coordination 

This section describes the framework for all direction, control, and coordination activities. It identifies 

who has tactical and operational control of response assets. Additionally, Direction, Control, and 

Coordination explains how multijurisdictional coordination systems support the efforts of organizations to 

coordinate efforts across jurisdictions while allowing each jurisdiction to retain its own authorities. This 

section also provides information on how department and agency plans nest into the EOP (horizontal 

integration) and how higher-level plans are expected to layer on the EOP (vertical integration). 

Information Collection, Analysis, and Dissemination 

This section describes the critical or essential information common to all operations identified during the 

planning process. It identifies the type of information needed, the source of the information, who uses the 

information, how the information is shared, the format for providing the information, and any specific 

times the information is needed. State and local prevention and protection assets must develop the 

Information Collection, Analysis, and Dissemination section in close cooperation with each other. The 

contents of this section are best provided in a tabular format. This section may be expanded as an annex. 

Communications 

This section describes the communication protocols and coordination procedures used between response 

organizations during emergencies and disasters. It discusses the framework for delivering 

communications support and how the jurisdiction’s communications integrate into the regional or national 

disaster communications network. It does not describe communications hardware or specific procedures 

found in departmental SOPs/SOGs. Planners should identify and summarize separate interoperable 

communications plans. This section may be expanded as an annex and is usually supplemented by 

communications SOPs/SOGs and field guides. 

Administration, Finance, and Logistics 

This section covers general support requirements and the availability of services and support for all types 

of emergencies, as well as general policies for managing resources. Planners should address the following 

in this section of the plan: 

• References to intrastate and interstate MAAs, including the Emergency Management Assistance 

Compact 

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3. Format and Function: Identifying the Right Plan for the Job 

• Authorities for and policies on augmenting staff by reassigning public employees and soliciting 

volunteers, along with relevant liability provisions 

• General policies on keeping financial records, reporting, tracking resource needs, tracking the source 

and use of resources, acquiring ownership of resources, and compensating the owners of private 

property used by the jurisdiction. 

If this section is expanded, it should be broken into individual functional annexes—one for each element. 

Plan Development and Maintenance 

This section discusses the overall approach to planning and the assignment of plan development and 

maintenance responsibilities. This section should: 

• Describe the planning process, participants in that process, and how development and revision of 

different “levels” of the EOP (basic plan, annexes, and SOPs/SOGs) are coordinated during the 

preparedness phase 

• Assign responsibility for the overall planning and coordination to a specific position 

• Provide for a regular cycle of training, evaluating, reviewing, and updating of the EOP. 

Authorities and References 

This section provides the legal basis for emergency operations and activities. This section of the plan 

includes: 

• Lists of laws, statutes, ordinances, executive orders, regulations, and formal agreements relevant to 

emergencies (e.g., MAAs) 

• Specification of the extent and limits of the emergency authorities granted to the senior official, 

including the conditions under which these authorities become effective and when they would be 

terminated 

• Pre-delegation of emergency authorities (i.e., enabling measures sufficient to ensure that specific 

emergency-related authorities can be exercised by the elected or appointed leadership or their 

designated successors) 

• Provisions for COOP and COG (e.g., the succession of decision-making authority and operational 

control) to ensure that critical emergency functions can be performed. 

Supporting Annexes 

What follows is a discussion of the purpose and potential content of supporting annexes to the basic plan. 

For consistency, the recommended structure for all annexes is the same as that of the basic plan. 

Functional, Support, Emergency Phase, or Agency-Focused Annex Content 

Functional, support, emergency phase, or agency-focused annexes add specific information and direction 

to the EOP. These annexes are variations of functional annexes tailored to the EOP format used by the 

jurisdiction. They focus on critical operational functions and who is responsible for carrying them out. 

These annexes clearly describe the policies, processes, roles, and responsibilities that agencies and 

departments carry out before, during, and after any emergency. While the basic plan provides broad, 

overarching information relevant to the EOP as a whole, these annexes focus on specific responsibilities, 

tasks, and operational actions that pertain to the performance of a particular emergency operations 

function. These annexes also establish preparedness targets (e.g., training, exercises, equipment checks 

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Comprehensive Preparedness Guide 101 

and maintenance) that facilitate achieving functionrelated goals and objectives during emergencies and 

disasters. 

Planners should ensure that specific concerns 

of population segments, such as children and 

individuals with access and functional needs, 

are addressed in specific functional, support, 

emergency phase, or agency-focused annexes. 

For example: 

 Incorporating specific sheltering 

considerations for individuals with access 

and functional needs 

 Incorporating means and methods by which 

transportation requests from schools are 

received and processed 

 Incorporating mechanisms for 

disseminating accessible emergency public 

information using multiple methods to reach 

individuals with sensory and cognitive 

disabilities, as well as individuals with 

limited English proficiency 

An early and very important planning task is to identify 

the functions that are critical to successful emergency 

response. These core functions become the subjects of 

the separate functional, support, emergency phase, or 

agency-focused annexes. The constitutional and 

organizational structures of a jurisdiction’s government, 

the capabilities of its emergency services agencies, and 

established policy and intended outcome of emergency 

operations influence the choice of core functions. While 

no single list of functions applies to all jurisdictions, the 

following list of core functions warrants special 

attention because they may require specific actions 

during emergency response operations: 

• Direction, control, and coordination 

• Information collection, analysis, and dissemination 

• Communications 

• Population warning 

• Emergency public information 

• Public protection 

• Mass care and emergency assistance 

• Health and medical services 

• Resource management. 

This list of core functions is not comprehensive. Each jurisdiction must assess its own needs, and 

additional or different annexes from those identified in Appendix C should be prepared at the planning 

team’s discretion. States should encourage their jurisdictions to use a consistent set of core emergency 

functions to facilitate coordination and interoperability. 

Some jurisdictions may want to modify their functional annex structure to use the 15 ESFs identified in 

the NRF. Some communities that have adopted the ESF approach have also added additional ESFs to 

meet local needs. The ESF structure facilitates the orderly flow of local requests for governmental support 

to the state and Federal levels and the provision of resources back down to local government during an 

emergency. State and local jurisdictions that choose not to adopt the ESF structure should cross-reference 

their functional annexes with the ESFs. 

Table 3.1 shows some possible relationships between the traditional emergency management core 

functions, the department/agency, and ESF structures. 

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3. Format and Function: Identifying the Right Plan for the Job 

Table 3.1: Comparison of Potential Functional Annex Structures 

Emergency Management 

Functions Departments and Agencies ESFs 

Direction, Control, Coordination All Departments and Agencies All ESFs 

Information Collection, Analysis, 

and Dissemination All Departments and Agencies All ESFs 

Communications All Departments and Agencies ESF #2 – Communications 

Population Warning 

Emergency Management, Fire, 

Law Enforcement, Public Safety, 

Public Works, Schools 

ESF #2 – Communications 

ESF #3 – Public Works and 

Engineering 

ESF #4 – Firefighting 

ESF #5 – Emergency 

Management 

ESF #13 – Public Safety and 

Security 

ESF #15 – External Affairs 

Emergency Public Information All Departments and Agencies All ESFs 

Public Protection 

Agriculture, Emergency 

Management, Environment, Fire, 

Law Enforcement, Public Safety, 

Public Works, Roads, Schools, 

Transportation 

ESF #1 – Transportation 

ESF #2 – Communications 

ESF #4 – Firefighting 

ESF #5 – Emergency 

Management 

ESF #9 – Search and Rescue 

ESF #10 – Oil and Hazardous 

Materials Response 

ESF #11 – Agriculture and 

Natural Resources 

ESF #13 – Public Safety and 

Security 

Mass Care/Emergency 

Assistance 

Aging, Agriculture, Animal 

Control, Community/Faith-Based 

Organizations, Corrections, 

Disabilities Groups, Emergency 

Management, Family Services, 

Housing, Labor, Independent 

Living Centers, Schools, Social 

Services, State Animal Rescue 

Teams, Veterinarians, Voluntary 

Organizations, Volunteers 

ESF #1 – Transportation 

ESF #2 – Communications 

ESF #5 – Emergency 

Management 

ESF #6 – Mass Care, 

Emergency Assistance, Housing, 

and Human Services 

ESF #11 – Agriculture and 

Natural Resources 

ESF #13 – Public Safety and 

Security 

Health and Medical Services 

Emergency Management, EMS, 

Health, Hospitals, Nursing 

Homes, Assisted Living, 

Volunteers 

ESF #1 – Transportation 

ESF #2 – Communications 

ESF #4 – Firefighting 

ESF #5 – Emergency 

Management 

ESF #8 – Public Health and 

Medical Services 

 3-17 
Comprehensive Preparedness Guide 101 

Emergency Management Departments and Agencies ESFs Functions 

Resource Management 

Agriculture, Budget and 

Management, Economic 

Development, Emergency 

Management, Energy, Human 

Resources, Labor, Public 

Services, Purchasing 

ESF #1 – Transportation 

ESF #5 – Emergency 

Management 

ESF #7 – Logistics Management 

and Resource Support 

ESF #11 – Agriculture and 

Natural Resources 

ESF #12 – Energy 

ESF #14 – Long-Term 

Community Recovery 

Hazard-, Threat-, or Incident-Specific Annexes 

The contents of hazard-, threat-, or incident-specific annexes focus on the special planning needs 

generated by the subject hazard. These annexes contain unique and regulatory response details that apply 

to a single hazard. Depending upon the EOP’s structure, hazard-specific information may be included in 

functional annexes rather than stand-alone hazard-specific annexes. 

Hazard- or incident-specific annexes usually identify hazard-specific risk areas and evacuation routes, 

specify provisions and protocols for warning the public and disseminating emergency public information, 

and specify the types of protective equipment and detection devices for responders. The annexes have 

tabs that serve as work aids for items including maps, charts, tables, checklists, resource inventories, and 

summaries of critical information. As indicated previously, hazard-specific annexes follow the basic 

plan’s content organization. Hazard-specific operations information is typically provided in the CONOPS 

section, and includes: 

• Assessment and control of the hazard 

• Identification of unique prevention and CIKR protection activities to be undertaken to address the 

hazard or threat, as appropriate 

• Selection of protective actions 

• Conduct of public warning 

• Implementation of protective actions 

• Implementation of short-term stabilization actions 

• Implementation of recovery actions. 

Annex Implementing Instructions 

Each annex, as well as the basic plan, may use implementing instructions in the form of SOPs/SOGs, 

maps, charts, tables, forms, and checklists and may be included as attachments or references. The EOP 

planning team may use supporting documents, as needed, to clarify the contents of the plan or annex. For 

example, the evacuation annex may be made clearer by attaching maps marked with evacuation routes to 

it. Because these routes may change depending on the location of the hazard, hazard-specific maps may 

also be included in the evacuation annex. Similarly, the locations of shelters may be marked on maps 

supporting the mass care annex. 

3-18 
3. Format and Function: Identifying the Right Plan for the Job 

Special Preparedness Programs 

Some jurisdictions participate in special preparedness programs that publish their own planning guidance. 

Two examples are the Chemical Stockpile Emergency Preparedness Program and the Radiological 

Emergency Preparedness Program. When participating jurisdictions are developing an EOP, they must 

ensure that they meet the special planning requirements of these programs. Jurisdictions must decide 

whether this compliance is best accomplished by incorporating the requirements across functional 

annexes or by developing a hazard-specific annex for the program. 

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Comprehensive Preparedness Guide 101 

3-20 

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4. The Planning Process 

Overview 

This chapter merges information from the first three chapters and describes an approach for operational 

planning that is consistent with processes already familiar to most planners. When the planning process is 

used consistently during the preparedness phase, its use during operations becomes second nature. The 

goal is to make the planning process routine across all phases of emergency management and for all 

homeland security mission areas. 

The process described in this chapter blends concepts from a variety of sources. It applies at all levels of 

government and allows private and nongovernmental organizations to integrate with government planning 

efforts. Although individual planners can use this process, it is most effective when used by a planning 

team. 

Steps in the Planning Process 

There are many ways to produce an EOP. The planning process that follows is flexible and allows 

communities to adapt it to varying characteristics and situations. While not ideal, if time is a constraint, 

steps can be minimized or skipped in order to accelerate the process. Small communities can follow just 

the steps that are appropriate to their size, known risks, and available planning resources. Figure 4.1

depicts steps in the planning process. At each step in the planning process, jurisdictions should consider 

the impact of the decisions made on training, exercises, equipment, and other requirements. 

Figure 4.1: Steps in the Planning Process 

 4-1 
Comprehensive Preparedness Guide 101 

Step 1: Form a Collaborative Planning Team Case Study: A Small Community 

Planning Team 

A small community took the following 

approach to forming its planning team: 

Who was involved in the core planning 

team? 

The core planning team was composed of 

any department or office that was likely to 

be involved in most, if not all, responses. 

The five to seven most central people in 

this community were: the Fire and Police 

Chiefs, the Emergency Manager and the 

Planner, and the Head of Public Works. 

What did they do? 

 Studied the composition of the 

population within the community 

 Provided information to create a 

complete draft plan 

 Answered questions about the 

community for the draft plan 

 Provided additional commentary on 

roles and responsibilities 

 Gave information about the 

community’s standard operations 

 Clarified command structures 

 Provided information about resources, 

capabilities, threats, and risks 

 Gave writers information for integration 

Who participated in the expanded 

planning team? 

The expanded planning team included 

responders and stakeholders who might 

become involved in a major incident. In this 

case, the community used a 10- to 20-

member group that included emergency 

managers from surrounding communities, 

business leaders, secondary responders, 

representatives from industry, community 

leaders (including leaders from the 

disability community), and community 

contractors. 

What did they do? 

 Reviewed the full plan 

 Provided insights and 

recommendations for improvement 

 Integrated additional perspectives 

 Agreed to provide additional support 

Experience and lessons learned indicate that operational 

planning is best performed by a team. Using a team or group 

approach helps organizations define the role they will play 

during an operation. Case studies and research reinforce this 

concept by pointing out that the common thread found in 

successful operations is that participating organizations have 

understood and accepted their roles. In addition, members of 

the planning team should be able to understand and accept 

the roles of other departments and agencies. One goal of 

using a planning team is to build and expand relationships 

that help bring creativity and innovation to planning during 

an incident. This approach helps establish a planning routine, 

so that processes followed before an incident occurs are the 

same as those used during and following an incident. 

A community benefits from the active participation of all 

stakeholders. Some tips for gathering the team together 

include the following: 

• Plan ahead. The planning team should receive plenty of 

notice about where and when the planning meeting will 

be held. If time permits, ask the team members to 

identify the time(s) and place(s) that will work for the 

group. 

• Provide information about team expectations. Planners 

should explain why participating on the planning team is 

important to the participants’ agencies and to the 

community itself, showing the participants how their 

contributions will lead to more effective operations. In 

addition, budget and other project management concerns 

should be outlined early in the process. 

• Ask the senior elected or appointed official or designee 

to sign the meeting announcement. A directive from the 

executive office carries the authority of the senior official 

and sends a clear signal that the participants are expected 

to attend and that operational planning is important to the 

community. 

• Allow flexibility in scheduling after the first meeting. 

Not all team members will need to attend all meetings. In 

some cases, task forces or subcommittees can complete 

the work. When the planning team chooses to use this 

option, it should provide project guidance (e.g., time 

frames, milestones) but let the subcommittee members 

determine when it is most convenient to meet. 

• Consider using external facilitators. Third-party 

facilitators can perform a vital function by keeping the 

process focused and mediating disagreements. 

4-2 
4. The Planning Process 

The key to planning in a group setting is to allow open and frank discussion during the process. 

Interaction among planners can help elicit a common operational understanding. Individual group 

members must be encouraged to express objections or doubts. If a planner disagrees with a proposed 

solution, that planner must also identify what needs to be fixed. 

Identify Core Planning Team 

In most jurisdictions, the emergency manager or homeland security manager is the senior official’s policy 

advisor for prevention, protection, response, recovery, and mitigation strategies, as well as overall 

preparedness. The emergency manager or homeland security manager may also be the prevention and 

protection advisor, if that role is not given to a law enforcement official or other designated advisor. In 

these roles, emergency managers or homeland security managers are often responsible for coordinating 

and developing an EOP, filling the role of lead planner. This means that the emergency manager provides 

oversight to a jurisdiction’s planning team. However, other government agencies or departments may 

have statutory authority and responsibility that overlaps or complements this responsibility. For example, 

law enforcement often has the lead in addressing prevention and protection, while public health addresses 

unique epidemiological issues. 

It is important to include a hazard mitigation expert on the planning team. Mitigation planners are a 

valuable resource for information concerning hazard analysis, functional vulnerabilities, critical facilities, 

and funding availability. Including mitigation promotes continuity throughout emergency planning and 

helps reduce the number of physical constraints by leveraging resources to address anticipated operational 

requirements. 

Increasingly, emergency management agencies are hiring permanent staff and/or contracting subject 

matter experts to provide expertise on disability, access and functional needs, children, and household 

pets and service animals for the emergency planning process. These experts provide critical perspectives 

and information to ensure individuals with disabilities, others with access and functional needs, and 

individuals with limited English proficiency are fully integrated into EOPs. These experts can also help 

ensure compliance with anti-discrimination laws. 

Even at this early stage, planners 

should begin thinking about the impact 

of who is involved in the planning 

process, as it will have a major impact 

on preparedness and operational 

requirements. 

For example, if there is no hazardous 

materials response capability in a 

jurisdiction, planners will need to 

consider how to obtain that capability 

(through agreements) or develop that 

capability (through equipment, 

training, licensing, etc.). 

Conversely, failure to include groups 

in planning (such as advocates for 

those with access or functional needs) 

will lead to mistakes and/or shortfalls 

in capability and resource 

requirements. 

The planner must ensure that operational planning involves the 

jurisdiction’s entire emergency management and homeland 

security team. Initially, the team should be small, consisting of 

planners from the organizations that usually participate in 

emergency or homeland security operations. They form the core 

for all planning efforts. As an EOP matures, the core team 

expands to include other planners. 

Jurisdictions that use an agency and department operational 

structure might use a core team consisting of planners from the 

following: 

• Emergency management 

• Law enforcement 

• Fire services 

• EMS 

• Public health 

 4-3 
Comprehensive Preparedness Guide 101 

• Hospitals and health care facilities 

• Public works 

• Utility operators 

• Education 

• Agriculture 

• Animal control 

• Social services 

• Childcare, child welfare, and juvenile justice facilities (including courts) 

• National Guard 

• Private sector 

• Civic, social, faith-based, educational, professional, and advocacy organizations (e.g., those that 

address disability and access and functional needs issues, children’s issues, immigrant and 

racial/ethnic community concerns, animal welfare, and service animals). 

A jurisdiction might want to base the core planning team’s membership on the EOP structure it uses. For 

example, jurisdictions using an ESF structure might form a core team composed of planners from the lead 

agencies or departments for ESF #4 (Fire), ESF #5 (Emergency Management), ESF #6 (Mass Care), 

ESF #8 (Public Health and Medical Services), and ESF #13 (Public Safety). Note that these ESF titles are 

examples. While the Federal naming convention is preferred for consistency, a jurisdiction should use its 

local ESF naming convention in its plans. 

Regardless of the core planning team structure, the involvement of executives from the member agencies, 

departments, or CIKR organizations (where appropriate) is critical. They are able to speak with authority 

on policy, provide subject matter expertise, and provide accountability as it relates to their agency or 

department. 

Engaging the Whole Community in Planning 

Engaging in community-based planning—planning that is for the whole community and involves the 

whole community—is crucial to the success of any plan. Determining how to effectively engage the 

community in this planning process is one of the biggest challenges faced by planners. This challenge 

may be built on misperceptions about a community’s interest in participating in the process, security 

concerns about involving those outside government, or a failure to jointly and adequately define the role 

of the community in the planning process. Community leaders have a keen understanding about their 

community’s needs and capabilities and are a valuable stakeholder that can support the planning process 

in many ways. Community-based planning should also include notifying affected, protected groups of 

opportunities to participate in planning activities and making such activities accessible to the entire 

community (e.g., use of interpreters and translated announcements). 

Communities may or may not be geographically constrained. Geographic communities are generally the 

basis for emergency management agencies and are constructed around political boundaries. The 

geographic community includes a number of communities of interest. These communities of interest are 

not necessarily confined to the borders of a jurisdiction and may center on physical, social, cultural, or 

philosophical structures. Examples include: 

• Civic, social, faith-based, educational, professional, and advocacy organizations 

4-4 
4. The Planning Process 

• Immigrant and limited English proficiency constituencies Case Studies: Private Sector 

Partnerships

Arlington County, Virginia has 

developed the “Safer Arlington 

Partnership,” a program engaging 

non-profit, private sector, and public 

sector organizations in which 

members work together to enhance 

the level of preparedness in the 

County. The program’s mission is 

achieved through four task forces: 

Training and Exercises, Information 

and Tools, Resource Inventory and 

Management, and Education and 

Outreach. More information regarding 

this initiative can be found at 

http://www.fema.gov/pdf/privatesector/

safer_arlington_partnership.pdf. 

Several large metropolitan areas have 

also integrated the private sector into 

their catastrophic planning activities, 

including Honolulu (pandemic 

planning), Los Angeles/ Long Beach 

(disaster housing), National Capital 

Region (evacuation and contra-flow), 

New York/New Jersey (infrastructure 

protection, disaster housing), Norfolk 

(commodities and resource 

management), and Seattle 

(evacuation and sheltering). 

• Voluntary organizations 

• Private service providers 

• Critical infrastructure operators 

• Local and regional corporations. 

The private sector is a critical component in community 

engagement. Not only are they often the primary providers of 

critical services to the public, they also possess knowledge and 

resources to supplement and enhance preparedness, response, and 

recovery efforts. Often, private sector and government missions 

overlap—early coordination ensures effective sharing of 

information and resources and facilitates the establishment of 

common goals and objectives. 

Private sector engagement presents unique challenges. The private 

sector plays a critical role in any disaster, and it is important to 

ensure they are active participants in the process, including 

involvement in jurisdictional training and exercise programs. An 

effective outreach program is critical in developing these 

partnerships. 

Disasters begin and end locally. After the response is over, it is the 

local community that lives with the decisions made during the 

incident. Therefore, communities should have a say in how a 

disaster response occurs. They should also shoulder responsibility 

for building their community’s resilience and enhancing its 

recovery before, during, and after a disaster. The community may 

have capabilities and resources that do not exist in the volume 

needed or at all within the traditional government response structure. 

There are many ways to leverage the community’s capabilities and knowledge in the preparedness 

process. Although often viewed as a challenge, engaging the community can be successfully 

accomplished when approached correctly. 

The foundation for community-based planning is knowing the community (see Figure 4.2). A keen 

understanding of the actual population and its needs will have a profound effect on the success or failure 

of any plan. Understanding the requirements of those with access and functional needs affects mass care 

courses of action and the resulting plans. Additionally, the number of children in the community will 

affect the ways in which schools are used as a resource, in turn defining some of the requirements for 

reunification planning. Engaging the community will increase the likelihood that people follow protective 

action measures during a crisis because they understand how plans address household pets or service 

animals. Likewise, taking into account the perceptions and fears of some populations, such as 

undocumented immigrants, may increase the plan’s effectiveness. 

 4-5 
Comprehensive Preparedness Guide 101 

4-6 

Figure 4.2: Community Engagement in Planning 

Finally, it is critical to include civic leaders, members of the public, and representatives of communitybased organizations in the planning process. They may serve as an important resource for validating 

assumptions about public needs, capabilities, and reactions. Because many planning assumptions and 

response activities will directly impact the public at large, involving the whole community during the 

planning phase is essential. This involvement should continue during validation and implementation. 

Potential roles include support to planning teams, public outreach, and establishing Community 

Emergency Response Teams (CERT). Planners can obtain assistance for including the whole community 

in the planning process from state or local Citizen Corps Councils, as well as the Local Emergency 

Planning Committee (LEPC). Pre-established partnerships and relationships are important for leveraging 

subject matter expertise and resources during a disaster. 
4. The Planning Process 

Step 2: Understand the Situation 

Effective risk management depends on a consistent comparison of the hazards a particular jurisdiction 

faces. This is typically performed through a threat/hazard identification and risk assessment process that 

collects information about threats and hazards and assigns values to risk for the purposes of determining 

priorities, developing or comparing courses of action, and informing decision making. Depending on the 

resources available and leadership, a jurisdiction could conduct an in-depth process—cataloging 

everything from specific asset vulnerabilities to emergency personnel staffing levels. Often, however, this 

level of analysis is not possible or practical; in such cases, jurisdictions should conduct a risk assessment 

of achievable and appropriate scale and scope. 

Identify Threats and Hazards 

Planners should start the problem-solving process by conducting research and analysis on the 

jurisdiction’s threats and hazards. Considering the potential risks a jurisdiction may face brings specificity 

to the planning process. If risks are problems and operational plans are the solution, then hazard and 

threat identification and analysis are key steps in the planning process. 

The first step of research focuses on gathering information about the jurisdiction’s planning framework, 

potential risks, resource base, demographics, household pet and service animal population, and 

geographic characteristics that could affect emergency operations. There are many existing resources 

available to support planners in this step. 

Threat assessments prepared for or by agencies may provide information on potential “soft targets” and 

threats within the jurisdiction. In addition, jurisdictions’ hazard mitigation plans are an excellent resource 

for this step, as they are required to identify, catalog, and analyze all natural hazards that have the ability 

to impact the specified community. Jurisdictions should take additional steps to include human-caused 

and technological hazards. 

Federal and state analyses that include data about historical incidents faced by the community also 

provide valuable information for this step. In addition, local organizations (e.g., the local chapter of the 

American Red Cross), utilities, other businesses, and members of the planning team can provide records 

about their experiences. 

As an additional source, planning teams can use state and local fusion centers to provide analytical 

products, such as risk and trend analyses, that are derived from the systematic collection and evaluation of 

threat information. Fusion centers also provide access to national-level intelligence and can serve as a 

mechanism to “deconflict” information. 

Sources for expertise on hazard or threat potential include jurisdictional agencies; academic, industrial, 

and public interest group researchers; private consultants specializing in hazard or threat analysis; and 

professional associations concerned with the hazards or threats on a planner’s list. Sources of information 

on the community and possible consequences from risks vary. To determine the potential consequences of 

certain facility-based hazards, planners might check with the facility owner/operator or the agency 

(Federal, state, territorial, tribal, local, or regional) that regulates that kind of facility. The LEPC may be 

able to assist with this information. For demographics, census data are available, as are off-the-shelf 

computer products that organize such data by zip code. Knowing the number and type of household pets 

and service animals the jurisdiction may need to accommodate during an emergency situation will also 

guide preparedness activities. Sources of such data include market statistics, household pet licensing 

databases, and rabies vaccination records. 

 4-7 
Comprehensive Preparedness Guide 101 

The planning team should also make extensive use of the existing information about the jurisdiction. For 

example, the local planning and zoning commission or department may have extensive demographic, land 

use, building stock, and similar data. Building inspection offices maintain data on the structural integrity 

of buildings, codes in effect at time of construction, and the hazard effects that a code addresses. Local 

public works (or civil engineering) departments and utilities are sources for information on potential 

damage to and restoration time for the critical infrastructures threatened by hazard effects. The chamber 

of commerce may offer a perspective on damage to businesses and general economic loss. Other sources 

of information mentioned previously—emergency service logs and reports, universities, professional 

associations, etc.—also apply. 

Understanding the consequences of a potential incident requires gathering information about the potential 

access and functional needs of residents within the community. To begin planning, jurisdictions must 

have an accurate assessment—an informed estimate of the number and types of individuals with 

disabilities and others with access and functional needs residing in the community. Emergency planners 

should base their assessments on lists and information collected from multiple relevant sources, such as: 

• U.S. Census data • Utility providers 

• Social services listings (e.g., dialysis centers, 

Meals on Wheels) 

• Congregate settings (e.g., nursing homes, 

summer camps) 

• Paratransit providers • Schools and universities 

• Bureau of motor vehicles (accessible parking 

permit holders) 

• Medicaid 

• Centers for Independent Living • Hospitals 

• Home health agencies • Daycare centers (for children or senior citizens) 

• Vocational rehabilitation and job access 

services 

• Places of worship 

• Disability services providers • Homeless shelters 

• Health or behavioral health agencies • Housing programs. 

If planners compile the numbers from various lists, often referred to as the “list of lists” concept, they will 

have an estimate of the number of individuals residing in their communities, which will benefit planning 

for sufficient transportation and sheltering. Together, these lists can provide raw numbers vital to 

understanding the magnitude of the community’s requirements. Emergency managers should also gather 

as much information as possible regarding the types of services these individuals require so emergency 

staff can be adequately trained and resource needs can be met. 

These different types of assessments are sometimes mistakenly considered the same as registries when, in 

fact, they are different. A registry is a database of individuals who voluntarily sign up and meet the 

eligibility requirements for receiving emergency response services based on a need (the criteria for which 

should be established by the jurisdiction). 

The next step of the threat and hazard identification process is to organize the information into a format 

that is usable by the planning team. One effective method for organizing hazard or threat information is to 

use a matrix based on dimensions used during the risk analysis process: 

• Probability or frequency of occurrence 

• Magnitude (the physical force associated with the hazard or threat) 

4-8 
4. The Planning Process 

 4-9 

• Intensity/severity (the impact or damage expected) 

• Time available to warn 

• Location of the incident (an area of interest or a specific or indeterminate site or facility) 

• Potential size of the affected area 

• Speed of onset (how fast the hazard or threat can impact the public) 

• Duration (how long the hazard or threat will be active) 

• Cascading effects. 

Depending on the kinds of decisions and analyses the information is meant to support, planners might use 

other categories for data organization. For example, the decision that one hazard poses a greater threat 

than another may require only a qualitative estimate (e.g., high versus medium), whereas planning how to 

deal with health and medical needs caused by a particular hazard may require estimates of likely fatalities 

and injuries. 

Assess Risk 

The risk assessment7

 is the basis for EOP development. The 

assessment helps a planning team decide what hazards or threats 

merit special attention, what actions must be planned for, and 

what resources are likely to be needed. The analysis method 

inventories, evaluates, and provides loss estimates for assets 

deemed critical during the response and recovery phases of an 

incident. Planners can also obtain the Hazards U.S. Multi-Hazard 

(HAZUS-MH) model from FEMA. HAZUS-MH is a nationally 

applicable and standardized methodology and software program 

that estimates potential losses from earthquakes, floods, and 

hurricane winds. This type of hazard assessment is similar to that 

which is required for hazard mitigation plans. In fact, if the 

community possesses a FEMA-approved multi-hazard mitigation plan, an assessment may be readily 

available. Mitigation plans can be used as reference documents to simplify the development of most 

hazards-based analyses. 

The information gathered during the jurisdictional assessment of individuals with disabilities and others 

with access and functional needs requires a detailed analysis. Emergency planners need to review the 

assessment findings and analyze the quantity and types of resources (including personnel) needed during 

different types of incidents. For example, a jurisdiction with a large number of limited English 

proficiency residents might need to identify methods by which language assistance will be provided (e.g., 

bilingual personnel, interpreters, translated documents) to support operations, such as evacuation, 

sheltering, and recovery. Additionally, planners need to work with social services agencies to plan for 

unaccompanied minors and to assess for types of resources needed for the community’s children during 

and following a disaster. 

Hazard and threat analysis requires that the planning team knows risks that have occurred or could occur 

in the jurisdiction. The process should begin with a list of the risks that concern planners, developed from 

research conducted earlier in the planning process. A list of concerns might include those listed in Table 

4.1. 

 

7

 FEMA Publication 386-2, Understanding Your Risks: Identifying Hazards and Estimating Losses, provides a detailed method for 

conducting hazard and risk assessments for many hazards. 

Remember that as the situation is 

analyzed and hazards or threats are 

prioritized, each carries with it training, 

equipment, and exercise 

requirements. It is not too early—even 

if only at a high level—to consider 

what is within the scope of capability 

of the jurisdiction and how those 

capabilities can be enhanced through 

preparedness activities and by the 

adding or sharing of resources. 
Comprehensive Preparedness Guide 101 

4-10 

Table 4.1: Sample Hazards List 

Natural Hazards Technological Hazards Human-Caused Hazards 

• Avalanche 

• Disease outbreak 

• Drought 

• Earthquake 

• Epidemic 

• Flood 

• Hurricane 

• Landslide 

• Tornado 

• Tsunami 

• Volcanic eruptio

Wildfire 

n 

• Urban conflagration 

•

• Winter storm 

• Airplane crash 

• Dam/levee failure 

• HAZMAT release 

• Power failure 

• Radiological release 

• Train derailment 

• Civil disturbance 

• Cyber events 

• Terrorist acts 

• Sabotage 

• School violence 

Planners must keep in mind that hazard or threat lists pose two problems. The first is exclusion or 

omission. There is always a potential for new and unexpected risks (part of the reason why maintaining a

all-hazards, all-threats capability is important). The second is that such lists involve groupings, which can 

affect subsequent analysis. A list may give the impression that hazards or threats are independent of one 

another, when in fact they are often related (e.g., an earthquake might cause dam failure). Lists may gr

very different causes or sequences of events that require different types of responses under one category

For example, “Flood” might include dam failure, cloudbursts, or heavy rain upstream. Lists also may 

group a whole range of consequences under the category of a sing

n 

oup 

. 

le hazard. “Terrorism,” for example, 

ould include use of conventional explosives against people or critical infrastructure; nuclear detonation; 

s or 

t 

es, 

re static. Some hazards or threats may pose a risk to the 

ommunity that is so limited that additional analysis is not necessary. Others might be dynamic, such as 

• Facts are verified pieces of information, such as laws, regulations, terrain maps, population statistics, 

resource inventories, and prior occurrences. 

c

or release of lethal chemical, biological, or radiological material. 

Using a risk analysis, the planning team must compare and prioritize risks to determine which hazard

threats merit special attention in planning (and other emergency and homeland security management 

efforts). The team must consider the frequency of the hazard or threat and the likelihood or severity 

potential of its consequences in order to develop a single indicator of the risk to the jurisdiction. This 

effort allows for comparisons and the setting of priorities. While a mathematical approach is possible, i

may be easier to manipulate qualitative ratings (e.g., high, medium, low) or index numbers (e.g., reducing 

quantitative information to a 1-to-3, 1-to-5, or 1-to-10 scale based on defined thresholds) for different 

categories of information used in the ranking scheme. Some approaches involve the consideration of only 

two categories—frequency and consequences—and treat them as equally important. In other approach

potential consequences receive more weight than frequency. While it is important to have a sense of the

magnitude involved (whether in regard to the single indicator used to rank hazards or to estimate the 

numbers of people affected), these indicators a

c

HAZMAT toxicity and transportation routes. 

The analysis process produces facts and assumptions, which can be distinguished as follows: 
4. The Planning Process 

• Assumptions consist of information accepted by planners as being true in the absence of facts in order 

to provide a framework or establish expected conditions of an operational environment so that 

planning can proceed. Assumptions are used as facts only if they are considered valid (or likely to be 

true) and are necessary for solving the problem. 

Incident managers replace assumptions with facts when they implement a plan. For example, when 

producing a flood annex, planners may assume the location of the water overflow, size of the flood hazard 

area, and speed of the rise in water. When the plan is put into effect as the incident unfolds, operations 

personnel replace assumptions with the facts of the situation and modify the plan accordingly. Planners 

should use assumptions sparingly and put great effort into performing research and acquiring facts, 

including the use of historical precedent. 

The outcomes of the analysis process help planners determine goals and objectives (Step 3) and select the 

supporting planning concept they will use when developing the plan (Step 4). 

Step 3: Determine Goals and Objectives 

Determine Operational Priorities 

Operational priorities specify what the responding organizations are to accomplish to achieve a desired 

end-state for the operation. The senior official may communicate desired end-states for the operations 

addressed in the plans. By using information from the risk profile developed as part of the analysis 

process, the planning team engages the senior official to establish how the hazard or threat would evolve 

in the jurisdiction and what defines a successful outcome for responders, disaster survivors, and the 

community. 

Starting with a given intensity for the hazard or threat, the team imagines an incident’s development from 

prevention and protection efforts, through initial warning (if available) to its impact on the jurisdiction (as 

identified through analysis) and its generation of specific consequences (e.g., collapsed buildings, loss of 

critical services or infrastructure, death, injury, displacement). These scenarios should be realistic and 

created on the basis of the jurisdiction’s hazard/threat and risk data. Planners may use the incidents that 

have the greatest impact on the jurisdiction (worst-case), those that are most likely to occur, or an incident 

constructed from the impacts of a variety of risks. During this process of building an incident scenario, 

the planning team identifies the requirements that determine actions and resources. Planners are looking 

for requirements generated by the hazard or threat, the response, and by constraints/restraints. 

• Requirements can be caused by the nature of the hazard or threat. They lead to functions, such as law 

enforcement intervention, public protection, population warning, and search and rescue. Response 

requirements are caused by actions taken in response to an agent-generated problem. These tend to be 

common to all operations. An example is the potential need for emergency refueling during a largescale evacuation. Subsets could include the needs to find a site for refueling, identify a fuel supplier, 

identify a fuel pumping method, control traffic, and collect stalled vehicles. 

• A constraint is something that must be done (“must do”), while a restraint is something that prohibits 

action (“must not do”). They may be caused by a law, regulation, or management directive; some 

physical characteristic (e.g., terrain and road networks that make east-west evacuations impossible); 

or resource limitations. 

Once the requirements are identified, the planning team restates them as priorities and affirms those 

priorities with the senior official. 

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Comprehensive Preparedness Guide 101 

Set Goals and Objectives Example: Relationships among the 

Mission, Operational Priorities, 

Goals, and Objectives 

Plan Mission: Effectively coordinate 

and direct available resources to 

protect the public and property from 

hazards or threats.

Operational Priority: Protect the 

public from hurricane weather and 

storm surge.

Goal: Complete evacuation before 

arrival of tropical storm winds. 

Desired result: All self- and assisted 

evacuees are safely outside of the 

expected impact area prior to impact. 

Objective: Complete tourist 

evacuation 72 hours before arrival of 

tropical storm winds.

Desired result: tourist segment of 

public protected prior to hazard onset, 

allowing resources to be redirected to 

accomplishing other objectives in 

support of this goal or other goals. 

Goals and objectives must be carefully crafted to ensure they 

support accomplishing the plan mission and operational priorities. 

They must also clearly indicate the desired result or end-state they 

are designed to yield. This approach enables unity of effort and 

consistency of purpose among the multiple groups and activities 

involved in executing the plan. 

Goals are broad, general statements that indicate the intended 

solution to problems identified by planners during the previous 

step. They are what personnel and equipment resources are 

supposed to achieve. They help identify when major elements of 

the response are complete and when the operation is successful. 

Objectives are more specific and identifiable actions carried out 

during the operation. They lead to achieving response goals and 

determining the actions that participants in the operation must 

accomplish. Translating these objectives into activities, 

implementing procedures, or operating procedures by responsible 

organizations is part of planning. As goals and objectives are set, 

planners may identify more requirements that will feed into the 

development of courses of action as well as the capability 

estimate (see Step 4). 

Step 4: Plan Development 

Develop and Analyze Courses of Action 

This step is a process of generating, comparing, and selecting possible solutions for achieving the goals 

and objectives identified in Step 3. Planners consider the requirements, goals, and objectives to develop 

several response alternatives. The art and science of planning helps determine how many solutions or 

alternatives to consider; however, at least two options should always be considered. Developing only one 

solution may speed the planning process, but it will probably provide for an inadequate response, leading 

to more damaging effects on the affected population or environment. 

Developing courses of action uses the hybrid planning approach previously discussed. When developing 

courses of actions, planners depict how an operation unfolds by building a portrait of the incident’s 

actions, decision points, and participant activities. This process helps planners identify tasks that occur 

immediately at incident initiation, tasks that are more mid-incident focused, and tasks that affect longterm operations. The planning team should work through this process by using tools that help members 

visualize operational flow, such as a white board, “sticky note” chart (see Figure 4.3), or some type of 

project management or special planning software. 

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4. The Planning Process 

Figure 4.3: “Sticky Note” Chart 

Course of action development follows these steps: Courses of Action in a Nutshell

Courses of action address the what/ 

who/when/where/why/how for each 

solution. 

As each potential course of action is 

identified, the planner should consider 

where it supports the priorities, goals, 

and objectives established by the 

senior official. Additionally, the course 

of action should be examined to 

determine whether it is feasible and 

whether the stakeholders that are 

needed to implement it find it 

acceptable. 

• Establish the timeline. Planners should cover all mission 

areas in the timeline and typically use the speed of incident 

onset to establish the timeline. The timeline may also change 

by phases. For example, a hurricane’s speed of onset is 

typically days, while a major HAZMAT incident’s speed of 

onset is minutes. The timeline for a hurricane might be in 

hours and days, particularly during the pre- and post-impact 

phases. The timeline for the HAZMAT incident would most 

likely be in minutes and hours. For a multijurisdictional or 

layered plan, the timeline for a particular scenario is the same 

at all participating levels of government. Placement of 

decision points and response actions on the timeline depicts 

how soon the different entities enter the plan. 

• Depict the scenario. Planners use the scenario information 

developed in Step 3 and place the incident information on the timeline. 

• Identify and depict decision points. Decision points indicate the place in time, as incidents unfold, 

when leaders anticipate making decisions about a course of action. They indicate where and when 

decisions are required to provide the best chance of achieving an intermediate objective or response 

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Comprehensive Preparedness Guide 101 

goal (the desired end-state). They also help planners determine how much time is available or needed 

to complete a sequence of actions. 

• Identify and depict operational tasks. For each operational task depicted, some basic information is 

needed. Developing this information helps planners incorporate the task into the plan when they are 

writing it. Planners correctly identify an operational task when they can answer the following 

questions about it: 

– What is the action? 

– Who is responsible for the action? 

– When should the action take place? 

– How long should the action take and how much time is actually available? 

– What has to happen before? 

– What happens after? 

– What resources does the person/entity need to perform the action? 

• Select courses of action. Once the above analysis is complete, planners must compare the costs and 

benefits of each proposed course of action against the mission, goals, and objectives. Based on this 

comparison, planners then select the preferred courses of action to move forward in the planning 

process. While not necessary for every course of action identified, planners should use their best 

judgment and identify when the selection of a course or courses of action will need to be elevated to 

the senior elected or appointed official for approval. Where practical, the appropriate official should 

approve these actions prior to the review and completion of the plan. 

“Red-Teaming” as a Method for Analyzing Courses of Action 

A “peer review” process for plans is a useful tool for examining whether plans contain all of the necessary 

elements. Leveraging expertise from outside the jurisdiction will aid in challenging assumptions and identifying 

gaps in the jurisdiction’s courses of action. 

For plans dealing with adaptive threats (e.g., terrorism), examining plans “through the eyes of the adversary” can 

lead to significant improvements and a higher probability of success. This process is known as “red-teaming.” 

Essential elements of a red-team review include: 

 Engaging the law enforcement community and fusion centers to act as the adversary 

 Understanding the operational environment (e.g., geography, demography, economy, culture) 

 Establishing a potential adversary’s identity, resources, tactics, and possible courses of action 

 Evaluating the plan under multiple scenarios and a wide range of circumstances using tabletop exercises, 

facilitated seminars, and computer models and simulations to aid in analysis. 

Red teams should foster a culture of critical thinking, intellectualism, and self-criticism. Red team members 

should be creative, objective, intellectually curious, and able to manage their egos. Red teams must act with 

ingenuity and enthusiasm to develop and apply customized approaches to every problem. Red teams need to 

cultivate expertise, recognize the limitations of their own knowledge, constantly seek and evaluate new insights, 

and have access to the opinions and understanding of truly informed experts. Finally, red teams need to avoid 

being confrontational. Red team members need to work closely and solicit information from the staff; however, it 

is best if they conduct their work in the background to avoid interference from staff members who may have a 

vested interested in a particular course of action. 

Red-teaming is most successful when senior officials endorse and support it. Participants must be able to make 

their comments in an atmosphere of confidentiality and non-attribution. 

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4. The Planning Process 

 4-15 

Identify Resources 

Once courses of action are selected, the planning team identifies resources needed to accomplish tasks 

without regard to resource availability. The object is to identify the resources needed to make the 

operation work. Once the planning team identifies all the requirements, they begin matching available 

resources to requirements. By tracking obligations and assignments, the planning team determines 

resource shortfalls and develops a list of needs that private suppliers or other jurisdictions might fill. The 

resource base should also include a list of facilities vital to emergency operations, and the list should 

indicate how individual hazards might affect the facilities. Whenever possible, planners should match 

resources with other geographical/regional needs so that multiple demands for the same or similar 

resources can be identified and conflicts resolved. This step provides planners an opportunity to identify 

resource shortfalls to pass to higher levels of government and to prepare pre-scripted resource requests, as 

appropriate. The EOP should account for unsolvable resource shortfalls so they are not just “assumed 

away.” The capability estimate process is critical to this effort. 

A capability estimate is a planner’s assessment of a jurisdiction’s ability to take a course of action. 

Capability estimates help planners decide if pursuing a particular course of action is realistic and 

supportable. They help planners better project and understand what might take place during an operation. 

Simply stated, the capability estimate represents the capabilities and resource types needed to complete a 

set of courses of action. The resulting capability estimate will feed into the resource section of the plan or 

annex. 

Capability estimates may be written documents, tables or matrices, or oral presentations. The information 

provided in a capability estimate should be able to answer most questions about a jurisdiction’s ability to 

support a given course of action. Planners can use capability estimates for both future and current 

operational planning. At a minimum, planners should prepare separate capability estimates for personnel, 

administration and finance, operational organizations (e.g., fire, law enforcement, EMS), logistics, 

communications, equipment, and facilities. Each capability estimate compares the courses of action being 

considered for a particular operation. They make recommendations as to which course of action best 

supports the operation. Capability estimates should also identify the criteria used to evaluate each area; 

facts and assumptions that affect those areas; and the issues, differences, and risks associated with a 

course of action. Figure 4.4 provides a suggested format for a capability estimate. 

Figure 4.4: Suggested Capability Estimate Format 
Comprehensive Preparedness Guide 101 

Resource identification is particularly important for supporting 

children; individuals with disabilities, access, and functional 

needs; and household pets and service animals. These 

individuals will require a range of communication, 

transportation, sheltering, human service, medical, and other 

resources throughout the life of an incident. Examples include, 

but are not limited to, durable medical equipment, oxygen, 

paratransit vehicles, accessible shelters, personal assistance services, and sign language interpreters. 

Identifying these requirements and the resources for meeting them ahead of time will help planners fully 

support individuals with disabilities and others with access and functional needs. 

When identifying resources, the needs 

of children are often forgotten, 

including diapers, formula and food 

appropriate for all ages, portable cribs/ 

playpens and the capability to 

supervise unaccompanied children. 

Identify Information and Intelligence Needs 

Another outcome from course of action development is a “list” of the information and intelligence needs 

for each of the response participants. Planners should identify the information and intelligence they will 

need and their deadline(s) for receiving it to drive decisions and trigger critical actions. These needs 

eventually find their way into plan information collection matrices. 

When developing courses of action, the process should be periodically “frozen” so the planning team can: 

• Identify progress made toward the end-state, including goals and objectives met and new needs or 

demands 

• Identify “single point failures” (i.e., tasks that, if not completed, would cause the operation to fall 

apart) 

• Check for omissions or gaps 

• Check for inconsistencies in organizational relationships 

• Check for mismatches between the jurisdiction’s plan and plans from other jurisdictions with which 

they are interacting. 

Step 5: Plan Preparation, Review, and Approval 

Write the Plan 

This step turns the results of course of action development into an EOP. The planning team develops a 

rough draft of the basic plan, functional annexes, hazard-specific annexes, or other parts of the plan as 

appropriate. The recorded results from Step 4 provide an outline for the rough draft. As the planning team 

works through successive drafts, the members add necessary tables, charts, and other graphics. The 

planning team prepares and circulates a final draft to obtain the comments of organizations that have 

responsibilities for implementing the plan. (See Chapter 3 for more information on plan formats.) 

Following these simple rules for writing plans and procedures will help ensure that readers and users 

understand their content: 

• Keep the language simple and clear by writing in plain English. Summarize important information 

with checklists and visual aids, such as maps and flowcharts. 

• Avoid using jargon and minimize the use of acronyms. 

• Use short sentences and the active voice. Qualifiers and vague wording only add to confusion. 

• Provide enough detail to convey an easily understood plan that is actionable. The amount of detail a 

plan should provide depends on the target audience and the amount of certainty about the situation. 

4-16 
4. The Planning Process 

• Format the plan and present its contents so that its readers can quickly find solutions and options. 

Focus on providing mission guidance and not on discussing policy and regulations. Plans should 

provide guidance for carrying out common tasks, as well as enough insight into intent and vision so 

that responders can handle unexpected events. However, when writing a plan, “stay out of the 

weeds.” Procedural documents (e.g., SOPs/SOGs) should provide the fine details. 

• Ensure accessibility by developing tools and documents (e.g., print, electronic, video) so they can be 

easily converted to alternate formats. 

Review the Plan 

Planners should check the written plan for its conformity to applicable regulatory requirements and the 

standards of Federal or state agencies, as appropriate, and for its usefulness in practice. Planners should 

consult the next level of government about its plan review cycle. Reviews of plans allow other agencies 

with emergency or homeland security responsibilities to suggest improvements to a plan on the basis of 

their accumulated experience. For example, states may review local plans, and, upon request, FEMA 

regional offices may assist states in the review of EOPs. Hazard-specific Federal programs, such as the 

Radiological Emergency Preparedness Program, require periodic review of certain sections of the allhazards plan and may require review of associated SOPs/SOGs. 

Commonly used criteria can help decision makers determine the effectiveness and efficiency of plans. 

These measures include adequacy, feasibility, and acceptability. Decision makers directly involved in 

planning can employ these criteria, along with their understanding of plan requirements, not only to 

determine a plan’s effectiveness and efficiency but also to assess risks and define costs. Some types of 

analysis, such as a determination of acceptability, are largely intuitive. In this case, decision makers apply 

their experience, judgment, intuition, situational awareness, and discretion. Other analyses, such as a 

determination of feasibility, should be rigorous and standardized to minimize subjectivity and preclude 

oversights. 

• Adequacy. A plan is adequate if the scope and concept of planned operations identify and address 

critical tasks effectively; the plan can accomplish the assigned mission while complying with 

guidance; and the plan’s assumptions are valid, reasonable, and comply with guidance. 

• Feasibility. A plan is feasible if the organization can accomplish the assigned mission and critical 

tasks by using available resources within the time contemplated by the plan. The organization 

allocates available resources to tasks and tracks the resources by status (e.g., assigned, out of service). 

Available resources include internal assets and those available through mutual aid or through existing 

state, regional, or Federal assistance agreements. 

• Acceptability. A plan is acceptable if it meets the requirements driven by a threat or incident, meets 

decision maker and public cost and time limitations, and is consistent with the law. The plan can be 

justified in terms of the cost of resources and if its scale is proportional to mission requirements. 

Planners use both acceptability and feasibility tests to ensure that the mission can be accomplished 

with available resources, without incurring excessive risk regarding personnel, equipment, material, 

or time. They also verify that risk management procedures have identified, assessed, and applied 

control measures to mitigate operational risk (i.e., the risk associated with achieving operational 

objectives). 

• Completeness. A plan is complete if it: 

– Incorporates all tasks to be accomplished 

– Includes all required capabilities 

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Comprehensive Preparedness Guide 101 

4-18 

– Integrates the needs of the general population, children of all ages, individuals with disabilities 

and others with access and functional needs, immigrants, individuals with limited English 

proficiency, and diverse racial and ethnic populations 

– Provides a complete picture of the sequence and scope of the planned response operation (i.e., 

what should happen, when, and at whose direction) 

– Makes time estimates for achieving objectives 

– Identifies success criteria and a desired end-state. 

• Compliance. The plan should comply with guidance and doctrine to the maximum extent possible, 

because these provide a baseline that facilitates both planning and execution. 

When using these five criteria, planners should ask the following questions: 

• Did an action, a process, a decision, or the operational timing identified in the plan make the situation 

worse or better? 

• Were new alternate courses of action identified? 

• Were the requirements of children, individuals with disabilities, others with access and functional 

needs, immigrants, individuals with limited English proficiency, and diverse racial and ethnic 

populations fully addressed and integrated into all appropriate aspects of the plan? 

• What aspects of the action, process, decision, or operational timing make it something to keep in the 

plan? 

• What aspects of the action, process, decision, or operational timing make it something to avoid or 

remove from the plan? 

• What specific changes to plans and procedures, personnel, organizational structures, leadership or 

management processes, facilities, or equipment can improve operational performance? 

Additionally, when reviewing the plan, a jurisdiction does not have to provide all of the resources needed 

to meet a capability requirement established during the planning effort. However, the plan should explain 

where the jurisdiction will obtain the resources to support those required capabilities. For example, many 

jurisdictions do not have the bomb squads or urban search and rescue teams required to meet certain 

capabilities. Neighboring jurisdictions can provide those resources (or capability elements) through 

MAAs, MOAs, MOUs, regional compacts, or some other formal request process. 

When conducting this review, the checklist in Appendix C will provide a useful benchmark to ensure all 

planning elements are addressed. In particular, those elements related to planning for children, individuals 

with access and functional needs, and those with household pets and service animals are critical to each 

component of the planning process. When planning for these groups, consider the following questions, 

while being mindful of specific concerns for immigrant, racial/ethnic communities, and individuals with 

limited English proficiency: 

Incorporating Children8

• Preparedness 

– Does the planning group include individuals with expertise in pediatric issues, as well as relevant 

advocacy groups, service providers, and subject matter experts? 

 

8

 For additional information, please see the National Commission on Children and Disasters—2010 Report to the President and 

Congress (http://www.childrenanddisasters.acf.hhs.gov/20091014_508IR_partII.pdf). 
4. The Planning Process 

– Does the plan include demographic data and information on the number of children and where 

they tend to be (e.g., schools, daycare facilities)? 

– Does the plan identify the agency with the lead role for coordinating planning efforts and 

ensuring that children are incorporated into all plans? 

– Does the plan identify support agencies to assist the lead agency in coordinating planning efforts 

and ensuring that children are incorporated into all plans? 

– Does the plan identify a child coordinator to provide expertise for the emergency planning 

process and to support the Incident Commander, the Planning Section, and/or the Operations 

Section during an emergency? 

– Does the plan include mechanisms or processes to effectively identify children and families who 

will need additional assistance with their specific health-related needs in advance of, during, and 

following an emergency? 

– Does the plan include mechanisms or processes to secure medical records to enable children with 

disabilities and/or other special health care needs to receive health care and sustained 

rehabilitation in advance of, during, and following an emergency? 

– Does the plan identify which position/agency is authorized to direct supporting departments and 

agencies to furnish materials and commodities for children with disabilities and/or other special 

health care needs? 

– Does the plan identify critical human services and ways to reestablish these services following a 

disaster for children and their families? 

– Does the plan identify roles and responsibilities for supporting children? 

– Does the plan prioritize governmental, nongovernmental, and private sector resources to meet 

critical needs such as accessible housing, rental assistance, debris removal, and emergency repairs 

for families of children with special health care needs? 

– Does the plan describe vetting, training, and use of spontaneous volunteers who may offer their 

services to families with children? 

– Does the plan include mechanisms or processes for provision of emergency childcare services? 

– Does the plan include mechanisms or processes for the reunification of children with families? 

– Do exercises include children and child congregate care settings such as school, childcare, child 

welfare, and juvenile justice facilities? 

• Evacuation Support 

– Does the plan identify which official has the authority to order an evacuation? 

– Does the plan identify the roles and responsibilities for advanced/early evacuation, which is often 

necessary to accommodate children with mobility issues? 

– Does the plan identify the agency that has the lead role in coordinating an evacuation and 

ensuring children are incorporated into all evacuation considerations and planning? 

– Does the plan include mechanisms or processes for providing safe evacuation/transportation 

assistance to unaccompanied minors? 

– Does the plan include mechanisms or processes for tracking children, especially unaccompanied 

minors, during an evacuation? 

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Comprehensive Preparedness Guide 101 

– Does the plan include affirmative recognition of the need to keep children with disabilities with 

their caregivers, mobility devices, other durable medical equipment, and/or service animals 

during an evacuation? 

– Does the plan include mechanisms or processes to ensure the availability of sufficient and timely 

accessible transportation to evacuate children with disabilities whose families do not have their 

own transportation resources? 

– Does the plan identify means and methods by which evacuation transportation requests from 

schools, specifically schools with children who have disabilities, are collected and consolidated? 

– Does the plan identify means by which incoming transportation requests will be tracked, 

recorded, and monitored as they are fulfilled? 

– Does the plan identify accessible transportation resources (including paratransit service vehicles, 

school buses, municipal surface transit vehicles, drivers, and/or trained attendants) that can 

provide needed services during an evacuation? 

– Does the plan address re-entry? 

• Shelter Operations 

– Does the plan include mechanisms or processes for ensuring there will be adequate accessible 

shelters that fully address the requirements of children, including those with medical needs? 

– Does the plan address adequate shelter space allocation for families who have children with 

special needs (i.e., disabilities and chronic medical needs) who may need additional space for 

assistive devices (e.g., wheelchairs, walkers)? 

– Does the plan address necessary developmentally appropriate supplies (e.g., diapers, formula, age 

appropriate foods), staff, medicines, durable medical equipment, and supplies that would be 

needed during an emergency for children with disabilities and other special health care needs? 

– Does the plan include mechanisms or processes for handling of and providing for unaccompanied 

minors in shelters? 

• Public Information and Outreach 

– Does the plan identify ways to promote personal preparedness among children, as well as their 

families and caregivers (including school and daycare personnel)? 

– Does the plan identify mechanisms for disseminating timely and accessible emergency public 

information using multiple methods (e.g., television, radio, Internet, sirens) to reach families of 

children with sensory and cognitive disabilities, as well as families with limited English 

proficiency? 

Incorporating Individuals with Access and Functional Needs 

• Preparedness 

– Does the planning group include individuals with disabilities and others with access and 

functional needs, as well as relevant advocacy groups, service providers, and subject matter 

experts? 

– Does the plan include a definition for “individuals with disabilities and others with access and 

functional needs,” consistent with all applicable laws? 

– Does the plan include demographic data and information on the number of individuals in the 

community with disabilities and others with access and functional needs (using assessment and 

current registry data, if available)? 

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4. The Planning Process 

– Does the plan identify the agency with the lead role for coordinating planning efforts and 

ensuring that individuals with access and functional needs are incorporated into all plans? 

– Does the plan identify support agencies to assist the lead agency in coordinating planning efforts 

and ensuring individuals with access and functional needs are incorporated into all plans? 

– Does the plan identify a disability advisor to provide expertise for the emergency planning 

process and to support the Incident Commander, the Planning Section, and/or the Operations 

Section during an emergency? 

– Does the plan include mechanisms or processes to effectively identify people who will need 

additional assistance and their specific health-related needs in advance of, during, and following 

an emergency? 

– Does the plan include mechanisms or processes to secure medical records to enable persons with 

disabilities or access and functional needs and acute health care needs to receive health care and 

sustained rehabilitation in advance of, during, and following an emergency? 

– Does the plan identify which position/agency is authorized to direct supporting departments and 

agencies to furnish materials and commodities for individuals with disabilities and others with 

access and functional needs? 

– Does the plan identify critical human services and ways to reestablish these services following a 

disaster for individuals with disabilities and others with access and functional needs to enable 

individuals to regain and maintain their previous level of independence and functioning? 

– Does the plan identify roles and responsibilities for supporting individuals with disabilities and 

others with access and functional needs during both the short- and long-term recovery process? 

– Does the plan prioritize governmental, nongovernmental, and private sector resources to meet 

critical needs such as accessible housing, rental assistance, debris removal, and emergency repairs 

for individuals with disabilities and others with access and functional needs? 

– Does the plan include mechanisms or processes for the training and use of spontaneous volunteers 

who may offer their services to individuals with disabilities and others with access and functional 

needs to assist with physical, programmatic, and communications access and other functional 

needs? 

• Evacuation Support 

– Does the plan identify which official has the authority to order an evacuation? 

– Does the plan identify the roles and responsibilities for advanced/early evacuation, which is often 

necessary to accommodate persons with mobility issues? 

– Does the plan identify the agency that has the lead role in coordinating an evacuation and 

ensuring those individuals with disabilities and others with access and functional needs are 

incorporated into all evacuation considerations and planning? 

– Does the plan include affirmative recognition of the need to keep people with disabilities with 

their support systems, mobility devices, other durable medical equipment, and/or service animals 

during an evacuation? 

– Does the plan include mechanisms or processes to ensure the availability of sufficient and timely 

accessible transportation to evacuate individuals with disabilities and others with access and 

functional needs who do not have their own transportation resources? 

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Comprehensive Preparedness Guide 101 

– Does the plan identify means and methods by which evacuation transportation requests from 

individuals with disabilities and others with access and functional needs are collected and 

consolidated? 

– Does the plan identify means by which incoming transportation requests will be tracked, 

recorded, and monitored as they are fulfilled? 

– Does the plan identify accessible transportation resources (including paratransit service vehicles, 

school buses, municipal surface transit vehicles, drivers, and/or trained attendants) that can 

provide needed services during an evacuation? 

– Does the plan address re-entry? 

• Shelter Operations 

– Does the plan include mechanisms or processes for ensuring that general population shelters are 

accessible and have planned to fully address the physical, programmatic, and communications 

accessibility requirements of individuals with disabilities and others with access and functional 

needs? 

– Does the plan address the need for adequate shelter space allocation for individuals with 

disabilities and others with access and functional needs who may need additional space for 

assistive devices (e.g., wheelchairs, walkers)? 

– Does the plan include mechanisms or processes for ensuring Americans with Disabilities Act 

Accessibility Guidelines govern the shelter site selection and operation? 

– Does the plan address necessary staff, medicines, durable medical equipment, and supplies that 

would be needed during an emergency for individuals with disabilities and others with access and 

functional needs? 

• Public Information and Outreach 

– Does the plan identify ways to promote personal preparedness among individuals with disabilities 

and others with access and functional needs, as well as their families and service providers? 

– Does the plan identify mechanisms for disseminating timely and accessible emergency public 

information using multiple methods (e.g., television, radio, Internet, sirens) to reach individuals 

with sensory, intellectual, and cognitive disabilities, as well as individuals with limited English 

proficiency? 

Incorporating Household Pets and Service Animals 

• Preparedness 

– Does the plan describe the partnership between the jurisdiction’s emergency management agency, 

the animal control authority, the mass care provider(s), and the owner of each proposed 

congregate household pet sheltering facility? 

– Does the plan have or refer to an MOA/MOU or MAA that defines the roles and responsibilities 

of each organization involved in household pet and service animal response? 

– Do organizations with agreed upon responsibilities in the plan have operating procedures that 

govern their mobilization and actions? 

– Does the plan recommend just-in-time training for spontaneous volunteers and out-of-state 

responders? 

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4. The Planning Process 

– Does the plan encourage household pet owners and service animal owners to make arrangements 

for private accommodations for themselves and their household pets and service animals prior to 

a disaster or emergency situation? 

• Evacuation Support 

– Does the plan address the evacuation and transportation of household pets from their homes or by 

their owners or those household pets rescued by responders to congregate household pet shelters? 

– Does the plan address how owners will be informed where congregate household pet shelters are 

located and which shelter to use? Does the plan provide for the conveyance of household pets or 

service animals whose owners are dependent on public transportation? 

– Does the plan address how household pets that are provided with evacuation assistance are 

registered, documented, tracked, and reunited with their owners if they are separated during 

assisted evacuations? 

– Does the plan address the responsibility of transportation providers to transport service animals 

with their owners? 

• Shelter Operations 

– Does the plan identify the agency responsible for coordinating shelter operations? 

– Does the plan provide guidance to human shelter operators on the admission and treatment of 

service animals? 

– Does the plan identify an agency in the jurisdiction that regulates nonemergency, licensed animal 

facilities (e.g., animal control shelters, nonprofit household pet rescue shelters, private breeding 

facilities, kennels)? 

– Does the plan establish criteria that can be used to expeditiously identify congregate household 

pet shelters and alternate facilities? 

– Does the plan provide guidance about utility provisions, such as running water, adequate lighting, 

proper ventilation, electricity, and backup power, at congregate household pet shelters? 

– Does the plan include mechanisms or processes to reduce/eliminate the risk of injury by an 

aggressive or frightened animal, the possibility of disease transmission, and other health risks for 

responders and volunteers staffing the congregate household pet shelter? 

– Does the plan recommend a pre-disaster inspection and development of agreements for each 

congregate household pet facility? 

– Does the plan provide for the care and maintenance of each facility while in use as a shelter? 

– Does the plan identify equipment and supplies that may be needed to operate each congregate 

household pet shelter, as well as supplies that household pet owners may bring with them to the 

congregate shelter? 

– Does the plan provide for the physical security of each congregate household pet facility, 

including perimeter controls and security personnel? 

– Does the plan provide for acceptance of donated resources (e.g., food, bedding, containers)? 

– Does the plan provide for the acquisition, storage, and security of food and water supplies? Does 

the plan provide for the diverse dietary needs of household pets? 

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• Registration and Animal Intake 

– Does the plan establish provisions for the sheltering of unclaimed animals that cannot be 

immediately transferred to an animal control shelter? 

– Does the plan provide for segregation or seizure of household pets showing signs of abuse? 

– Does the plan provide for household pet registration? Does the plan provide for installation and 

reading of microchip technology for rapid and accurate identification of household pets? 

– Does the plan provide for technical consultation/supervision by a veterinarian or veterinary 

technician as official responders? 

– Does the plan identify the need for all animals to have a current rabies vaccination? 

– Does the plan provide for the case when non-eligible animals are brought to the shelter?9

• Animal Care 

– Does the plan provide for the housing of a variety of household pet species (e.g., size of 

crate/cage, temperature control, appropriate lighting)? 

– Does the plan provide for separation of household pets based on appropriate criteria and 

requirements?10

– Does the plan provide for the consultation of a veterinarian or animal care expert with household 

pet sheltering experience regarding facility setup and maintenance? 

– Does the plan provide for the setup and maintenance of household pet confinement areas (e.g., 

crates, cages, pens) for safety, cleanliness, and control of noise level? 

– Does the plan recommend the setup of a household pet first aid area inside each shelter? 

– Does the plan provide for the control of fleas, ticks, and other pests at each congregate household 

pet shelter? 

– Does the plan provide criteria for designating and safely segregating aggressive animals? 

– Does the plan provide for the segregation or quarantine of household pets to prevent the 

transmission of disease? 

– Does the plan recommend the relocation of a household pet to an alternate facility (e.g., 

veterinary clinic, animal control shelter) due to illness, injury, or aggression? 

– Does the plan recommend providing controlled areas (indoor or outdoor) for exercising dogs? 

– Does the plan provide for household pet waste and dead animal disposal? 

– Does the plan provide for the reunion of rescued animals with their owners? 

– Does the plan include mechanisms or processes to address the long-term care, permanent 

relocation, or disposal of unclaimed household pets? 

• Public Information and Outreach 

– Does the plan provide mechanisms for continually updating public statements on shelter capacity 

and availability as people/animals are coming to shelters? 

– Does the plan provide for a public education program? 

 

9

 According to FEMA Disaster Assistance Policy 9523.19, household pets do not include reptiles (except turtles), amphibians, fish, 

insects/arachnids, farm animals (including horses), and animals kept for racing purposes. 10 Animal Welfare Publications and Reports. United States Department of Agriculture, Animal and Plant Health Inspection Service. 

http://www.aphis.usda.gov/animal_welfare/publications_and_reports.shtml. 
4. The Planning Process 

– Does the plan provide for the coordination of household pet evacuation and sheltering 

information with the jurisdiction’s public information officer or Joint Information Center? 

– Does the plan provide for communication of public information regarding shelter-in-place 

accommodation of household pets, if available? 

• Record Keeping 

– Does the plan define the methods of pre- and post-declaration funding for the jurisdiction’s 

household pet and service animal preparedness and emergency response program? 

– Does the plan describe how to capture eligible costs for reimbursement by the Public Assistance 

Program as defined in Disaster Assistance Policy (DAP) 9523.19, Eligible Costs Related to Pet 

Evacuations and Sheltering? 

– Does the plan describe how to capture eligible donations for volunteer labor and resources as 

defined in DAP 9525.2, Donated Resources? 

– Does the plan describe how to capture eligible donations for mutual aid resources as defined in 

DAP 9523.6, Mutual Aid Agreements for Public Assistance and Fire Management Assistance? 

Similar checklists can be developed as appropriate by the jurisdiction to address other critical population 

sectors, including populations with diverse languages and culture, populations with economic challenges, 

populations that depend on public transportation, and nonresident visitors. 

Approve and Disseminate the Plan 

Once the plan has been validated, the planner should present the plan to the appropriate elected officials 

and obtain official promulgation of the plan. The promulgation process should be based in a specific 

statute, law, or ordinance. Obtaining the senior official’s approval through a formal promulgation 

documentation process is vital to gaining the widest acceptance possible for the plan. It is also important 

to establish the authority required for changes and modifications to the plan. 

Once the senior official grants approval, the planner should arrange to distribute the plan and maintain a 

record of the people and organizations that received a copy (or copies) of the plan. “Sunshine” laws may 

require that a copy of the plan be posted on the jurisdiction’s website or be placed in some other public 

accessible location. The plan should be available in alternate formats, upon request, to maintain 

compliance with the Americans with Disabilities Act. 

Step 6: Plan Implementation and Maintenance 

Training 

After developing a plan, it must be disseminated and managers must be required to train their personnel 

so they have the knowledge, skills, and abilities needed to perform the tasks identified in the plan. 

Personnel should also be trained on the organization-specific procedures necessary to support those plan 

tasks. 

Exercise the Plan 

Evaluating the effectiveness of plans involves a combination of training events, exercises, and real-world 

incidents to determine whether the goals, objectives, decisions, actions, and timing outlined in the plan 

led to a successful response. In this way, homeland security and other emergency preparedness exercise 

programs become an integral part of the planning process. Similarly, planners need to be aware of lessons 

and practices from other communities. The Lessons Learned Information Sharing website 

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Comprehensive Preparedness Guide 101 

4-26 

(http://www.llis.dhs.gov) provides an excellent forum for evaluating concepts identified in a jurisdiction’s 

plan against the experiences of others. 

A remedial action process can help a planning team identify, 

illuminate, and correct problems with the jurisdiction’s EOP. This 

process captures information from exercises, post-disaster critiques, 

self-assessments, audits, administrative reviews, or lessons-learned 

processes that may indicate that deficiencies exist. Members of the 

planning team should reconvene to discuss the problem and to 

consider and assign responsibility for generating remedies across all 

mission areas. Remedial actions may involve revising planning 

assumptions and operational concepts, changing organizational tasks, 

or modifying organizational implementing instructions (i.e., the 

SOPs/SOGs). Remedial actions may also involve providing refresher 

training for an organization’s personnel. 

“Living” Plans

Plans must not be placed on a 

shelf to collect dust!

Whenever possible, training and 

exercise must be conducted for 

each plan to ensure that current 

and new personnel are familiar 

with the priorities, goals, 

objectives and courses of action. 

Plan maintenance is also critical 

to the continued utility of the 

plans an organization has 

developed. A number of 

operations have had setbacks 

due to old information, ineffective 

procedures, incorrect role 

assignments, and outdated laws. 

Further, the priorities for a 

jurisdiction may change over time 

as the makeup of the included 

communities change, as 

resources expand or contract, 

and as capabilities evolve. 

Routinely Review Your Plans! 

The final component of a remedial action process is a mechanism for 

tracking and following up on the assigned actions. As appropriate, 

significant issues and problems identified through a remedial action 

process and/or the annual review should provide the information 

needed to allow the planning team to make the necessary revision(s) 

to the plan. 

Review, Revise, and Maintain the Plan 

This step closes the loop in the planning process. It focuses on adding 

the information gained by exercising the plan to the research collected 

in Step 2 and starting the planning cycle over again. Remember, 

planning is a continuous process that does not stop when the plan is 

published. Plans should evolve as lessons are learned, new 

information and insights are obtained, and priorities are updated. 

Planning teams should establish a process for reviewing and revising the plan. Reviews should be a 

recurring activity. Some jurisdictions have found it useful to review and revise portions of their EOPs 

every month. Many accomplish their reviews on an annual basis. In no case should any part of the plan go 

for more than two years without being reviewed and revised. Teams should also consider reviewing and 

updating the plan after the following events: 

• A major incident 

• A change in operational resources (e.g., policy, personnel, organizational structures, management 

processes, facilities, equipment) 

• A formal update of planning guidance or standards 

• A change in elected officials 

• Each activation 

• Major exercises 

• A change in the jurisdiction’s demographics or hazard or threat profile 

• A change in the acceptability of various risks 

• The enactment of new or amended laws or ordinances. 
Appendix A: Authorities and 

References 

Authorities and Directives 

Americans with Disabilities Act of 1990 as amended by the Americans with Disabilities Act 

Amendments Act of 2008, Public Law 110-325. 

Architectural Barriers Act of 1968, 41 U.S.C. 4151 et seq. 

Civil Rights Act of 1964, Title VI, Public Law 88-352. 

Code of Federal Regulations, Title 44, Chapter 1, Federal Emergency Management Agency, 

October 1, 2009. 

Consolidated Appropriations Act, 2008, Public Law 110-161. 

Disaster Mitigation Act of 2000, Public Law 106-390. 

Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency, 

August 11, 2000. 

Executive Order 13347, Individuals with Disabilities in Emergency Preparedness, July 26, 2004. 

Fair Housing Act as amended in 1988, 42 U.S.C 3601. 

Homeland Security Act of 2002, 6 U.S.C. 101, et seq., as amended. 

Homeland Security Presidential Directive 5, Management of Domestic Incidents, February 28, 2003. 

Homeland Security Presidential Directive 7, Critical Infrastructure Identification, Prioritization, 

and Protection, December 17, 2003. 

Homeland Security Presidential Directive 8, National Preparedness, December 17, 2003. 

Homeland Security Presidential Directive 8, Annex I, National Planning, February 2008. 

National Security Presidential Directive 51/ Homeland Security Presidential Directive 20, National 

Continuity Policy, May 4, 2007. 

Pets Evacuation and Transportation Standards Act of 2006, Public Law 109-308. 

Post-Katrina Emergency Management Reform Act of 2006, Public Law 109-295. 

Rehabilitation Act of 1973, Public Law 93-112. 

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Robert T. Stafford Disaster Relief and Emergency Assistance Act of 1988, 42 U.S.C. 5121, et seq., 

as amended. 

Superfund Amendments and Reauthorization Act of 1986, Public Law 99-149, as amended. 

References 

Abbott, L. 2002. “Emergency Planning in Local Authorities.” Municipal Engineer. 151(4): pp. 245–247. 

Alexander, D. 2002. Principles of Emergency Planning and Management. Oxford University Press. 

“Americans with Disabilities Act Best Practices Tool Kit for State and Local Governments.” U.S. 

Department of Justice. (http://www.usdoj.gov/crt/ada//pcatoolkit/chap7shelterchk.htm). 

“An Americans with Disabilities Act Guide for Local Governments: Making Community Emergency 

Preparedness and Response Programs Accessible to People with Disabilities.” U.S. Department of 

Justice. (http://www.usdoj.gov/crt/ada/emergencyprep.htm). 

Association of State and Territorial Health Officials. 2002. Preparedness Planning for State Health 

Officials: An Analysis of State Emergency Operations Plans. Washington, DC: Association of State and 

Territorial Health Officials. 

Canton, L.G. 2007. Emergency Management: Concepts and Strategies for Effective Programs. Hoboken, 

NJ: John Wiley and Sons. 

“Disability Preparedness Resource Center.” Disability Preparedness. U.S. Department of Homeland 

Security. (http://www.DisabilityPreparedness.gov). 

Drabek, T. 1986. Human Systems Response to Disaster: An Inventory of Sociological Findings. 

New York, NY: Springer-Verlag. 

Drabek, T., H. Tammings, T. Kilijanek, and C. Adams. 1981. Managing Multiorganizational Emergency 

Responses. Boulder, CO: University of Colorado. 

Dynes, R.R. 1994. “Community Emergency Planning: False Assumptions and Inappropriate Analogies.” 

International Journal of Mass Emergencies and Disasters. 12 (2): pp. 141–158 (August). 

Dynes, R.R., E.L. Quarantelli, and G.A. Kreps. 1981. A Perspective on Disaster Planning, 3rd ed. Report 

Series No. 11. Columbus, OH: Disaster Research Center, The Ohio State University. 

Emergency Management Accreditation Program. 2007. Emergency Management Accreditation Program 

Standard. Lexington, KY: Emergency Management Accreditation Program. 

Emergency Planning and Special Needs Populations. FEMA Emergency Management Institute. 

(http://training.fema.gov/index.asp). 

Federal Emergency Management Agency (FEMA). 2008. Chemical Stockpile Emergency Preparedness 

Program Planning Guidance. Washington, DC: FEMA. 

2009. Accommodating Individuals with Disabilities in the Provision of Disaster Mass Care, 

Housing, and Human Services. FEMA. (http://www.fema.gov/oer/reference/). 

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Appendix A: Authorities and References 

Gordon, J.A. 2002. Comprehensive Emergency Management for Local Governments: Demystifying 

Emergency Planning. New London, CT: Rothstein Associates, Incorporated. 

Hewett, P.L., Jr., J.E. Mitrani, W.C. Metz, and J.J. Vercellone. 2001. “Coordinating, Integrating, and 

Synchronizing Disaster Response: Use of an Emergency Response Synchronization Matrix in Emergency 

Planning, Exercises, and Operations.” International Journal of Mass Emergencies and Disasters 19(3): 

pp. 329–348 (August). 

Inman, A. 2005. Planning for the Unplanned. New York, NY: Routledge. 

Jablonowski, M. 1999. “Divide and Conquer: A Modular Approach to Contingency Planning.” Disaster 

Recovery Journal. Fall: pp. 70–72. 

Kamien, D. (Ed.). 2006. The McGraw Hill Homeland Security Handbook. New York, NY: McGraw Hill. 

Lindell, M.K., and R.W. Perry. 1992. Behavioral Foundations of Community Emergency Planning. 

Washington, DC: Hemisphere Publishing Corporation. 

National Fire Protection Association. 2010. National Fire Protection Association 1600: Standard on

Disaster/Emergency Management and Business Continuity Programs. Quincy, MA: National Fire 

Protection Association. 

National Response Team. 2001. NRT 1: Hazardous Materials Emergency Planning Guide. Washington, 

DC: National Response Team. 

O’Leary, M. (Ed.). 2004. The First 72 Hours: A Community Approach to Disaster Preparedness. 

New York, NY: iUniverse, Incorporated. 

Perry, R.W., and M.K. Lindell. 2007. Emergency Planning. Hoboken, NJ: John Wiley and Sons. 

Quarantelli, E.L. 1995. Disaster Planning, Emergency Management and Civil Protection: The Historical 

Development and Current Characteristics of Organized Efforts to Prevent and Respond to Disasters. 

Paper No. 227. Newark, DE: Disaster Research Center, University of Delaware. 

1989. “Planning and Management for the Prevention and Mitigation of Natural Disasters, 

Especially in a Metropolitan Context: Initial Questions and Issues Which Need to Be Addressed.” 

Planning for Crisis Relief: Towards Comprehensive Resource Management and Planning for 

Natural Disaster Prevention, Volume 3. Nagoya, Japan: United Nations Centre for Regional 

Development. 

1988. “Assessing Disaster Preparedness Planning.” Regional Development Dialogue. 9(1): 

pp. 48–69 (Spring). 

1987. Criteria Which Could Be Used in Assessing Disaster Preparedness Planning and 

Managing. Paper No. 122. Newark, DE: Disaster Research Center, University of Delaware. 

1985. Organization Behavior in Disasters and Implications for Planning. Report Series No. 18. 

Newark, DE: Disaster Research Center, University of Delaware. 

“Saving Lives: Including People with Disabilities in Emergency Planning.” National Council on 

Disability. (http://www.ncd.gov/newsroom/publications/2005/saving_lives.htm). 

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Schwab, A.K., K. Eschelbach, and D.J. Brower. 2007. Hazard Mitigation and Preparedness. Hoboken, 

NJ: John Wiley and Sons. 

Sylves, R.T., and W. Waugh, Jr. 1996. Disaster Management in the U.S. and Canada: The Politics, 

Policymaking, Administration, and Analysis of Emergency Management. Springfield, IL: Charles C. 

Thomas Publisher. 

U.S. Department of the Army. 2005. Field Manual 5-0: Army Planning and Orders Production. 

Washington, DC: U.S. Department of the Army. 

U.S. Department of Homeland Security (DHS). 2008. DHS Risk Lexicon. Washington, DC: DHS. 

2009. National Infrastructure Protection Plan. Washington, DC: DHS. 

2008. National Incident Management System. Washington, DC: DHS. 

2008. National Response Framework. Washington, DC: DHS. 

2007. Accommodating Individuals with Disabilities in the Provision of Disaster Mass Care, 

Housing, and Human Services Reference Guide. Washington, DC: DHS. 

2007. Emergency Management Planning Guide for Special Needs Populations. Washington, DC: 

DHS. 

2007. National Preparedness Guidelines. Washington, DC: DHS. 

2007. National Strategy for Information Sharing. Washington, DC: DHS. 

2006. Local and Tribal NIMS Integration, Version 1.0. Washington, DC: DHS. 

2006. Nationwide Plan Review Phase 2 Report. Washington, DC: DHS. 

2006. State NIMS Integration, Version 1.0. Washington, DC: DHS. 

2005. National Planning Scenarios. Washington, DC: DHS. 

2005. National Preparedness Guidance. Washington, DC: DHS. 

Waeckerle, J.F. 1991. “Disaster Planning and Response.” The New England Journal of Medicine. 

324(12): pp. 815–821 (March). 

Wang, H.M. 2004. “Contingency Planning: Emergency Planning for Terrorist Attacks.” IEEE A&E 

Systems Magazine: pp. 21–25 (March). 

Waugh, W.L., and K. Tierney (Eds.). 2007. Emergency Management: Principles and Practice for Local 

Government, 2nd ed. International City Management Association. 

Working Conference on Emergency Management and Individuals with Disabilities and the Elderly. U.S. 

Department of Health and Human Services and U.S. Department of Homeland Security. (http://www.addem-conf.com/index.htm). 
Appendix B: List of 

Acronyms and Glossary 

List of Acronyms 

AAR After-Action Report 

CBRNE Chemical, Biological, Radiological, Nuclear, and High-Yield Explosive 

CERT Community Emergency Response Team 

CIKR Critical Infrastructure and Key Resources 

COG Continuity of Government 

CONOPS Concept of Operations 

COOP Continuity of Operations 

CPG Comprehensive Preparedness Guide 

DAP Disaster Assistance Policy 

DHS U.S. Department of Homeland Security 

EAS Emergency Alert System 

EMS Emergency Medical Services 

EOC Emergency Operations Center 

EOP Emergency Operations Plan 

ESF Emergency Support Function 

FEMA Federal Emergency Management Agency 

FOG Field Operations Guide 

HAZMAT Hazardous Material(s) 

HAZUS-MH Hazards U.S. Multi-Hazard 

ICS Incident Command System 

JFO Joint Field Office 

LEPC Local Emergency Planning Committee 

MAA Mutual Aid Agreement 

MOA Memorandum of Agreement 

MOU Memorandum of Understanding 

NIMS National Incident Management System 

NRF National Response Framework 

P.L. Public Law 

SOG Standard Operating Guideline 

SOP Standard Operating Procedure 

U.S.C. United States Code 

Glossary 

Access and Functional Needs 

Those actions, services, accommodations, and programmatic, architectural, and communication 

modifications that a covered entity must undertake or provide to afford individuals with disabilities a full 

and equal opportunity to use and enjoy programs, services, activities, goods, facilities, privileges, 

advantages, and accommodations in the most integrated setting. These actions are in light of the exigent 

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Comprehensive Preparedness Guide 101 

circumstances of the emergency and the legal obligation to undertake advance planning and prepare to 

meet the disability-related needs of individuals who have disabilities as defined by the Americans with 

Disabilities Act Amendments Act of 2008, P.L. 110-325, and those associated with them. 

Access and functional needs may include modifications to programs, policies, procedures, architecture, 

equipment, services, supplies, and communication methods. Examples of “access and functional needs” 

services may include a reasonable modification of a policy, practice, or procedure or the provision of 

auxiliary aids and services to achieve effective communication, including but not limited to: 

• An exception for service animals in an emergency shelter where there is a no-pets policy 

• The provision of way-finding assistance to someone who is blind to orient to new surroundings 

• The transferring and provision of toileting assistance to an individual with a mobility disability 

• The provision of an interpreter to someone who is deaf and seeks to fill out paperwork for public 

benefits. 

American Red Cross 

A nongovernmental humanitarian organization led by volunteers that provides relief to victims of 

disasters and helps people prevent, prepare for, respond to, and recover from emergencies. The American 

Red Cross accomplishes this through services that are consistent with its Congressional Charter and the 

Principles of the International Red Cross Movement. 

Attack 

A hostile action taken against the United States by foreign forces or terrorists, resulting in the destruction 

of or damage to military targets, injury or death to the civilian population, or damage to or destruction of 

public and private property. 

Capabilities-based Planning 

Planning, under uncertainty, to provide capabilities suitable for a wide range of threats and hazards while 

working within an economic framework that necessitates prioritization and choice. Capabilities-based 

planning addresses uncertainty by analyzing a wide range of scenarios to identify required capabilities. 

Checklist 

Written (or computerized) enumeration of actions to be taken by an individual or organization meant to 

aid memory rather than provide detailed instruction. 

Citizen Corps 

A community-based program, administered by FEMA, which includes Citizen Corps councils and other 

programs that bring government and nongovernmental entities together to conduct all-hazards emergency 

preparedness and operations. Through its network of state, territorial, tribal and local councils, Citizen 

Corps increases community preparedness and response capabilities through collaborative planning, public 

education, outreach, training, and volunteer service. Additionally, programs like the Community 

Emergency Response Team Program train members of the public in basic disaster response skills, such as 

fire safety, light search and rescue, team organization, and disaster medical operations. 

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Appendix B: List of Acronyms and Glossary 

Community 

Community has more than one definition. Each use depends on the context: 

• A political or geographical entity that has the authority to adopt and enforce laws and ordinances for 

the area under its jurisdiction. In most cases, the community is an incorporated town, city, township, 

village, or unincorporated area of a county. However, each state defines its own political subdivisions 

and forms of government. 

• A group of individuals (community of interest) who have a religion, a lifestyle, activity interests, an 

interest in volunteer organizations, or other characteristics in common. These communities may 

belong to more than one geographic community. Examples include: faith-based and social 

organizations; nongovernmental and volunteer organizations; private service providers; critical 

infrastructure operators; and local and regional corporations. 

Consequence 

An effect of an incident or occurrence. 

Dam 

A barrier built across a watercourse for the purpose of impounding, controlling, or diverting the flow of 

water. 

Damage Assessment 

The process used to appraise or determine the number of injuries and deaths, damage to public and private 

property, and status of key facilities and services (e.g., hospitals and other health care facilities, fire and 

police stations, communications networks, water and sanitation systems, utilities, transportation 

networks) resulting from a human-caused or natural disaster. 

Disability 

According to the Americans with Disabilities Act, the term “individual with a disability” refers to “a 

person who has a physical or mental impairment that substantially limits one or more major life activities, 

a person who has a history or record of such an impairment, or a person who is regarded by others as 

having such an impairment.” The term “disability” has the same meaning as that used in the Americans 

with Disabilities Act Amendments Act of 2008, P.L. 110-325, as incorporated into the Americans with 

Disabilities Act. See http://www.ada.gov/pubs/ada.htm for the definition and specific changes to the text 

of the Americans with Disabilities Act. State laws and local ordinances may also include individuals 

outside the Federal definition. 

Disaster 

An occurrence of a natural catastrophe, technological accident, or human-caused incident that has resulted 

in severe property damage, deaths, and/or multiple injuries. As used in this Guide, a “large-scale disaster” 

is one that exceeds the response capability of the local jurisdiction and requires state, and potentially 

Federal, involvement. As used in the Robert T. Stafford Disaster Relief and Emergency Assistance Act 

(Stafford Act), a “major disaster” is “any natural catastrophe [...] or, regardless of cause, any fire, flood, 

or explosion, in any part of the United States, which in the determination of the President causes damage 

of sufficient severity and magnitude to warrant major disaster assistance under [the] Act to supplement 

the efforts and available resources of states, local governments, and disaster relief organizations in 

alleviating the damage, loss, hardship, or suffering caused thereby” (Stafford Act, Sec. 102(2), 42 U.S.C. 

5122(2)). 

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Earthquake 

The sudden motion or trembling of the ground produced by abrupt displacement of rock masses, usually 

within the upper 10 to 20 miles of the earth’s surface. 

Emergency 

Any incident, whether natural or human-caused, that requires responsive action to protect life or property. 

Under the Stafford Act, an emergency “means any occasion or instance for which, in the determination of 

the President, Federal assistance is needed to supplement state and local efforts and capabilities to save 

lives and to protect property and public health and safety, or to lessen or avert the threat of a catastrophe 

in any part of the United States” (Stafford Act, Sec. 102(1), 42 U.S.C. 5122(1)). 

Emergency Assistance 

According to the National Response Framework, emergency assistance is “[a]ssistance required by 

individuals, families, and their communities to ensure that immediate needs beyond the scope of the 

traditional ‘mass care’ services provided at the local level are addressed. These services include: support 

to evacuations (including registration and tracking of evacuees); reunification of families; provision of aid 

and services to special needs populations; evacuation, sheltering, and other emergency services for 

household pets and services animals; support to specialized shelters; support to medical shelters; 

nonconventional shelter management; coordination of donated goods and services; and coordination of 

voluntary agency assistance.” 

Emergency Medical Services 

Services, including personnel, facilities, and equipment, required to ensure proper medical care for the 

sick and injured from the time of injury to the time of final disposition (which includes medical 

disposition within a hospital, temporary medical facility, or special care facility; release from the site; or 

being declared dead). Further, emergency medical services specifically includes those services 

immediately required to ensure proper medical care and specialized treatment for patients in a hospital 

and coordination of related hospital services. 

Emergency Operations Center 

The physical location at which the coordination of information and resources to support incident 

management (on-scene operations) activities normally takes place. An Emergency Operations Center may 

be a temporary facility or may be located in a more central or permanently established facility, perhaps at 

a higher level of organization within a jurisdiction. Emergency Operations Centers may be organized by 

major functional disciplines (e.g., fire, law enforcement, medical services), by jurisdiction (e.g., Federal, 

state, tribal, regional, city, county), or by some combination thereof. 

Emergency Operations Plan 

The ongoing plan maintained by various jurisdictional levels for responding to a wide variety of potential 

hazards. It describes how people and property will be protected; details who is responsible for carrying 

out specific actions; identifies the personnel, equipment, facilities, supplies, and other resources available; 

and outlines how all actions will be coordinated. 

Emergency Support Function 

Used by the Federal Government and many state governments as the primary mechanism at the 

operational level to organize and provide assistance. Emergency Support Functions align categories of 

resources and provide strategic objectives for their use. Emergency Support Functions use standardized 

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Appendix B: List of Acronyms and Glossary 

resource management concepts such as typing, inventorying, and tracking to facilitate the dispatch, 

deployment, and recovery of resources before, during, and after an incident. 

Evacuation 

The organized, phased, and supervised withdrawal, dispersal, or removal of civilians from dangerous or 

potentially dangerous areas, and their reception and care in safe areas. 

• A spontaneous evacuation occurs when residents or citizens in the threatened areas observe an 

incident or receive unofficial word of an actual or perceived threat and, without receiving instructions 

to do so, elect to evacuate the area. Their movement, means, and direction of travel are unorganized 

and unsupervised. 

• A voluntary evacuation is a warning to persons within a designated area that a threat to life and 

property exists or is likely to exist in the immediate future. Individuals issued this type of warning or 

order are not required to evacuate; however, it would be to their advantage to do so. 

• A mandatory or directed evacuation is a warning to persons within the designated area that an 

imminent threat to life and property exists and individuals must evacuate in accordance with the 

instructions of local officials. 

Evacuees 

All persons removed or moving from areas threatened or struck by a disaster. 

Federal Coordinating Officer 

The official appointed by the President to execute Stafford Act authorities, including the commitment of 

FEMA resources and mission assignments of other Federal departments or agencies. In all cases, the 

Federal Coordinating Officer represents the FEMA Administrator in the field to discharge all FEMA 

responsibilities for the response and recovery efforts underway. For Stafford Act incidents, the Federal 

Coordinating Officer is the primary Federal representative with whom the State Coordinating Officer and 

other response officials interface to determine the most urgent needs and to set objectives for an effective 

response in collaboration with the Unified Coordination Group. 

Flood 

A general and temporary condition of partial or complete inundation of normally dry land areas from 

overflow of inland or tidal waters, unusual or rapid accumulation or runoff of surface waters, or 

mudslides/mudflows caused by accumulation of water. 

Governor’s Authorized Representative 

An individual empowered by a Governor to: (1) execute all necessary documents for disaster assistance 

on behalf of the state, including certification of applications for public assistance; (2) represent the 

Governor of the impacted state in the Unified Coordination Group, when required; (3) coordinate and 

supervise the state disaster assistance program to include serving as its grant administrator; and (4) 

identify, in coordination with the State Coordinating Officer, the state’s critical information needs for 

incorporation into a list of Essential Elements of Information. 

Hazard 

A natural, technological, or human-caused source or cause of harm or difficulty. 

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Hazardous Material 

Any substance or material that, when involved in an accident and released in sufficient quantities, poses a 

risk to people’s health, safety, and/or property. These substances and materials include explosives, 

radioactive materials, flammable liquids or solids, combustible liquids or solids, poisons, oxidizers, 

toxins, and corrosive materials. 

Household Pet 

According to FEMA Disaster Assistance Policy 9253.19, “[a] domesticated animal, such as a dog, cat, 

bird, rabbit, rodent, or turtle, that is traditionally kept in the home for pleasure rather than for commercial 

purposes, can travel in commercial carriers, and be housed in temporary facilities. Household pets do not 

include reptiles (except turtles), amphibians, fish, insects/arachnids, farm animals (including horses), and 

animals kept for racing purposes.” This definition is used by FEMA to determine assistance that FEMA 

will reimburse and is the definition used in the production of this Guide. Individual jurisdictions may 

have different definitions based on other criteria. 

Hurricane 

A tropical cyclone, formed in the atmosphere over warm ocean areas, in which wind speeds reach 74 

miles per hour or more and blow in a large spiral around a relatively calm center or eye. Circulation is 

counter-clockwise in the Northern Hemisphere and clockwise in the Southern Hemisphere. 

Incident 

An occurrence or event—natural, technological, or human-caused—that requires a response to protect 

life, property, or the environment (e.g., major disasters, emergencies, terrorist attacks, terrorist threats, 

civil unrest, wildland and urban fires, floods, hazardous materials spills, nuclear accidents, aircraft 

accidents, earthquakes, hurricanes, tornadoes, tropical storms, tsunamis, war-related disasters, public 

health and medical emergencies, other occurrences requiring an emergency response). 

Incident Command System 

A standardized on-scene emergency management construct specifically designed to provide an integrated 

organizational structure that reflects the complexity and demands of single or multiple incidents, without 

being hindered by jurisdictional boundaries. The Incident Command System is the combination of 

facilities, equipment, personnel, procedures, and communications operating within a common 

organizational structure and designed to aid in the management of resources during incidents. It is used 

for all kinds of emergencies and is applicable to small, as well as large and complex, incidents. The 

Incident Command System is used by various jurisdictions and functional agencies, both public and 

private, to organize field-level incident management operations. 

Incident Management Assistance Team 

A national-based or regional-based team composed of SMEs and incident management professionals, 

usually composed of personnel from multiple Federal departments and agencies, which provide incident 

management support during a major incident. 

Joint Field Office 

The primary Federal incident management field structure. The Joint Field Office is a temporary Federal 

facility that provides a central location for the coordination of Federal, state, territorial, tribal, and local 

governments and private sector and nongovernmental organizations with primary responsibility for 

response and recovery. The Joint Field Office structure is organized, staffed, and managed in a manner 

consistent with National Incident Management System principles and is led by the Unified Coordination 

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Appendix B: List of Acronyms and Glossary 

Group. Although the Joint Field Office uses an Incident Command System structure, the Joint Field 

Office does not manage on-scene operations. Instead, the Joint Field Office focuses on providing support 

to on-scene efforts and conducting broader support operations that may extend beyond the incident site. 

Joint Information Center 

A facility established to coordinate all incident-related public information activities. It is the central point 

of contact for all news media. Public information officials from all participating agencies should co-locate 

at the Joint Information Center. 

Jurisdiction 

Jurisdiction has more than one definition. Each use depends on the context: 

• A range or sphere of authority. Public agencies have jurisdiction at an incident related to their legal 

responsibilities and authority. Jurisdictional authority at an incident can be political or geographical 

(e.g., city, county, tribal, state, or Federal boundary lines) or functional (e.g., law enforcement, public 

health). 

• A political subdivision (e.g., Federal, state, county, parish, municipality) with the responsibility for 

ensuring public safety, health, and welfare within its legal authorities and geographic boundaries. 

Likelihood 

Estimate of the potential for an incident’s occurrence. 

Limited English Proficiency 

Persons who do not speak English as their primary language and who have a limited ability to read, speak, 

write, or understand English. 

Mass Care 

The actions that are taken to protect evacuees and other disaster victims from the effects of the disaster. 

Activities include mass evacuation, mass sheltering, mass feeding, access and functional needs support, 

and household pet and service animal coordination. 

Mitigation 

Activities providing a critical foundation in the effort to reduce the loss of life and property from natural 

and/or human-caused disasters by avoiding or lessening the impact of a disaster and providing value to 

the public by creating safer communities. Mitigation seeks to fix the cycle of disaster damage, 

reconstruction, and repeated damage. These activities or actions, in most cases, will have a long-term 

sustained effect. 

National Incident Management System 

A set of principles that provides a systematic, proactive approach guiding government agencies at all 

levels, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect 

against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, 

or complexity, in order to reduce the loss of life or property and harm to the environment. 

National Response Framework 

This document establishes a comprehensive, national, all-hazards approach to domestic incident response. 

It serves as a guide to enable responders at all levels of government and beyond to provide a unified 

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Comprehensive Preparedness Guide 101 

national response to a disaster. It defines the key principles, roles, and structures that organize the way 

U.S. jurisdictions plan and respond. 

Nongovernmental Organization 

An entity with an association that is based on the interests of its members, individuals, or institutions. It is 

not created by a government, but it may work cooperatively with government. Such organizations serve a 

public purpose and are not for private benefit. Examples of nongovernmental organizations include faithbased charity organizations and the American Red Cross. 

Planning Assumptions 

Parameters that are expected and used as a context, basis, or requirement for the development of response 

and recovery plans, processes, and procedures. If a planning assumption is not valid for a specific 

incident’s circumstances, the plan may not be adequate to ensure response success. Alternative methods 

may be needed. For example, if a decontamination capability is based on the planning assumption that the 

facility is not within the zone of release, this assumption must be verified at the beginning of the response. 

Preparedness 

Actions that involve a combination of planning, resources, training, exercising, and organizing to build, 

sustain, and improve operational capabilities. Preparedness is the process of identifying the personnel, 

training, and equipment needed for a wide range of potential incidents, and developing jurisdictionspecific plans for delivering capabilities when needed for an incident. 

Prevention 

Actions to avoid an incident or to intervene to stop an incident from occurring. Prevention involves 

actions to protect lives and property. It involves applying intelligence and other information to a range of 

activities that may include such countermeasures as deterrence operations; heightened inspections; 

improved surveillance and security operations; investigations to determine the full nature and source of 

the threat; public health and agricultural surveillance and testing processes; immunizations, isolation, or 

quarantine; and, as appropriate, specific law enforcement operations aimed at deterring, preempting, 

interdicting, or disrupting illegal activity and apprehending potential perpetrators and bringing them to 

justice. 

Protected Group 

A group of people qualified for special protection by a law, policy, or similar authority. For example, 

Title VI of the Civil Rights Act of 1964 protects against discrimination on the grounds of race, color, or 

national origin. 

Protection 

Actions to reduce or eliminate a threat to people, property, and the environment. Primarily focused on 

adversarial incidents, the protection of critical infrastructure and key resources is vital to local 

jurisdictions, national security, public health and safety, and economic vitality. Protective actions may 

occur before, during, or after an incident and prevent, minimize, or contain the impact of an incident. 

Recovery 

The development, coordination, and execution of service and site restoration plans; the reconstitution of 

government operations and services; individual, private sector, nongovernmental, and public assistance 

programs to provide housing and to promote restoration; long-term care and treatment of affected 

persons; additional measures for social, political, environmental, and economic restoration; evaluation of 

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Appendix B: List of Acronyms and Glossary 

the incident to identify lessons learned; post-incident reporting; and development of initiatives to mitigate 

the effects of future incidents. 

Resource Management 

A system for identifying available resources at all jurisdictional levels to enable timely, efficient, and 

unimpeded access to resources needed to prepare for, respond to, or recover from an incident. Resource 

management under the National Incident Management System includes mutual aid and assistance 

agreements; the use of special Federal, state, territorial, tribal, and local teams; and resource mobilization 

protocols. 

Response 

Immediate actions to save and sustain lives, protect property and the environment, and meet basic human 

needs. Response also includes the execution of plans and actions to support short-term recovery. 

Risk 

The potential for an unwanted outcome resulting from an incident or occurrence, as determined by its 

likelihood and the associated consequences. 

Risk Analysis 

A systematic examination of the components and characteristics of risk. 

Risk Assessment 

A product or process that collects information and assigns values to risks for the purpose of informing 

priorities, developing or comparing courses of action, and informing decision making. 

Risk Identification 

The process of finding, recognizing, and describing potential risks. 

Risk Management 

The process of identifying, analyzing, assessing, and communicating risk and accepting, avoiding, 

transferring, or controlling it to an acceptable level at an acceptable cost. 

Scenario 

Hypothetical situation composed of a hazard, an entity impacted by that hazard, and associated conditions 

including consequences when appropriate. 

Scenario-based Planning 

A planning approach that uses a hazard vulnerability assessment to assess the hazard’s impact on an 

organization on the basis of various threats that the organization could encounter. These threats (e.g., 

hurricane, terrorist attack) become the basis of the scenario. 

Senior Official 

The elected or appointed official who, by statute, is charged with implementing and administering laws, 

ordinances, and regulations for a jurisdiction. He or she may be a mayor, city manager, etc. 

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Comprehensive Preparedness Guide 101 

Service Animal 

Any guide dog, signal dog, or other animal individually trained to assist an individual with a disability. 

Service animals’ jobs include, but are not limited to: 

• Guiding individuals with impaired vision 

• Alerting individuals with impaired hearing (to intruders or sounds such as a baby’s cry, the doorbell, 

and fire alarms) 

• Pulling a wheelchair 

• Retrieving dropped items 

• Alerting people of impending seizures 

• Assisting people who have mobility disabilities with balance or stability. 

Standard Operating Procedure/Guideline 

A reference document or operations manual that provides the purpose, authorities, duration, and details 

for the preferred method of performing a single function or a number of interrelated functions in a 

uniform manner. 

State Coordinating Officer 

The individual appointed by the Governor to coordinate state disaster assistance efforts with those of the 

Federal Government. The State Coordinating Officer plays a critical role in managing the state response 

and recovery operations following Stafford Act declarations. The Governor of the affected state appoints 

the State Coordinating Officer, and lines of authority flow from the Governor to the State Coordinating 

Officer, following the state’s policies and laws. 

Storm Surge 

A dome of sea water created by strong winds and low barometric pressure in a hurricane that causes 

severe coastal flooding as the hurricane strikes land. 

Terrorism 

Activity that involves an act that is dangerous to human life or potentially destructive of critical 

infrastructure or key resources; is a violation of the criminal laws of the United States or of any state or 

other subdivision of the United States; and appears to be intended to intimidate or coerce a civilian 

population, to influence the policy of a government by intimidation or coercion, or to affect the conduct 

of a government by mass destruction, assassination, or kidnapping. 

Tornado 

A local atmospheric storm, generally of short duration, formed by winds rotating at very high speeds, 

usually in a counter-clockwise direction. The vortex, up to several hundred yards wide, is visible to the 

observer as a whirlpool-like column of winds rotating about a hollow cavity or funnel. Winds can be as 

low as 65 miles per hour, but may reach 300 miles per hour or higher. 

Tsunami 

Sea waves produced by an undersea earthquake. Such sea waves can reach a significant height resulting 

in damage or devastation to coastal cities and low-lying coastal areas. 

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Appendix B: List of Acronyms and Glossary 

Uncertainty 

The degree to which a calculated, estimated, or observed value may deviate from the true value. 

Vulnerability 

A physical feature or operational attribute that renders an entity open to exploitation or susceptible to a 

given hazard. 

Warning 

The alerting of emergency response personnel and the public to the threat of extraordinary danger and the 

related effects that specific hazards may cause.

 

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Comprehensive Preparedness Guide 101 

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Appendix C: Emergency 

Operations Plan Development 

Guide 

This appendix provides a pull-out guide that applies the planning process described in Chapter 4 and 

provides content guidance for various elements of an emergency operations plan (EOP). It includes a list 

of key planning elements that should be included in the basic plan and its annexes. It is not all-inclusive 

or intended to prescribe any particular plan format, and it is not meant to indicate that all items are 

appropriate to every level of government. Statutes may assign authority to perform various functions. A 

brief reference should be made to these statutes in the plan where applicable. 

Steps in the Planning Process 

Step 1: Form a Collaborative Planning Team. Planners must ensure that operational planning not only 

involves the jurisdiction’s entire emergency management and homeland security team, but also actively 

engages the whole community in the planning process. Planning must also be community-based, 

integrating the needs of the entire community. This includes addressing the critical planning requirements 

of children, individuals with disabilities, others with access and functional needs, and individuals with 

limited English proficiency. Using a team or group approach helps organizations define their perception 

of the role they will play during an operation. Involvement of the private sector is especially critical in 

this process. Initially, the team should be small, consisting of planners from the organizations that usually 

participate in emergency or homeland security operations. They form the core for all planning efforts. 

Disasters begin and end locally. When the response is over, it is the local community that has to live with 

the decisions made during the incident. Therefore, communities should have a say in how a disaster 

response occurs. They should also shoulder responsibility for building their community’s resilience and 

enhancing its recovery before, during, and after a disaster. The community can bring capabilities and 

resources to an incident that may not exist in the volume needed or at all within the traditional 

government structure. Engaging the whole community as part of the planning team is critical for 

resilience. Figure 4.2 provides methods for engaging the community in the planning process. 

Step 2: Understand the Situation. Planners should begin the problem-solving process by conducting 

research and analysis on the jurisdiction’s threats, hazards, and resources. Giving consideration to the 

potential risks a jurisdiction may face brings specificity to the planning process. If risks are viewed as 

problems and operational plans are the solution, then hazard and threat identification and analysis are key 

steps in the planning process. 

The first step of research focuses on gathering information about the jurisdiction’s planning framework, 

potential risks, resource base, demographics, household pet and service animal population, and 

geographic characteristics that could affect emergency operations. There are many existing resources 

available to support planners in this step, including threat assessments, mitigation plans, local 

organizations (e.g., businesses, nongovernmental entities, utilities), Federal and state analyses that include 

data about historical incidents, and registries for population demographics. 

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Comprehensive Preparedness Guide 101 

The second step of the threat and hazard identification process is to organize the information into a format 

that is usable by the planning team. One effective method for organizing hazard or threat information is to 

use a matrix based on dimensions used during the risk analysis process, including the (1) probability or 

frequency of occurrence; (2) magnitude (i.e., the physical force associated with the hazard or threat); (3) 

intensity/severity (i.e., the impact or damage expected); (4) time available to warn; (5) location of the 

incident (i.e., an area of interest or a specific or indeterminate site or facility); (6) potential size of the 

affected area; (7) speed of onset (i.e., how fast the hazard or threat can impact the public); (8) duration 

(i.e., how long the hazard or threat will be active); and (9) cascading effects. 

The risk assessment is the basis for EOP development. The assessment helps a planning team decide what 

hazards or threats merit special attention, what actions must be planned for, and what resources are likely 

to be needed. In order to set planning priorities, the planning team must consider the frequency of the 

hazard or threat and the likelihood or potential severity of its consequences in order to develop a single 

indicator of the risk to the jurisdiction. This can be done using a mathematical approach, qualitative 

ratings, or index numbers. While a mathematical approach is possible, it may be easier to manipulate 

qualitative ratings (e.g., high, medium, low) or index numbers (e.g., reducing quantitative information to a 

1-to-3, 1-to-5, or 1-to-10 scale based on defined thresholds) for different categories of information used in 

the ranking scheme. Some approaches involve the consideration of only two categories—frequency and 

consequences—and treat them as equally important. In other approaches, potential consequences receive 

more weight than frequency. While it is important to have a sense of the magnitude involved (i.e., 

whether in regard to the single indicator used to rank hazards or to estimate the numbers of people 

affected), these indicators are static. Some hazards or threats may pose a limited risk to the community; 

therefore, additional analysis is not necessary. 

Step 3: Determine Goals and Objectives. Using information 

from the hazard profile developed as part of the analysis process, 

the planning team should think about how the hazard or threat 

would evolve in the jurisdiction and what defines a successful 

operation. During this process, the planning team identifies 

requirements that determine actions and resources, including the 

following: 

Example: Relationships among the 

Mission, Operational Priorities, 

Goals, and Objectives 

Plan Mission: Effectively coordinate 

and direct available resources to 

protect the public and property from 

hazards or threats.

Operational Priority: Protect the 

public from hurricane weather and 

storm surge.

Goal: Complete evacuation before 

arrival of tropical storm winds. 

Desired result: all self- and assisted 

evacuees are safely outside of the 

expected impact area prior to impact. 

Objective: Complete tourist 

evacuation 72 hours before arrival of 

tropical storm winds.

Desired result: tourist segment of 

public protected prior to hazard onset, 

allowing resources to be redirected to 

accomplishing other objectives in 

support of this goal or other goals.

• Agent requirements are caused by the nature of the hazard or 

threat. 

• Response requirements are caused by actions taken in response 

to an incident-generated problem. 

• Constraint/restraint demands are caused by things planners 

must do, are prohibited from doing, 

and/or are not able to do. 

Once the planning team identifies requirements, they restate them 

as priorities, goals, and objectives. Priorities indicate a desired 

end-state for the operation. A critical source for these priorities is 

the vision and desired end-state communicated by senior officials. 

Goals are broad, general statements that indicate the intended 

methods for achieving the mission and priorities, specifying 

desired results. Objectives are more specific and identifiable 

actions carried out during the operation. Clear definition of goals 

and objectives enables unity of effort and consistency of purpose 

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Appendix C: Emergency Operations Plan Development Guide 

among the multiple groups and activities involved in executing the plan. 

Step 4: Plan Development. First, develop and analyze courses of action. This is a process of generating 

and comparing possible solutions for achieving the goals and objectives identified in Step 3. Use a 

process that combines aspects of scenario-based, functional, and capabilities-based planning. Depict how 

the operation unfolds by using a visual process that shows relationships among the incident’s actions, 

decision points, and participant activities that allow the planner to anticipate challenges. Typically, such a 

process follows these steps: 

• Establish the timeline. Planners typically use the speed of an incident’s onset to establish the 

timeline. Placement of decision points and response actions on the timeline depicts how soon the 

different entities enter the plan. 

• Depict the scenario. Planners use the scenario information developed in Step 3 and place the incident 

information on the timeline. 

• Identify and depict decision points. Decision points indicate the place in time, as incidents unfold, 

when leaders anticipate making decisions about a course of action. They indicate where and when 

decisions are required to provide the best chance of achieving an intermediate objective or response 

goal (i.e., the desired end-state). They also help planners determine how much time is available or 

needed to complete a sequence of actions. 

• Identify and depict operational tasks. For each operational task depicted, some basic information is 

needed. 

– What is the action? 

– Who is responsible for the action? 

– When should the action take place? 

– How long should the action take and how much time is actually available? 

– What has to happen before? 

– What happens after? 

– What resources does the person/entity performing the action need? 

• Select courses of action. Planners must compare the costs and benefits of each proposed course of 

action against the mission, goals, and objectives. Based on this comparison, planners then select the 

preferred courses of action to move forward in the planning process. To the extent possible and 

appropriate, senior officials should approve course of action decisions during plan development. 

• Identify resources. Initially, the planning team identifies resources needed to accomplish operational 

tasks in an unlimited manner. Once the planning team identifies all the requirements, they begin 

matching available resources to requirements. The EOP should account for unsolvable resource 

shortfalls so they are not just “assumed away.” 

• Identify information needs. Planners identify a “list” of the information needs for each of the 

response participants, including the time they need it, to drive decisions and trigger critical actions. 

• Assess progress. This process should be periodically “frozen” so the planning team can: 

– Identify progress made toward the end-state 

– Identify goals and objectives met and new needs or demands 

– Identify “single point failures” (i.e., tasks that, if not completed, would cause the operation 

to fall apart) 

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Comprehensive Preparedness Guide 101 

– Check for omissions or gaps 

– Check for inconsistencies in organizational relationships. 

The planning team should work through this process by using tools that help members visualize 

operational flow, such as a white board, “sticky note” chart, or some type of project management or 

planning software. 

Step 5: Plan Preparation, Review, and Approval. This step turns the results of the course of action 

development performed in Step 4 into an EOP. The planning team develops a rough draft of the basic 

plan or annexes. As the planning team works through successive drafts, they add necessary tables, charts, 

and other graphics. The team prepares a final draft and circulates it for comment to organizations that 

have responsibilities for implementing the plan. The written plan should be checked for its conformity to 

applicable regulatory requirements and the standards of Federal or state agencies (as appropriate) and for 

its usefulness in practice. Once validated, the planning team presents the plan to the appropriate officials 

for signature and promulgation. The promulgation process should be based on specific statute, law, or 

ordinance. Once approved, the planner should arrange to distribute the plan to stakeholders who have 

roles in implementing the plan. 

Step 6: Plan Implementation and Maintenance. Evaluating the effectiveness of plans involves a 

combination of training events, exercises, and real-world incidents to determine whether the goals, 

objectives, decisions, actions, and timing outlined in the plan led to a successful response. Commonly 

used criteria can help decision makers determine the effectiveness and efficiency of plans. These 

measures include adequacy, feasibility, acceptability, completeness, and compliance with guidance or 

doctrine. When evaluating the plan, planners should ask the following questions: 

• Did an action, process, decision, or the operational timing identified in the plan make the situation 

worse or better? 

• Were new alternate courses of action identified? 

• Were the requirements of children, individuals with disabilities, and others with access and functional 

needs fully addressed and integrated into all appropriate aspects of the plan? 

• What aspects of the action, process, decision, or operational timing make it something to keep in the 

plan? 

• What aspects of the action, process, decision, or operational timing make it something to avoid or 

remove from the plan? 

• What specific changes to plans and procedures, personnel, organizational structures, leadership or 

management processes, facilities, or equipment can improve operational performance? 

Planning teams should establish a recurring process for reviewing and revising the plan. For example, 

each component of the plan is reviewed and revised at a minimum of once every two years. Teams should 

also consider reviewing and updating the plan after the following events: 

• A change in operational resources 

• A formal update of planning guidance or standards 

• A change in elected or appointed officials 

• A plan activation or major exercise 

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Appendix C: Emergency Operations Plan Development Guide 

• A change in the jurisdiction’s demographics or hazard or threat profile 

• The enactment of new or amended laws or ordinances. 

Figure 4.1 (page 4-1) depicts the process for planners to use when moving through the planning steps. 

Basic Plan Content Guide 

The basic plan provides an overview of the jurisdiction’s emergency management/response program and 

its ability to prepare for, respond to, and recover from disasters/emergencies. 

Promulgation Document/Signature Page 

This document/page is a signed statement formally recognizing and adopting the plan as the jurisdiction’s 

all-hazards EOP. 

• Include a Promulgation Statement signed by the jurisdiction’s senior elected or appointed official(s). 

(Note: This statement must be updated each time a new senior elected or appointed official takes 

office.) 

Approval and Implementation 

This page introduces the plan, outlines its applicability, and indicates that it supersedes all previous plans. 

• Include a delegation of authority for specific modifications that can be made to the plan and by whom 

they can be made without the senior official’s signature. 

• Include a date and ensure that the page is signed by the senior official(s) (e.g., governor, tribal 

leader[s], mayor, county judge, commissioner[s]). 

Record of Changes 

The record of changes, usually in table format, contains, at a minimum, a change number, the date of the 

change, the name of the person who made the change, and a summary of the change. Other relevant 

information could be considered. 

Record of Distribution 

The record of distribution is usually a table with fields that indicate the title and the name of the person 

receiving the plan, the agency to which the receiver belongs, the date of delivery, and the number of 

copies delivered. 

Table of Contents 

This item outlines the plan’s format, key sections, attachments, charts, etc. and identifies the major 

sections/chapters and/or key elements within the EOP. 

Purpose, Scope, Situation, Assumptions 

This section explains the plan’s intent, who is involved, and why it was developed. 

Purpose 

This section describes the purpose for developing and maintaining an EOP (e.g., coordinate local agency 

SOPs/SOGs, define disaster-specific procedures, outline roles and limitations). 

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Comprehensive Preparedness Guide 101 

Scope 

This section describes at what times or under what conditions this plan would be activated (e.g., major 

county disaster versus minor local emergency; major state-wide disaster; terrorist attack within the local 

community, county, or state). 

Situation Overview 

This section provides an overview of the steps taken by the jurisdiction to prepare for disasters. 

Hazard and Threat Analysis Summary. This section summarizes the major findings identified from a 

completed hazard and threat analysis of the hazards or threats likely to impact the jurisdiction and how 

the jurisdiction expects to receive (or provide) assistance within its regional response structures. Note: 

The hazard and threat analysis information can be presented as a tab to the EOP or maintained as a part of 

the local mitigation plan.11

• Summarize/identify the hazards that pose a unique risk to the jurisdiction and would result in the need 

to activate this plan (e.g., threatened or actual natural disasters, acts of terrorism, other human-caused 

disasters). 

• Summarize/identify the probable high-risk areas (i.e., population, infrastructure, and environmental) 

that are likely to be impacted by the defined hazards (e.g., hospitals, congregate care facilities, 

wildlife refuges, types/numbers of homes/businesses in floodplains, areas around chemical facilities). 

• Summarize/identify the defined risks that have occurred and the likelihood they will continue to occur 

within the jurisdiction (e.g., historical frequency, probable future risk, national security threat 

assessments). 

• Describe how the intelligence from threat analysis via state/local fusion centers, joint terrorism task 

forces, national intelligence organizations, etc. has been incorporated into the jurisdiction’s hazard 

and threat analysis. 

• Describe how critical infrastructure and key resources (CIKR) protection activities have been 

incorporated into the vulnerability and impact analysis. 

• Describe how agricultural security; food supply security; cyber security; chemical, biological, 

radiological, nuclear, and high-yield explosive (CBRNE) incidents; and pandemics (those 

located/originating in the jurisdiction, as well as a nonlocal, nationwide, or global incident) have been 

assessed and incorporated. 

• Describe the assumptions made and the methods used to complete the jurisdiction’s hazard and threat 

analysis, including what tools or methodologies were used to complete the analysis (e.g., a state’s 

hazard analysis and risk assessment manual, mitigation plan guidance, vulnerability assessment 

criteria, consequence analysis criteria). 

• Include maps that show the high-risk areas that are likely to be impacted by the identified risks 

(e.g., residential/commercial areas within defined floodplains, earthquake fault zones, vulnerable 

zones for hazardous materials [HAZMAT] facilities/routes, areas within ingestion zones for nuclear 

power plants, critical infrastructure). 

• Describe/identify the risks that could originate in a neighboring jurisdiction and could create 

hazardous conditions in this jurisdiction (e.g., critical infrastructure loss, watershed runoff, chemical 

incident, riot/terrorist act). 

 

11 A hazard is defined as a natural, technological, or human-caused source or cause of harm or difficulty. Risk is defined as the 

potential for an unwanted outcome resulting from an incident or occurrence, as determined by its likelihood and the associated 

consequences. 

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Appendix C: Emergency Operations Plan Development Guide 

• Describe/identify the unique time variables that may influence the hazard and threat analysis and 

preplanning for the emergency (e.g., rush hours, annual festivals, seasonal events, how quickly the 

incident occurs, the time of day that the incident occurs). 

Capability Assessment. Describe the process used by the jurisdiction to determine its capabilities and 

limits in order to prepare for and respond to the defined hazards. Note: The jurisdiction may wish to 

address this topic as part of the hazard-specific annexes. This decision would allow the jurisdiction to 

address the unique readiness issues and limitations for each specific hazard. In this case, this section 

should provide an overview of the jurisdiction’s abilities and then refer the reader to the hazard-specific 

annexes for more detailed information. 

• Summarize the jurisdiction’s prevention, protection, response, and recovery capabilities involving the 

defined hazards. 

• Describe the jurisdiction’s limitations on the basis of training, equipment, or personnel. 

Planning Assumptions 

This section identifies what the planning team assumes to be facts for planning purposes in order 

to make it possible to execute the EOP. 

Concept of Operations 

This CONOPS section explains in broad terms the decision 

maker’s or leader’s intent with regard to an operation. This 

section is designed to give an overall picture of how the 

response organization accomplishes a mission or set of 

objectives in order to reach a desired end-state. Ideally it 

offers clear methodology to realize the goals and objectives 

to execute the plan. This may include a brief discussion of 

the activation levels identified by the jurisdiction for its 

operations center. It may touch on direction and control, 

alert and warning, and continuity matters that may be dealt with more fully in annexes. 

Plans must comply with the Americans with 

Disabilities Act, which requires that 

emergency policies be modified to enable 

people with disabilities to evacuate, use 

emergency transportation, stay in shelters, 

and participate in all emergency and 

disaster-related programs together with their 

service animals.

• Describe who has the authority to activate the plan (e.g., emergency management agency, senior 

official, state official, fire/police chief). 

• Describe the process, templates, and individuals involved in issuing a declaration of emergency for a 

given hazard and how the declaration will be coordinated with neighboring jurisdictions and the state. 

• Describe how legal questions/issues are resolved as a result of preparedness, response, or recovery 

actions, including what liability protection is available to responders. 

• Describe the process by which the emergency management agency coordinates with all appropriate 

agencies, boards, or divisions within the jurisdiction. 

• Describe how plans take into account the essential needs of children. 

• Describe how plans take into account the physical, programmatic, and communications needs of 

individuals with disabilities and others with access and functional needs. 

• Describe how plans take into account the essential needs of household pets and service animals. 

• Identify other response/support agency plans that directly support the implementation of this plan 

(e.g., hospital, school emergency, facility plans). 

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Comprehensive Preparedness Guide 101 

Organization and Assignment of Responsibilities 

This section provides an overview of the key functions that state or local agencies will accomplish during 

an emergency, including the roles that Federal, state, territorial, tribal, local, regional, and private sector 

agencies will take to support local operations. 

• Identify/outline the responsibilities assigned to each organization that has a mission assignment 

defined in the plan, including (but not limited to) the following: 

– Local senior elected or appointed officials (e.g., governor, mayor, commissioner, administrative 

judge, council, executive director) 

– Local departments and agencies (e.g., fire, law enforcement, emergency medical services [EMS], 

public health, emergency management, social services, animal control) 

– State agencies most often and/or likely to be used to support local operations (e.g., Department of 

Transportation, State Police/Highway Patrol, Department of Agriculture, Department of Natural 

Resources, Environmental Protection/Quality, Emergency Management, Homeland Security, 

Department of Health/Public Health, National Guard) 

– Regional organizations or groups most often and/or likely to be used to support local operations 

– Federal agencies most often and/or likely to be used to support local operations (e.g., FEMA, 

U.S. Coast Guard, U.S. Department of Justice, Federal Bureau of Investigation, Federal Aviation 

Administration, National Transportation Safety Board, U.S. Department of Defense, U.S. 

Department of Transportation, U.S. Department of Agriculture) 

– Government-sponsored volunteer resources (e.g., Community Emergency Response Teams, Fire 

Corps and/or Medical Reserve Corps, Volunteers in Police Service, Auxiliary Police) 

– Private sector and voluntary organizations (e.g., organizations that assist with sheltering, feeding, 

services for persons with disabilities, animal response, social services, health-related needs, 

community and faith-based organizations, animal welfare and/or humane organizations, 

independent living centers, disability advocacy groups, business and industry participation). 

• Describe how prevention roles and responsibilities will be addressed, including linkages with fusion 

centers where applicable. 

• Describe how roles and responsibilities for CIKR protection and restoration are managed within the 

jurisdiction. 

• Describe how roles and responsibilities will be determined for unaffiliated volunteers and how to 

incorporate these individuals into the emergency operation. 

• Describe/identify what mutual aid agreements (MAA) are in place for the quick activation and 

sharing of resources during an emergency. Examples of agreements that may exist include the 

following: 

– Agreements between response groups (e.g., fire, police, EMS) 

– Agreements for additional resources/assistance between neighboring jurisdictions’ response 

forces (e.g., fire, police, EMS) 

– Agreements for providing and receiving additional resources through the Emergency 

Management Assistance Compact 

– Agreements for alert and notification and dissemination of emergency public information 

– Resource agreements (e.g., outside assistance, personnel, equipment) 

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Appendix C: Emergency Operations Plan Development Guide 

– Agreements between medical facilities inside and outside the jurisdiction (e.g., for using 

facilities, accepting patients) 

– Agreements between water and wastewater utilities inside and outside the jurisdiction 

– Evacuation agreements (e.g., use of buildings, restaurants, and homes as shelters/lodging; 

relocation centers; transportation support), including agreements between jurisdictions for the 

acceptance of evacuees. 

• Describe how the jurisdiction maintains a current list of available NIMS typed resources and 

credentialed personnel. 

• Describe how all tasked organizations maintain current notification rosters, SOPs/SOGs, and 

checklists to carry out their assigned tasks. 

• Provide a matrix that summarizes which tasked organizations have the primary lead versus a 

secondary support role for each defined response function. 

• Describe the jurisdiction’s policies regarding public safety enforcement actions required to maintain 

the public order during a crisis response, including teams of enforcement officers needed to handle 

persons who are disrupting the public order, violating laws, requiring quarantine, etc. 

Direction, Control, and Coordination 

This section describes the framework for all direction, control, and coordination activities. 

• Identify who has tactical and operational control of response assets. 

• Discuss multijurisdictional coordination systems and processes used during an emergency. 

Information Collection, Analysis, and Dissemination 

This section describes the required critical or essential information common to all operations identified 

during the planning process. 

• Identify intelligence position (e.g., fusion center liaison) requirements for the emergency operations 

center’s (EOC) Planning Section. 

• Describe plans for coordination between the Planning Section and the jurisdiction’s fusion center. 

• Describe information dissemination methods (e.g., verbal, electronic, graphics) and protocols. 

• Describe critical information needs and collection priorities. 

• Describe long-term information collection, analysis, and dissemination strategies. 

• Describe collaboration with the general public, to include sector-specific watch programs. 

Communications 

This section describes the communication and coordination protocols used between response 

organizations during an incident. 

• Describe the framework for delivering communications support and how the jurisdiction’s 

communications integrate into the regional or national disaster communications network. 

• Identify and summarize separate interoperable communications plans. 

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Comprehensive Preparedness Guide 101 

Administration, Finance, and Logistics 

Administration 

This section describes administrative protocols used during an emergency operation. 

Documentation is an administrative process used by a jurisdiction to document the response to and 

recovery from a disaster. Note: This information can also be discussed for each emergency response 

function or for the specific hazards. 

• Describe the process and agencies used to document the actions taken during and after the emergency 

(e.g., incident and damage assessment, incident command logs, cost recovery). 

• Describe/summarize the reasons for documenting the actions taken during both the response and 

recovery phases of the disaster (e.g., create historical records, recover costs, address insurance needs, 

develop mitigation strategies). 

• Include copies of the reports that are required (e.g., cost recovery, damage assessment, incident 

critique, historical record). 

• Describe the agencies and methods used to create a permanent historical record of the incident (afteraction report) and include information identifying the actions taken, resources expended, economic 

and human impacts, and lessons learned as a result of the disaster. 

The after-action report (AAR) results from an administrative process used by the jurisdiction to review 

and discuss the response in order to identify strengths and weaknesses in the emergency management and 

response program. The AAR should: 

• Describe the reasons and need to conduct an AAR (e.g., review actions taken, identify equipment 

shortcomings, improve operational readiness, highlight strengths/initiatives) 

• Describe the methods and agencies used to organize and conduct a review of the disaster, including 

how recommendations are documented to improve local readiness (e.g., change plans/procedures, 

acquire new or replace outdated resources, retrain personnel) 

• Describe the links and connections between the processes used to critique the response to an 

emergency/disaster and the processes used to document recommendations for the jurisdiction’s 

exercise program 

• Describe how the jurisdiction ensures that the deficiencies and recommendations identified in the 

AAR are corrected/completed. 

Finance 

This section describes finance protocols used to recover the costs incurred during an emergency 

operation. 

• Describe/identify the various programs that allow local political jurisdictions and their 

response/support agencies to recover their costs (e.g., Small Business Administration, Public 

Assistance Program). 

• Identify and describe the actions that will be taken to document the costs incurred during response 

and recovery operations (e.g., personnel overtime, equipment used/expended, contracts initiated). 

• Describe/identify the programs and how the jurisdiction assists the general public to recover their 

costs and begin rebuilding (e.g., Small Business Administration, unemployment, worker’s 

compensation). 

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Appendix C: Emergency Operations Plan Development Guide 

• Describe the methods used to educate responders and local officials about the cost recovery process. 

• Describe the impact and role that insurance has in recovering costs (e.g., self-insured, participation in 

the National Flood Insurance Program, homeowner policies). 

• Describe the methods of pre- and post-declaration funding for the jurisdiction’s household pets and 

service animals preparedness and emergency response program, including how to capture eligible 

costs for reimbursement by the Public Assistance Program, eligible donations for volunteer labor and 

resources, and eligible donations for mutual aid resources (as defined in Disaster Assistance Policy 

[DAP] 9523.19). 

Logistics 

This section describes the logistics and resource management mechanisms used to identify and acquire 

resources in advance of and during emergency operations, especially to overcome gaps possibly identified 

in a capability assessment. 

• Describe/identify the methods and agencies involved in using the existing risk analysis and capability 

assessment to identify what resources are needed for a response to a defined hazard, including using 

past incident critiques to identify/procure additional resources. 

• Describe/identify the steps taken to overcome the jurisdiction’s identified resource shortfalls, 

including identifying the resources that are only available outside the jurisdiction (e.g., HAZMAT, 

water rescue, search and rescue teams, CBRNE) and the process to request those resources. 

• Provide a brief summary statement about specialized equipment, facilities, personnel, and emergency 

response organizations currently available to respond to the defined hazards. Note: A tab to the plan 

or a separate resource manual should be used to list the types of resources available, amounts on 

hand, locations maintained, and any restrictions on use. 

• Provide information about specialized equipment, facilities, personnel, and emergency response 

organizations currently available to support children, individuals with disabilities, and others with 

access and functional needs. 

• Describe the process used to identify private agencies/contractors that will support resource 

management issues (e.g., waste haulers, spill contractors, landfill operators). Identify existing 

memorandums of agreement (MOA)/memorandums of understanding (MOU) and contingency 

contracts with these organizations. 

Plan Development and Maintenance 

This section describes the process used to regularly review and update the EOP. 

• Describe how this plan was coordinated with the EOPs from adjoining/intra-state regional 

jurisdictions to include local political subdivisions that develop their own EOPs in accordance with 

state statute. 

• Describe the process used to review and revise the plan each year or—if changes in the jurisdiction 

warrant (e.g., changes in administration or procedures, newly added resources/training, revised phone 

contacts or numbers)—more often. 

• Describe the responsibility of each organization/agency (governmental, nongovernmental, and private 

sector) to review and submit changes to its respective portion(s) of the plan. 

• Identify/summarize to whom the plan is distributed, including whether it is shared with other 

jurisdictions. Include a plan distribution list. Note: This list can be included as a tab to the plan. 

• Describe/identify how or where the plan is made available to the public. 

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Comprehensive Preparedness Guide 101 

• Summarize the process used to submit the plan for review, coordination, and/or evaluation by other 

jurisdictions/organizations. 

• Include a page to document when the changes are received and entered into the plan. 

Authorities and References 

This section provides the legal basis for emergency operations and activities. 

• Identify/describe the Federal, state, and local laws that specifically apply to the development and 

implementation of this plan, including (but not limited to) the following: 

– Local and regional ordinances and statutes 

– State laws or revised code sections that apply to emergency management and homeland security 

– State administrative code sections that define roles, responsibilities, and operational procedures 

– State Attorney General opinions 

– Federal laws, regulations, and standards (e.g., Stafford Act, FEMA Policy, Patriot Act, Americans 

with Disabilities Act). 

• Identify/describe the reference manuals used to develop the plan and/or help prepare for and respond 

to disasters or emergencies, including (but not limited to) the following: 

– General planning tools 

– Technical references 

– Computer software. 

• Identify/define the words, phrases, acronyms, and abbreviations that have special meaning with 

regard to emergency management and are used repeatedly in the plan. 

Functional Annexes Content Guide 

These annexes contain detailed descriptions of the methods that government agencies and departments 

follow for critical operational functions during emergency operations. Functional annexes support the 

EOP as they do hazard-specific annexes. There are core functional support activities that should be 

incorporated, and specific functional support activities that support incident response. The essence of 

these support functions should be incorporated into plans, rather than be stand-alone. The checklists in 

this section can be used for either functional annexes or emergency support function annexes. 

Transportation (ESF #1) 

• Describe/identify the process for monitoring and reporting the status of, and damage to, the 

transportation system and infrastructure as a result of an incident. 

• Describe alternative transportation solutions that can be implemented when systems or infrastructure 

are damaged, unavailable, or overwhelmed. 

• Describe the methods by which appropriate aviation, maritime, surface, railroad, and pipeline incident 

management measures will be implemented. 

• Describe the method of coordinating the restoration and recovery of the transportation systems and 

infrastructure. 

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Appendix C: Emergency Operations Plan Development Guide 

Communications (ESF #2) 

• Identify and describe the actions that will be taken to manage communications between the on-scene 

personnel/agencies (e.g., radio frequencies/tactical channels, cell phones, data links, command post 

liaisons, communications vehicle/van) in order to establish and maintain a common operating picture 

of the incident. 

• Identify and describe the actions that will be taken to identify and overcome communications 

shortfalls (e.g., personnel with incompatible equipment) with the use of alternative methods (e.g., 

Amateur Radio Emergency Services/Radio Amateur Civil Emergency Service at the command 

post/off-site locations, CB radios). 

• Identify and describe the actions that will be taken to manage communications between the on-scene 

and off-site personnel/agencies (e.g., shelters, hospitals, emergency management agency). 

• Identify and describe the actions that will be taken by 911/dispatch centers to support/coordinate 

communications for the on-scene personnel/agencies, including alternate methods of service if 

911/dispatch is out of operation (e.g., resource mobilization, documentation, backup). 

• Describe the arrangements that exist to protect emergency circuits with telecommunications service 

priority for prompt restoration/provisioning. 

• Describe how communications are made accessible to individuals with communication disabilities 

working in emergency operations, in accordance with the Americans with Disabilities Act. 

• Identify and describe the actions that will be taken by an EOC to support and coordinate 

communications between the on- and off-scene personnel and agencies. 

• Describe/identify the interoperable communications plan and compatible frequencies used by 

agencies during a response (e.g., who can talk to whom, including contiguous jurisdictions and 

private agencies). 

• Identify and describe the actions that will be taken to notify neighboring jurisdictions when an 

incident occurs. 

• Describe how 24-hour communications are provided and maintained. 

Public Works and Engineering (ESF #3)/Critical Infrastructure and Key Resources 

Restoration 

• Identify and describe the actions that will be taken to determine qualified contractors offering 

recovery/restoration services. 

• Identify and describe the actions that will be taken to coordinate credentialing protocols so personnel 

have access to critical sites following an incident. 

• Identify and describe the actions that will be taken to identify, prioritize, and coordinate the work to 

repair/restore local roads, bridges, and culverts (e.g., along city, county, township, state, interstate, 

and U.S. routes). 

• Identify and describe the actions that will be taken to repair/restore local water and wastewater 

systems (e.g., water/waste treatment plants, water/sewer lines, public/private wells), including 

providing temporary water distribution and wastewater collection systems until normal operations 

resume. 

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Comprehensive Preparedness Guide 101 

• Identify and describe the actions that will be taken to prioritize and coordinate the repair/restoration 

of services (e.g., gas, electric, phone), including conducting safety inspections before the general 

public is allowed to return to the impacted area. 

• Identify and describe the actions that will be taken to incorporate and coordinate assistance from 

Federal, state, and private organizations (e.g., Federal Highway Administration, state building 

inspectors/contractors, state/local historical preservation office, private contractors). 

• Describe/identify the likely types of energy and utility problems that will be created as a result of the 

emergency (e.g., downed power lines, wastewater discharges, ruptured underground storage tanks). 

• Identify and describe the actions that will be taken to identify, prioritize, and coordinate energy and 

utility problems that will result from the disaster (e.g., shut off gas/electricity to flooded areas, restore 

critical systems, control underground water/gas main breaks). 

• Identify and describe the actions that will be taken to determine, prioritize, and coordinate the 

removal of debris from roadways to ensure access for local responders (e.g., snow/debris removal, 

clearance of debris/ice from streams), including coordinating road closures and establishing alternate 

routes of access. 

• Identify and describe the actions that will be taken to protect affected populations during a disaster 

when there are periods of extreme temperature and/or shortages of energy, including how the 

jurisdiction coordinates with energy-providing companies during outages. 

• Describe the methods by which the reestablishment of critical human services for children and their 

families, as well as individuals with disabilities and others with access and functional needs, will be 

accomplished. 

Damage Assessment 

• Identify and describe the actions that will be taken to conduct and coordinate damage assessments on 

private property (e.g., home owners, businesses, renters). 

• Identify and describe the actions that will be taken to conduct and coordinate damage assessments on 

public property (e.g., government, private, not-for-profit). 

• Identify and describe the actions that will be taken to collect, organize, and report damage 

information to other county, state, or Federal operations centers within the first 12 to 36 hours of the 

disaster/emergency. 

• Identify and describe the actions that will be taken to request supplemental state/Federal assistance 

through the state emergency management agency. 

• Include copies of the damage assessment forms used locally (e.g., state-adopted or staterecommended emergency management agency’s damage and needs assessment form or a county 

equivalent). Note: These may be attached as a tab to the plan. 

Debris Management 

Note: Planners should see if their state has developed specific planning guidance on how to develop a 

debris management program and subsequent plans. 

• Identify and describe the actions that will be taken to coordinate the debris collection and removal 

process (e.g., gather and recycle materials, establish temporary storage sites, sort/haul debris). 

• Identify and describe the actions that will be taken to communicate debris management instructions to 

the general public (e.g., separation/sorting of debris, scheduled pickup times, drop-off sites for 

different materials), including a process for issuing routine updates. 

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Appendix C: Emergency Operations Plan Development Guide 

• Identify and describe the actions that will be taken to assess and resolve potential health issues related 

to the debris removal process (e.g., mosquito/fly infestation, hazardous and infectious wastes). 

• Identify critical locations (e.g., water and wastewater facilities) that need to be cleared of debris 

immediately to provide effective emergency services. 

• Identify and describe the actions that will be taken to inspect and arrange for the inspection and 

subsequent disposal of contaminated food supplies (e.g., from restaurants, grocery stores). 

• Identify the agencies likely to be used to provide technical assistance on the debris removal process 

(e.g., state environmental protection agency, state department of health, state department of 

agriculture, local and surrounding county health departments). 

• Identify and describe the actions that will be taken to condemn, demolish, and dispose of structures 

that present a safety hazard to the public. 

• Pre-identify potential trash collection and temporary storage sites, including final landfill sites for 

specific waste categories (e.g., vegetation, food, dead animals, hazardous and infectious wastes, 

construction debris, tires/vehicles). 

Firefighting (ESF #4) 

• Describe the process used to detect and suppress wildland, rural, and urban fires resulting from, or 

occurring coincidentally with, an incident response. 

• Describe existing interstate and intrastate firefighting assistance agreements. 

• Describe the methods by which situation and damage assessment information will be transmitted 

through established channels. 

Emergency Management (ESF #5)/Direction, Control, and Coordination 

Initial Notification 

• Identify and describe the actions that will be taken to receive and document the initial notification that 

an emergency has occurred. 

• Identify and describe the actions that will be taken to coordinate, manage, and disseminate 

notifications effectively to alert/dispatch response and support agencies (e.g., 911 centers, individual 

fire/police dispatch offices, call trees) under all hazards and conditions. 

• Identify and describe the actions that will be taken to notify and coordinate with adjacent 

jurisdiction(s) about a local emergency that may pose a risk (e.g., flash flood, chemical release, 

terrorist act). 

• Describe the use of Emergency Condition/Action Levels in the initial notification process (e.g., Snow 

Emergency Levels 1–3, Chemical Levels 1–3, Crisis Stages 1–4) where defined by statute, authority, 

or other guidance. 

Incident Assessment 

• Identify and describe the actions that will be taken to gather essential information and assess the 

immediate risks posed by the emergency. 

• Describe how the initial assessment is disseminated/shared in order to make protective action 

decisions and establish response priorities, including the need to declare a state of emergency. 

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Comprehensive Preparedness Guide 101 

• Identify and describe the actions that will be taken to monitor the movement and future effects that 

may result from the emergency. 

Incident Command 

• Identify and describe the actions that will be taken to implement the Incident Command System (ICS) 

and coordinate response operations, including identifying the key positions used to staff the ICS (e.g., 

Operations, Agency Liaisons, Safety) and using FEMA ICS forms.12

• Describe how/where an incident command post will be established (e.g., chief’s car, command bus, 

nearest enclosed structure) and how it will be identified during the emergency (e.g., green light, flag, 

radio call). 

• Describe the process used to coordinate activities between the incident command post and an 

activated EOC, including how/when an Incident Commander can request the activation of an EOC. 

• Identify and describe the actions that will be taken to coordinate direct communications between the 

on-scene responders, as well as with the off-scene agencies that have a response role (e.g., hospital, 

American Red Cross). 

• Describe the process the Incident Commander will use to secure additional resources/support when 

local assets are exhausted or become limited, including planned state, Federal, and private assets. 

• Describe the process the Incident Commander will use to coordinate and integrate the unplanned 

arrival of individuals and volunteer groups into the response system and to clarify their limits on 

liability protection. 

Emergency Operations Center 

Note: EOC functions may be addressed in an SOP/SOG. If a separate SOP/SOG is used, it should be 

identified in the EOP. 

• Describe the purpose and functions of an EOC during an emergency or declared disaster. 

• Describe/identify under what conditions the jurisdiction will activate a primary and/or alternate EOC 

and who makes this determination. 

• Identify the primary and alternate sites that will likely be used as an EOC for the jurisdiction 

(e.g., city hall, fire department, emergency management agency, dedicated facility). 

• Describe the process used to activate the primary or alternate EOC (e.g., staff notification, equipment 

setup), including the process for moving from one EOC to another. 

• Identify who is in charge of the EOC (e.g., emergency management agency director, senior official, 

fire/police chief, department/agency director), and describe how operations will be managed in the 

EOC. 

• Describe/identify the EOC staff and equipment requirements necessary for an EOC (e.g., first 

response liaisons, elected or appointed officials, support agencies, communications, administrative 

support). 

• Identify and describe the actions that will be taken to gather and share pertinent information between 

the scene, outside agencies, and the EOC (e.g., damage observations, response priorities, resource 

needs), including sharing information between neighboring and state EOCs. 

 

12 More information may be found at http://www.training.fema.gov/EMIWeb/IS/ICSResource/index.htm. 

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Appendix C: Emergency Operations Plan Development Guide 

• Describe the EOC’s ability to manage an emergency response that lasts longer than 24 hours 

(e.g., staffing needs, shift changes, resource needs, feeding, alternate power). 

• Identify and describe the actions that will be taken to transition from response to recovery operations. 

• Describe the process used to deactivate/close the EOC (e.g., staff releases, equipment cleanup, 

documentation). 

• Identify the lead official and at least two alternates responsible for staffing each key position at the 

primary EOC, as well as the alternates (if different) to be consistent with NIMS. 

• Identify and describe the actions that will be taken to routinely brief senior officials not present in the 

EOC on the emergency situation (e.g., governor, commissioner, administrative judge, mayor, city 

council, trustees) and to authorize emergency actions (e.g., declare an emergency, request state and 

Federal assistance, purchase resources). 

• Identify and describe the actions that will be taken to manage public information. 

• Provide a diagram of the primary and alternate EOCs (e.g., locations, floor plans, displays) and 

identify and describe the critical communications equipment available/needed (e.g., phone numbers, 

radio frequencies, faxes). 

• Provide copies of specific forms or logs to be used by EOC personnel. 

Mass Care, Emergency Assistance, Housing, and Human Services (ESF #6) 

• Identify and describe the actions that will be taken to identify, open, and staff emergency shelters, 

including temporarily using reception centers while waiting for shelters to open officially. 

• Describe the agencies and methods used to provide essential care (e.g., food, water) to promote the 

well-being of evacuees throughout the entire process (including household pets and service animals). 

• Describe the partnership between the jurisdiction’s emergency management agency, the animal 

control authority, the mass care provider(s), and the owner of each proposed congregate household 

pet sheltering facility. 

• Describe the agencies and methods used to provide care and support for institutionalized populations 

(e.g., long-term care and assisted living facilities, group homes), individuals with disabilities, and 

others with access and functional needs (e.g., medical and prescription support, personal assistance 

services, durable medical equipment, consumable medical supplies, childcare, transportation 

[including accessible transportation], foreign language interpreters), including their caregivers. 

• Describe how the jurisdiction will ensure physical and programmatic accessibility of shelter facilities, 

effective communication using multiple methods, full access to emergency services, and reasonable 

modification of programs or policies where needed. 

• Identify and describe the actions that will be taken to ensure that the Americans with Disabilities Act 

Accessibility Guidelines govern shelter site selection and operation. 

• Describe the method for ensuring adequate shelter space allocation is provided for children, as well as 

individuals with disabilities and others with access and functional needs who may need additional 

space for assistive devices (e.g., wheelchairs, walkers). 

• Identify and describe the actions that will be taken to provide alternate shelter accommodations for 

evacuees from domestic violence shelters. 

• Describe how shelters coordinate their operations with on-scene and other off-site support agencies 

(e.g., expected numbers evacuated, emergency medical support). 

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• Describe how shelters keep evacuees informed about the status of the disaster, including information 

about actions evacuees may need to take when returning home. 

• Describe the method by which necessary developmentally appropriate supplies (e.g., diapers, 

formula, age appropriate foods), staff, medicines, durable medical equipment, and supplies that would 

be needed during an emergency for children with disabilities and other special health care needs will 

be addressed. 

• Identify and describe the actions that will be taken to care for household pets and service animals 

brought to shelters by evacuees. 

• Identify and describe the actions that will be taken to notify or inform the public about the status of 

injured or missing relatives. 

• Describe the methods used to identify, screen, and handle evacuees exposed to the hazards posed by 

the disaster (e.g., infectious waste, polluted floodwaters, chemical hazards) and the methods used to 

keep the shelter free of contamination. 

• Describe arrangements in place with other jurisdictions for receiving their assistance in sheltering, 

including providing shelters when it is not practical locally (e.g., there are no available shelters or 

staff support). 

• Describe the agencies/organizations and methods for providing feeding services both within the 

shelter facilities and at other identified feeding sites or mobile feeding operations. 

• Describe the plans, methods, and agencies/organizations responsible for the distribution of emergency 

relief items (e.g., hygiene kits, cleanup items, infant care supplies). 

• Identify and describe the actions that will be taken to identify and address the general public’s “unmet 

needs” during the disaster. 

• Describe the mechanisms or processes for provision of emergency childcare services. 

• Describe the mechanisms or processes for handling and providing for unaccompanied minors in 

shelters. 

• Describe the provisions for the sheltering of unclaimed animals that cannot be immediately 

transferred to an animal control shelter or when non-eligible animals are brought to a shelter. 

• Identify and describe the actions that will be taken to segregate or seize household pets showing signs 

of abuse. 

• Describe the method for household pet registration (including identification of a current rabies 

vaccination for all animals). 

• Describe the method to provide guidance to human shelter operators on the admission and treatment 

of service animals. 

• Describe the criteria that can be used to expeditiously identify congregate household pet shelters and 

alternate facilities. 

• Describe the method for utility provisions, such as running water, adequate lighting, proper 

ventilation, electricity, and backup power, at congregate household pet shelters. 

• Identify and describe the actions that will be taken to address the risk of injury by an aggressive or 

frightened animal, the possibility of disease transmission, and other health risks for responders and 

volunteers staffing the congregate household pet shelter. 

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Appendix C: Emergency Operations Plan Development Guide 

• Identify and describe the actions that will be taken for pre-disaster inspections and development of 

agreements for each congregate household pet facility. 

• Describe the method of care and maintenance of each facility while in use as a shelter. 

• Describe the method for identifying equipment and supplies that may be needed to operate each 

congregate household pet shelter, as well as supplies that household pet owners may bring with them 

to the congregate shelter. 

• Describe the method for physical security of each congregate household pet facility, including 

perimeter controls and security personnel. 

• Describe the method for providing for the housing of a variety of household pet species (e.g., size of 

crate/cage, temperature control, appropriate lighting). 

• Describe the method for providing for the separation of household pets based on appropriate criteria 

and requirements.13

• Describe the method for providing for the setup and maintenance of household pet confinement areas 

(e.g., crates, cages, pens) for safety, cleanliness, and control of noise level, as well as a household pet 

first aid area inside each shelter. 

• Describe the method for control of fleas, ticks, and other pests at each congregate household pet 

shelter. 

• Describe the criteria for designating and safely segregating aggressive animals. 

• Describe the method for segregation of household pets to prevent the transmission of disease. 

• Identify and describe the actions that will be taken for the relocation of a household pet due to illness, 

injury, or aggression to an alternate facility (e.g., veterinary clinic, animal control shelter). 

• Describe the method for providing controlled areas (indoor or outdoor) for exercising household pets. 

• Describe the method for household pet waste and dead animal disposal. 

• Describe the method for the reunion of rescued animals with their owners. 

• Identify and describe the actions that will be taken to address the long-term care, permanent 

relocation, or disposal of unclaimed pets. 

Logistics Management and Resource Support (ESF #7) 

• Identify and describe the actions that will be taken for resource management in accordance with the 

NIMS resource typing and include the pre-positioning of resources to efficiently and effectively 

respond to an incident. 

• Describe the process used to identify, deploy, use, support, dismiss, and demobilize affiliated and 

spontaneous unaffiliated volunteers. 

• Describe the process used to manage unsolicited donations. 

• Describe plans for establishing logistical staging areas for internal and external response personnel, 

equipment, and supplies. 

• Describe plans for establishing points of distribution across the jurisdiction. 

 

13 Animal Welfare Publications and Reports. United States Department of Agriculture, Animal and Plant Health Inspection Service. 

http://www.aphis.usda.gov/animal_welfare/publications_and_reports.shtml. 

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• Describe plans for providing support for a larger, regional incident. 

• Describe strategies for transporting materials through restricted areas, quarantine lines, law 

enforcement checkpoints, and so forth that are agreed upon by all affected parties. 

Public Health and Medical Services (ESF #8) 

Public Health 

• Describe the agencies and methods used to maintain efficient surveillance systems supported by 

information systems to facilitate early detection, reporting, mitigation, and evaluation of expected and 

unexpected public health conditions. 

• Describe the agencies and methods used to identify the public health issues created by the disaster 

(e.g., food/water safety, biological concerns) and to prioritize how the issues will be managed, 

including how this process is coordinated with the incident command post/EOC (e.g., issue 

vaccinations, establish quarantines). 

• Describe the agencies and alternate methods used to provide potable water, bulk water, and temporary 

water distribution systems to the jurisdiction when the water systems are not functioning (e.g., private 

sources, boil orders, private wells). 

• Describe the agencies and methods used to provide alternate sources for human waste disposal (e.g., 

arrange portable latrines, encourage sharing with those who have their own septic systems). 

• Identify the lead agency for providing health and medical support to individuals with disabilities and 

others with access and functional needs. 

• Describe the mechanisms or processes to effectively identify children and families who will need 

additional assistance, as well as individuals with disabilities and others with access and functional 

needs, with their specific health-related needs in advance of, during, and following an emergency. 

• Identify and describe the actions that will be taken to secure medical records to enable children with 

disabilities and/or other special health care needs, as well as individuals with disabilities and others 

with access and functional needs, to receive health care and sustained rehabilitation in advance of, 

during, and following an emergency. 

• Identify and describe the actions that will be taken to assess and provide mental health services for the 

general public (including individuals with disabilities and others with access and functional needs) 

impacted by the disaster. 

• Identify and describe the actions that will be taken to assess and provide vector control services (e.g., 

insect and rodent controls, biological wastes/contamination, use of pesticides). 

• Identify and describe the actions that will be taken to assess and provide food production and 

agricultural safety services (e.g., conducting a coordinated investigation of food and agricultural 

events or agricultural or animal disease outbreaks). 

• Describe the use and coordination of health professionals, incident commanders, and public 

information officers to issue public health media releases and alert the media. 

• Identify and describe the actions that will be taken to initiate, maintain, and demobilize medical surge 

capacity, including MAAs for medical facilities and equipment. 

• Identify and describe the actions that will be taken to assess and provide animal care services (e.g., 

remove and dispose of carcasses, rescue/recover displaced household pets/livestock, provide 

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Appendix C: Emergency Operations Plan Development Guide 

emergency veterinary care, treat endangered wildlife) and the individuals/agencies used in this 

process (e.g., veterinarians, animal hospitals, Humane Society, state department of natural resources). 

• Identify and describe the actions that will be taken to identify and respond to gravesites/cemeteries 

that are impacted by the disaster (e.g., recover and replace unearthed/floating/missing coffins, review 

records to confirm identification, manage closed/historical gravesites). 

• Describe the use and coordination of health professionals from outside agencies to support local 

response needs (e.g., poison control centers, state/local departments of health, Centers for Disease 

Control and Prevention, Funeral Directors Association, U.S. Department of Agriculture, Food and 

Drug Administration, Medical Reserve Corps). 

• Identify potential sources for medical and general health supplies that will be needed during a disaster 

(e.g., medical equipment, pharmaceutical supplies, laboratories, toxicologists). Note: This 

information could be maintained under a separate tab or as part of a comprehensive resource manual. 

Medical/Patient Care/Mass Casualty/Mass Fatality 

• Identify and describe the actions that will be taken by emergency medical personnel to contain and 

stabilize a disaster (e.g., set up triage, provide initial treatment, identify access and functional needs, 

conduct/coordinate transport). 

• Identify and describe the actions that will be taken to track patients from the incident scene through 

their courses of care. 

• Describe how emergency system patient transport and tracking systems are interoperable with 

national and U.S. Department of Defense systems. 

• Identify and describe the actions that will be taken to coordinate with private agencies to support onscene medical operations (e.g., air ambulance, private EMS), including the process of staging and 

integrating those assets at the scene. 

• Identify and describe the actions that will be taken to manage on-scene functions of mass 

casualty/fatality incidents (e.g., identification of bodies, expansion of mortuary services, notification 

of next of kin). 

• Identify and describe the process for using hospitals, nursing homes, and/or other facilities as 

emergency treatment centers or as mass casualty collection points. 

• Identify and describe the process for identifying shortfalls in medical supplies (e.g., backboards, 

medicines) and then acquiring those additional resources either locally or from external sources. 

• Identify and describe the process for identifying shortfalls in durable medical equipment. 

• Identify and describe the actions that hospitals, within or outside of the jurisdiction, will take to assist 

medical operations with on-scene personnel (e.g., prioritize patient arrival, divert patients to other 

sites when current site is full/less capable, provide triage team support). 

• Identify and describe the actions that will be taken to decontaminate patients, individuals with access 

and functional needs, children, and household pets and service animals for exposure to chemical, 

biological, nuclear, and radiological hazards both at the scene of the incident and at treatment 

facilities. 

• Identify and describe the actions the Coroner will take during a disaster (e.g., victim identification, 

morgue expansion, mortuary services, Disaster Mortuary Operational Response Team activation) and 

how they will be coordinated with responders (e.g., EMS officer, incident command post/EOC, local 

hospitals). 

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• Describe plans for recovering human remains, transferring them to the mortuary facility, establishing 

a family assistance center, assisting with personal effects recovery, conducting autopsies, identifying 

victims, and returning remains to the victims’ families for final disposition. 

• Identify and describe the actions that health department personnel will take to support on-scene 

medical and local hospitals in obtaining additional resources when local supplies are likely to be 

exhausted. 

Search and Rescue (ESF #9) 

• Identify and describe the actions that will be taken to conduct structural collapse (urban) search and 

rescue, waterborne search and rescue, inland/wilderness search and rescue, and aeronautical search 

and rescue operations. 

• Identify and describe the actions that will be taken to monitor distress, communications, location of 

distressed personnel, coordination, and execution of rescue operations including extrication or 

evacuation along with the provisioning of medical assistance and civilian services through the use of 

public and private resources to assist persons and property in potential or actual distress. 

Oil and Hazardous Materials Response (ESF #10) 

• Describe the actions to prevent, minimize, or mitigate an oil or hazardous materials release. 

• Describe the methods to detect and assess the extent of contamination (including sampling and 

analysis and environmental monitoring). 

• Describe the methods to stabilize a release and prevent the spread of contamination. 

• Describe the options for environmental cleanup and waste disposition; implementation of 

environmental cleanup; and storage, treatment, and disposal of oil and hazardous materials. 

Agriculture and Natural Resources (ESF #11) 

• Describe the process to determine nutrition assistance needs, obtain appropriate food supplies, and 

arrange for delivery of the supplies. 

• Describe the plan to respond to animal and plant diseases and pests, including an outbreak of a highly 

contagious or economically devastating animal/zoonotic disease or an outbreak of a harmful or 

economically significant plant pest or disease. 

• Describe the methods to ensure the safety and security of the food supply. 

• Describe the response actions to preserve, conserve, rehabilitate, recover, and restore natural and 

cultural resources and historic properties. 

Energy (ESF #12) 

• Describe the process to address significant disruptions in energy supplies for any reason, whether 

caused by physical disruption of energy transmission and distribution systems, unexpected 

operational failure of such systems, or unusual economic or international political events. 

• Describe the process to address the impact that damage to an energy system in one geographic region 

may have on energy supplies, systems, and components in other regions relying on the same system. 

• Describe/identify the energy-centric critical assets and infrastructures, as well as the method to 

monitor those resources to identify and mitigate vulnerabilities to energy facilities. 

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Public Safety and Security (ESF #13) 

• Describe the method by which public safety and security resources will be provided to support 

incident operations, including threat or pre-incident and post-incident situations. 

• Describe the process to determine public safety and security requirements and to determine resource 

priorities. 

• Describe the process to maintain communication with supporting agencies to determine capabilities, 

assess the availability of resources, and track resources. 

Long-Term Community Recovery (ESF #14) 

• Describe the coordination mechanisms and requirements for post-incident assessments, plans, and 

activities. 

• Describe the methods of identifying long-term recovery needs of special needs populations and 

incorporating these needs into recovery strategies. 

• Describe the methods of identifying long-term environmental restoration issues. 

• Describe the method of coordination with animal welfare and agricultural stakeholders and service 

providers in long-term community recovery efforts. 

External Affairs (ESF #15)/Emergency Public Information 

• Identify and describe the actions that will be taken to provide continuous and accessible public 

information about the disaster (e.g., media briefings, press releases, cable interruptions, EAS, text 

messages, door-to-door warnings), secondary effects, and recovery activities. 

• Identify and describe the actions that will be taken to ensure that information provided by all sources 

includes the content necessary to enable reviewers to determine its authenticity and potential validity. 

• Identify and describe plans, programs, and systems to control rumors by correcting misinformation 

rapidly. 

• Identify and describe the actions that will be taken to inform individuals with sensory, intellectual, or 

cognitive disabilities; individuals with limited English proficiency; and others with access and 

functional needs in the workplace, public venues, and in their homes. 

• Describe the role of a public information officer and the actions this person will take to coordinate 

public information releases (e.g., working with media at the scene, using a Joint Information Center, 

coordinating information among agencies/elected and appointed officials), including household pet 

evacuation and sheltering information. 

• Describe how responders/local officials will use and work with the media during an emergency 

(e.g., schedule press briefings; establish media centers on-scene; control access to the scene, 

responders, and victims). 

• Include prepared public instructions for identified hazards, including materials for managers of 

congregate care facilities, such as childcare centers, group homes, assisted living centers, and nursing 

homes. 

• Identify and describe the actions that will be taken to manage rumor control on- and off-scene 

(e.g., monitoring AM/FM radio and television broadcasts). 

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• Describe how public statements on shelter capacity and availability will be updated as people/animals 

are coming to shelters. 

• List the local media contacts and describe their abilities to provide warnings. 

Population Protection 

• Identify and describe the actions that will be taken to coordinate evacuations and sheltering-in-place 

for all segments of the population, including children, individuals with disabilities, and others with 

access and functional needs. 

• Describe the protocols and criteria used to decide when to recommend evacuation or sheltering-inplace. 

• Describe the conditions necessary to initiate an evacuation or sheltering-in-place and identify who has 

the authority to initiate such action. 

• Identify and describe the actions that will be taken to conduct the evacuation (e.g., of high-density 

areas, neighborhoods, high-rise buildings, subways, airports, schools, special events venues, areas 

with a high concentration of children and individuals with disabilities) and to provide security for the 

evacuation area. 

• Identify and describe the actions that will be taken to perform advanced/early evacuation, which is 

often necessary to accommodate children and others with mobility issues. 

• Identify and describe the actions that will be taken to provide safe evacuation/transportation 

assistance to unaccompanied minors. 

• Identify and describe the actions that will be taken to track unaccompanied minors and to reunite 

children with their families. 

• Identify and describe the actions that will be taken to protect target at-risk groups and/or facilities 

(e.g., racial, ethnic, religious) in the event of a terrorism alert. 

• Describe the plan for receiving those evacuated as a result of hazards in neighboring jurisdictions, 

including household pets and service animals. 

• Describe the methods used to keep children and others with disabilities with their caregivers, mobility 

devices, other durable medical equipment, and/or service animals during an evacuation. 

• Identify and describe the actions that will be taken to exchange registration and tracking information 

between and among the evacuating jurisdiction, the receiving jurisdiction(s), and the jurisdictions that 

evacuees will pass through. 

• Describe the coordination strategies for managing and possibly relocating incarcerated persons during 

a crisis response. 

• Describe how and when the public is notified (including individuals with sensory disabilities and 

individuals with limited English proficiency), explaining the actions they may be advised to follow 

during an evacuation, while sheltering-in-place, upon the decision to terminate sheltering-in-place, 

and throughout the incident. 

• Describe the protocols and criteria the jurisdiction will use to recommend termination of shelteringin-place. 

• Identify and describe the actions that will be taken to identify and assist moving evacuees, including 

assisting individuals with disabilities and others with access and functional needs. 

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Appendix C: Emergency Operations Plan Development Guide 

• Identify and describe the actions that will be taken to provide for the care of the evacuees’ household 

pets and service animals or to instruct evacuees on how to manage their household pets and service 

animals during an evacuation and in returning home when permitted. 

• Describe how agencies coordinate the decision to return evacuees to their homes, including informing 

evacuees about any health or physical access concerns or actions they should take when returning to 

homes/businesses. 

• Identify and describe the actions that will be taken to identify and assist the return of evacuees to their 

homes/communities, including individuals with disabilities and others with access and functional 

needs. 

• Identify and describe the actions that will be taken when the general public refuses to evacuate (e.g., 

implement forced removal, contact next of kin, place unique markings on homes, take no action). 

• Identify and describe the actions that will be taken to ensure the availability of sufficient and timely 

accessible transportation to evacuate children and other individuals with access and functional needs 

whose families do not have their own transportation resources. 

• Describe the means and methods by which evacuation transportation requests from schools, 

individuals with disabilities, and others with access and functional needs are collected and 

consolidated. 

• Describe the means by which incoming transportation requests will be tracked, recorded, and 

monitored as they are fulfilled. 

• Describe how accessible transportation resources (including paratransit service vehicles, school 

buses, municipal surface transit vehicles, drivers, and/or trained attendants) that can provide needed 

services during an evacuation are identified. 

• Describe the evacuation and transportation of household pets from their homes or by their owners or 

those household pets rescued by responders to congregate household pet shelters. 

• Describe how household pet owners will determine where congregate household pet shelters are 

located and which shelter to use. 

• Describe methods of transportation for household pets or service animals whose owners are 

dependent on public transportation. 

• Describe how household pets that are provided with evacuation assistance are registered, 

documented, tracked, and reunited with their owners if they are separated during assisted evacuations. 

Continuity of Government/Operations 

Note: Continuity of government (COG)/continuity of operations (COOP) may have a separate plan from 

the EOP. If a separate COG/COOP plan is used, it should be identified in the EOP. 

• Describe essential functions, such as providing vital services, exercising civil authority, maintaining 

the safety and well-being of the populace, and sustaining the industrial/economic base in an 

emergency. 

• Describe plans for establishing recovery time objectives, recovery point objectives, or recovery 

priorities for each essential function. 

• Identify personnel and/or teams needed to perform essential functions. 

• Describe orders of succession and delegations of authority. 

• Describe continuity/alternate facilities and continuity communications methods. 

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• Describe plans for vital records and human capital management. 

• Describe plans for devolution or direction and control. 

• Describe plans for reconstitution of operations. 

• Identify applicable training and exercise programs. 

• Describe the processes for evaluations, AARs, and lessons learned. 

• Describe the process and criteria for corrective action plans. 

Warning 

• Identify and describe the actions that will be taken to initiate/disseminate the initial notification that a 

disaster or threat is imminent or has occurred (e.g., Emergency Alert System [EAS] activation, doorto-door warnings, sirens, cable/TV messages). 

• Describe the use of emergency condition levels in the public notification process (e.g., snow 

emergencies, HAZMAT incidents, nuclear power plant incidents). 

• Identify and describe the actions that will be taken to alert individuals with sensory or cognitive 

disabilities and others with access and functional needs in the workplace, public venues, and in their 

homes. 

• Include pre-scripted EAS messages for identified hazards. 

Financial Management 

• Identify and describe the actions that will be taken to ensure that funds are provided expeditiously and 

that financial operations are conducted in accordance with established law, policies, regulations, and 

standards. 

Mutual Aid/Multijurisdictional Coordination 

• Describe the processes to establish and execute mutual aid agreements and multijurisdictional 

coordination in support of incident response. 

Private Sector Coordination 

• Describe the processes to ensure effective coordination and integration with the private sector, both 

for-profit and not-for-profit, engaged in incident response and recovery activities. 

• Describe the processes to ensure a shared situational awareness across sectors and between the 

jurisdiction and the private sector as a whole. 

Volunteer and Donations Management 

• Describe the method by which unaffiliated volunteers and unaffiliated organizations will be managed 

and their resources applied to incident response and recovery activities. 

• Identify and describe the actions that will be taken to establish and staff donation management 

functions (e.g., set up toll-free hotlines, create databases, appoint a donations liaison/office, use 

support organizations). 

• Identify and describe the actions that will be taken to verify and/or vet voluntary organizations and/or 

organizations operating relief funds. 

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• Identify and describe the actions that will be taken to collect, sort, manage, and distribute in-kind 

contributions, including methods for disposing of or refusing goods that are not acceptable. 

• Identify and describe the actions that will be taken to coordinate donation management issues with 

neighboring districts and the state’s donations management system. 

• Describe the process used to tell the general public about the donations program (e.g., instructions on 

items to bring and not bring, scheduled drop-off sites and times, the way to send monies), including a 

process for issuing routine updates. 

• Identify and describe the actions that will be taken to handle the spontaneous influx of volunteers. 

• Identify and describe the actions that will be taken to receive, manage, and distribute cash 

contributions. 

• Pre-identify sites that will likely be used to sort and manage in-kind contributions (e.g., private 

warehouses, government facilities). 

Worker Safety and Health 

• Describe the processes to ensure response and recovery worker safety and health during incident 

response and recovery. 

Prevention and Protection Activities 

This annex describes the methods to be followed to conduct basic prevention and protection activities. 

Prevention Activities 

This process is used to identify prevention activities designed to reduce the risk of terrorism. 

• Describe the process for managing and ensuring operational and threat awareness among government 

organizations and sectors. 

• Describe the process for sharing information between the fusion center(s) and the EOC(s). 

• Describe the integration of prevention activities in support of response and recovery operations. 

Protection Activities 

This process is used to identify protection activities designed to reduce the risk of terrorism. 

• Describe the process for managing the CIKR identification and protection efforts involving all threats 

and hazards. 

• Describe the integration of protection activities in support of response and recovery operations. 

Hazard- or Threat-Specific Annexes Content Guide 

These annexes describe emergency response strategies that apply to a specific hazard. Future CPGs will 

provide greater detail on developing these annexes. 

Local communities may integrate hazard-specific information into functional annexes if they believe such 

integration would make the plan easier to read and use. Conversely, the unique functional needs generated 

by the hazard should be addressed in the hazard/threat annex. 

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Local communities may find it appropriate to address specific hazards or threats in completely separate 

and stand-alone plans. In this case, the EOP must specifically reference those plans and provide a brief 

summary of how the EOP is to be coordinated with the stand-alone plans. 

Some hazards have unique planning requirements directed by specific state and Federal laws. The local 

emergency management agency must review those requirements and determine how the EOP can best 

address and meet those legal requirements. 

Human-Caused Hazards 

These are disasters created by man, either intentionally or by accident. 

Civil Unrest 

This section of the annex should address the hazard-specific methods the jurisdiction uses to prepare for 

and respond to civil unrest emergencies/disasters. The section should also identify and describe the 

jurisdiction’s specific concerns, capabilities, training, agencies, and resources that will be used to mitigate 

against, prepare for, respond to, and recover from civil unrest emergencies (e.g., riots, school shootings). 

Terrorism 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to prevent, protect against, prepare for, respond to, and 

recover from terrorist acts. The attacks covered should include, but not be limited to, attacks involving 

weapons of mass destruction, such as CBRNE incidents. Note: Some state emergency management 

agencies or homeland security offices have developed specific guidance for this planning element. 

Specific planning criteria are established in that guidance, and it must be reviewed in order to develop the 

terrorism plan. Planners should ensure that the EOP is compliant with any state, territorial, or tribal 

terrorism planning criteria. 

Natural Hazards 

Biological Incidents 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from epidemic diseases and biological incidents (e.g., West Nile virus, hoof and mouth disease, 

smallpox). Include a hazard analysis summary that discusses where/how biological incidents are likely to 

impact the community. 

Droughts 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from droughts (e.g., water conservation, public water outages, and wildfire issues). Include a hazard 

analysis summary that discusses where/how droughts are likely to impact the jurisdiction. 

Earthquakes 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from earthquakes. Include a hazard analysis summary that discusses where/how earthquakes are likely to 

impact the jurisdiction. 

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Appendix C: Emergency Operations Plan Development Guide 

Flood/Dam Failures 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from flood/dam emergencies/disasters (e.g., flash floods, inundation floods, floods resulting from dam 

failures or ice jams). Include a hazard summary that discusses where (e.g., 100-year and common 

floodplains) and how floods are likely to impact the jurisdiction. 

Hurricanes/Severe Storms 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from hurricanes/severe storms. Include a hazard analysis summary that discusses where/how 

hurricanes/severe storms are likely to impact the jurisdiction. 

Tornadoes 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from tornadoes. Include a hazard analysis summary that discusses where/how tornadoes are likely to 

impact the jurisdiction (e.g., historical/seasonal trends, damage levels F1 through F5). 

Winter Storms 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources that will be used to mitigate against, prepare for, respond to, and recover 

from winter storms (e.g., blizzards, ice jams, ice storms). Include a hazard analysis summary that 

discusses where/how winter storms are likely to impact the jurisdiction. 

Technological Hazards 

These incidents involve materials created by man and that pose a unique hazard to the general public and 

environment. The jurisdiction needs to consider incidents that are caused by accident (e.g., mechanical 

failure, human mistake), result from an emergency caused by another hazard (e.g., flood, storm), or are 

caused intentionally. 

Hazardous Materials 

This section of the annex should address the hazard-specific procedures and methods used to prepare for 

and respond to releases that involve HAZMAT that is manufactured, stored, or used at fixed facilities or 

in transport (if not addressed in a functional annex, such as ESF #10). This section may include materials 

that exhibit incendiary or explosive properties when released. Note: Some states have laws that require 

each Local Emergency Planning Committee (LEPC) to develop a Chemical Emergency Preparedness and 

Response Plan on this topic. Some states have laws requiring the local emergency management agency to 

incorporate the LEPC’s plan into the emergency management agency’s planning and preparedness 

activities. Specific planning criteria established by a State Emergency Response Commission must be 

reviewed and addressed in order to develop the LEPC plan. 

• For LEPCs that complete a stand-alone plan, describe how the jurisdiction coordinates that plan with 

the EOP. 

• For LEPC plans that are part of the EOP, describe how the planning team used and adhered to the 

State Emergency Response Commission criteria in order to be in compliance with those requirements 

and the EOP requirements discussed previously. 

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Lethal Chemical Agents and Munitions 

This section of the annex should identify and describe the jurisdiction’s specific concerns, capabilities, 

training, agencies, and resources used to mitigate against, prepare for, respond to, and recover from lethal 

chemical agent and munitions incidents (e.g., sarin, mustard, and VX). Include a hazard analysis summary 

that discusses where/how chemical agent incidents are likely to impact the community. 

Radiological Incidents 

This section of the annex should address the hazard-specific methods to prepare for and respond to 

releases that involve radiological materials that are at licensed facilities or in transport. 

• Describe/identify the jurisdiction’s specific concerns, capabilities, training, agencies, and resources 

that will be used to mitigate against, prepare for, respond to, and recover from radiological hazards. 

Include a hazard analysis summary that discusses where/how radiological materials are likely to 

impact the jurisdiction, including incidents that occur at fixed facilities, along transportation routes, or 

as fallout from a nuclear weapon. 

• If applicable, address the requirements of FEMA/U.S. Nuclear Regulatory Commission NUREG0654 and Code of Federal Regulations Part 44, Section 350 as it applies to the jurisdiction’s planning 

for emergencies/disasters involving regulated nuclear power plants. 

Additional Hazards (as Applicable) 

Add additional annexes to include other hazards identified through the jurisdiction’s hazard analysis 

(e.g., mass casualty, plane crash, train crash/derailment, school emergencies). 

• Describe/identify the jurisdiction’s specific concerns, capabilities, training, agencies, and resources 

that will be used to mitigate against, prepare for, respond to, and recover from other hazards as 

defined in the jurisdiction’s hazard analysis. 
Appendix D: Suggested 

Training 

At a minimum, the Federal Emergency Management Agency (FEMA) suggests completing the following 

independent study courses offered by FEMA’s Emergency Management Institute 

(http://training.fema.gov/IS/): 

• IS-1: Emergency Manager: An Orientation to the Position 

• IS-10: Animals in Disaster, Module A – Awareness and Preparedness 

• IS-11: Animals in Disaster, Module B – Community Planning 

• IS-100.a: Introduction to Incident Command System 

• IS-120.a: An Introduction to Exercises 

• IS-130: Exercise Evaluation and Improvement Planning 

• IS-197.EM: Special Needs Planning Considerations – Emergency Management 

• IS-200.a: ICS for Single Resources and Initial Action Incidents 

• IS-208.a: State Disaster Management 

• IS-230.a: Fundamentals of Emergency Management 

• IS-235: Emergency Planning 

• IS-288: The Role of Voluntary Agencies in Emergency Management 

• IS-366: Planning for the Needs of Children in Disasters 

• IS-547.a: Introduction to Continuity of Operations 

• IS-650.a: Building Partnerships with Tribal Governments 

• IS-700.a: NIMS – An Introduction 

• IS-701.a: NIMS Multiagency Coordination Systems 

• IS-702.a: NIMS Public Information Systems 

• IS-703.a: NIMS Resource Management 

• IS-704: NIMS Communications and Information Management 

• IS-706: NIMS Intrastate Mutual Aid – An Introduction 

• IS-800.b: National Response Framework, An Introduction 

• IS-860.a: National Infrastructure Protection Plan 

• Additional Training Sources: 

– Center for Domestic Preparedness (http://cdp.dhs.gov) 

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– Counter Terrorism Operations Support Program (http://www.ctosnnsa.org/index.html) 

– Emergency Management Institute (http://training.fema.gov/EMICourses) 

– Emergency Management Institute Courses Conducted by States 

(http://training.fema.gov/EMIWeb/STCourses) 

– Energetic Materials Research and Testing Center at New Mexico Institute of Mining and 

Technology (http://www.emrtc.nmt.edu) 

– Learn About Risk (http://www.learnaboutrisk.com) 

– National Center for Biomedical Research and Training at Louisiana State University 

(http://www.ncbrt.lsu.edu) 

– National Incident Management System 

(http://www.fema.gov/emergency/nims/NIMSTrainingCourses.shtm) 

– National Training and Education Division (https://www.firstrespondertraining.gov) 

– Office of the Director of National Intelligence’s Program Manager – Information Sharing 

Environment (http://www.ise.gov/training/awareness/sco1.aspx) 

– Texas Engineering Extension Service at Texas A&M University (http://teexweb.tamu.edu) 

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