Emergency Planning

Independent Study 235.b

December 2011

FEMA
TABLE OF CONTENTS

Emergency Planning Page i

Page

Course Overview.........................................................................................................................1

Unit 1: Course Introduction

Introduction ................................................................................................................................1.1

How To Take This Course .........................................................................................................1.1

Case Study: Why Plan? ............................................................................................................1.4

Course Goals .............................................................................................................................1.6

Goal Setting ...............................................................................................................................1.6

Activity: Personal Learning Goals .............................................................................................1.7

Unit Summary ............................................................................................................................1.8

For More Information .................................................................................................................1.8

Unit 2: The Planning Process

Introduction and Unit Overview..................................................................................................2.1

Mandates: Incident Management and Coordination Systems ..................................................2.1

The Emergency Planning Process.............................................................................................2.5

Who Should Be Involved?..........................................................................................................2.6

How To Get the Team Together ..............................................................................................2.10

How Should the Team Operate? .............................................................................................2.11

Activity: Organizational Roles and Individual Skills.................................................................2.14

Unit Summary ..........................................................................................................................2.15

Knowledge Check ....................................................................................................................2.16

Unit 3: Threat Analysis

Introduction and Unit Overview..................................................................................................3.1

The Threat Analysis Process .....................................................................................................3.1

Step 1: Identifying Threats ........................................................................................................3.2

Step 2: Profiling Threats ...........................................................................................................3.4

Activity: Profiling a Threat .........................................................................................................3.5

Step 3: Developing a Community Profile ..................................................................................3.7

Step 4: Determining Vulnerability..............................................................................................3.8

Activity: Prioritizing Risks ........................................................................................................3.10

Step 5: Creating and Applying Scenarios ...............................................................................3.11

Activity: Threat Analysis..........................................................................................................3.12

Unit Summary ..........................................................................................................................3.15

For More Information ...............................................................................................................3.16

Knowledge Check ....................................................................................................................3.17

Unit 4: The Basic Plan

Introduction and Unit Overview..................................................................................................4.1

Components of a Basic Plan......................................................................................................4.1

Activity: Basic Plan Review.......................................................................................................4.6

Activity: Reviewing Your Community’s Basic Plan....................................................................4.9

Unit Summary ..........................................................................................................................4.11

Knowledge Check ....................................................................................................................4.12
TABLE OF CONTENTS

Emergency Planning Page ii

Unit 5: Annexes

Introduction and Unit Overview..................................................................................................5.1

Annexes .....................................................................................................................................5.1

Functional Annexes ...................................................................................................................5.2

Activity: Reviewing Your EOP’s Functional Annexes................................................................5.4

Hazard-, Threat-, and Incident-Specific Annexes ......................................................................5.6

Annex Implementing Instructions...............................................................................................5.8

Activity: Hazard-Specific Annex Review ...................................................................................5.9

Unit Summary ..........................................................................................................................5.10

Knowledge Check ....................................................................................................................5.11

Unit 6: Implementing Instructions

Introduction and Unit Overview..................................................................................................6.1

What Are Implementing Instructions? ........................................................................................6.1

Activity: Which Type Is Best?....................................................................................................6.6

Who Uses Implementing Instructions? ......................................................................................6.8

Activity: Identifying Possible Agency Implementing Instructions...............................................6.9

Unit Summary ..........................................................................................................................6.10

Knowledge Check ....................................................................................................................6.11

Unit 7: Course Summary

Introduction ................................................................................................................................7.1

The Planning Process................................................................................................................7.1

Threat Analysis ..........................................................................................................................7.3

The Basic Plan...........................................................................................................................7.5

Annexes .....................................................................................................................................7.6

Implementing Instructions ..........................................................................................................7.7

Final Steps .................................................................................................................................7.8

Appendix A: Sample Plan: Jefferson County

Appendix B: Job Aids

Appendix C: Acronym List
Course Overview
COURSE OVERVIEW

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About This Course

This course is designed for emergency management personnel who are 

involved in developing an effective emergency planning system.

This course offers training in the fundamentals of the emergency planning 

process, including the rationale behind planning. It will develop your capability 

for effective participation in the all-hazards emergency operations planning 

process to save lives and protect property threatened by disaster.

FEMA’s Independent Study Program

The Federal Emergency Management Agency’s (FEMA’s) Independent Study 

Program is one of the delivery channels that the Emergency Management 

Institute (EMI) uses to provide training to the general public and specific 

audiences. This course is part of FEMA’s Independent Study Program. In 

addition to this course, the Independent Study Program includes other courses 

in the Professional Development Series (PDS) as well as courses in floodplain 

management, radiological emergency management, the role of the emergency 

manager, hazardous materials, disaster assistance, the role of the Emergency 

Operations Center (EOC), and an orientation to community disaster exercises.

FEMA’s independent study courses are available at no charge and include a 

final examination. You may apply individually or through group enrollment. 

When enrolling for a course, you must include your name, mailing address, 

Social Security number, and the title of the course in which you wish to enroll.

If you need assistance with enrollment, or if you have questions about how to 

enroll, contact the Independent Study Program Administrative Office at:

FEMA Independent Study Program

Administrative Office

Emergency Management Institute

16825 South Seton Ave.

Emmitsburg, MD 21727

(301) 447-1200

Information about FEMA’s Independent Study Program also is available on the 

Internet at:

http://www.training.fema.gov/IS

Each request will be reviewed and directed to the appropriate course manager 

or program office for assistance.
COURSE OVERVIEW

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Course Completion

The course completion deadline for all FEMA Independent Study courses is 

1 year from the date of enrollment. The date of enrollment is the date that the 

EMI Independent Study Office will use for completion of all required course 

work, including the final examination. If you do not complete this course, 

including the final examination, within that timeframe, your enrollment will be 

terminated.

Course Prerequisites

Emergency Planning has no prerequisites.

Final Examination

This course includes a final examination, which you must complete and return 

to FEMA’s Independent Study Office for scoring. To obtain credit for taking this 

course, you must successfully complete this examination with a score of 75 

percent or above. You may take the final examination as many times as 

necessary.

When you have completed all units, you must take the final examination online. 

EMI will score your test and notify you of the results.
Unit 1: Course Introduction
UNIT 1: COURSE INTRODUCTION

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Introduction

The knowledge of how to plan for disasters is critical in emergency 

management. Planning can make a difference in mitigating against the effects 

of a disaster, including saving lives and protecting property, and helping a 

community recover more quickly from a disaster. 

This course, Emergency Planning, is designed to aid emergency management 

personnel in developing an effective emergency operations plan (EOP). Topics 

covered include selecting the planning team, the planning process, hazard 

analysis, and plan format. This course also prepares you to take the classroom 

course, Workshop in Emergency Management (WEM). 

How To Take This Course

This independent study course is designed so that you can complete it on your 

own, at your own pace. Take a break after each unit, and give yourself time to 

think about the material, particularly as it applies to your work as an emergency 

management professional and the situations you have encountered or 

anticipate encountering on the job. 

Emergency Planning contains seven units. Each of the units is described 

below.

• Unit 1, Course Introduction, provides an overview of the course objectives 

and instructions for taking the course.

• Unit 2, The Planning Process, provides an overview of the emergency 

planning process, including the steps involved and how to determine who 

should be a part of the emergency planning team.

• Unit 3, Threat Analysis, describes the threat analysis process and explains 

why conducting a thorough threat analysis is a critical first step in 

emergency operations planning.

• Unit 4, The Basic Plan, introduces the purpose of the basic EOP and 

describes its components.

• Unit 5, Annexes, introduces functional and hazard-, threat-, and incidentspecific annexes.

• Unit 6, Implementing Instructions, introduces the different types of 

implementing instructions that may be developed at the agency level and 

how they are used.

• Unit 7, Course Summary, reviews and summarizes the course content and 

serves as preparation for the final exam.
UNIT 1: COURSE INTRODUCTION

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Activities

This course will involve you actively as a learner by including activities that 

highlight basic concepts. Through the use of case studies, the course will also 

provide you with guidance on actions required in specific situations. These 

activities emphasize different learning points, so be sure to complete all of 

them. Compare your answers to the answers provided following the activity. If 

your answers are correct, continue on with the material. If any of your answers 

are incorrect, go back and review the material before continuing.

Knowledge Checks

To help you know when to proceed to the next unit, Units 2 through 6 are 

followed by a Knowledge Check that asks you to answer questions pertaining to 

the unit content, followed by the answers. When you finish each Knowledge 

Check, check your answers, and review the parts of the text that you do not 

understand. It will be to your benefit to be sure that you have mastered the 

current unit before proceeding to the next unit.

Appendixes

In addition to the course units, this course includes three appendixes. Appendix 

A contains a sample plan that will be used to complete an activity in Unit 4. 

Appendix B provides Job Aids, and Appendix C gives a list of the acronyms 

used in the course.

Final Examination

This course includes a written final examination, which you must complete and 

submit to FEMA’s Independent Study Office. To obtain credit for taking this 

course, you must successfully complete the examination with a score of 75 

percent or above. You may take the final examination as many times as 

necessary.

When you have completed all units, take the final examination online. EMI will 

score your test and notify you of the results.
UNIT 1: COURSE INTRODUCTION

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Sample Learning Schedule

Complete this course at your own pace. You should be able to finish the entire 

courseincluding units, knowledge checks, and the final examinationin 

approximately 10 hours. The following learning schedule is an example 

intended to show relative times for each unit.

Unit Suggested Time

Unit 1: Course Introduction

Unit 2: The Planning Process

Unit 3: Threat Analysis

Unit 4: The Basic Plan

Unit 5: Annexes

Unit 6: Implementing Instructions

Unit 7: Course Summary

1

/2 hour

11/2 hours

2 hours

2 hours

2 hours

3⁄4 hour

11⁄4 hours
UNIT 1: COURSE INTRODUCTION

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Case Study: Why Plan?

Instructions: Read the following case study. As you read, think about how 

the planning ability of these communities compares with that in your own 

community. Answer the questions that follow the case study. Then turn the 

page to check your answers against the answers provided.

At 6:53 p.m. on Friday, October 6, Hurricane Frieda slammed into the Carolinas. A Category 3 

hurricane, Frieda dumped 12 inches of rain in as many hours, causing coastal flooding that, 

combined with wind speeds of 115 m.p.h., demolished 1,000 homes, seriously damaged 25,000 

others, and left 150,000 people homeless. Mass evacuation in coastal counties was required.

Evacuation in most counties went well. Prior to the hurricane, Green County had conducted a 

study to estimate the time required to evacuate its population, and the actual time to evacuate 

was less than planned. Additionally, inland residents were able to survive on their own for 

several days, thanks to functioning county emergency services.

However, evacuation in Washington and Jefferson Counties, which had no emergency plans, 

was itself a disaster. The decision to recommend evacuation was made too late and was 

broadcast insufficiently. Furthermore, evacuation routes were not specified. Traffic on 

westbound two-lane roads crawled to a standstill, and many drivers had to abandon their cars in 

rising water and proceed on foot in high winds. There were many casualties among those trying 

to reach shelter. These counties had to request State help immediately to rescue residents. 

After the storm, these counties were not eligible for the full amount of State aid to rebuild 

because of their failure to create an emergency plan.

1. What advantages to emergency planning can you list from this case study? 

2. What consequences resulted from a lack of planning?
UNIT 1: COURSE INTRODUCTION

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Case Study: Why Plan? (Continued)

Answers to the Case Study

Advantages to counties with emergency plans were their ability to:

• Evacuate successfully.

• Survive on their own for several days.

Consequences to counties without emergency plans were:

• Their need for immediate assistance.

• The casualties resulting from attempted evacuation.

• Their ineligibility for the full amount of State aid. (In most States, counties that do not have 

emergency plans cannot declare an emergency and are ineligible for any aid or for the full 

amount of aid.)

The bottom line is that laws require counties to do everything reasonable and prudent to protect 

lives and property, including emergency planning.

In the space below, consider your own community, and list at least three benefits it could gain 

from having an up-to-date plan.
UNIT 1: COURSE INTRODUCTION

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Course Goals

In Emergency Planning, you will learn how to plan for a disaster. This course 

will provide you with a foundation that will enable you to:

• Answer the question, “Why plan?”

• Describe the threat analysis and capability assessment process.

• Describe the EOP format and content.

• Identify types of community support available and required for response and 

recovery.

• State the rationale for a team approach to planning.

• Describe and demonstrate EOP coordination and marketing.

• Relate exercises to the planning process.

• Develop a plan maintenance program.

• Develop and present a personal action plan for emergency planning.

Goal Setting

What do you hope to gain through completing Emergency Planning? 

Depending on your role in emergency management, your prior experience, and 

your current level of expertise, your goals may be slightly different from those of 

other emergency management professionals.

Clarifying your goals will help you gain the most from the time you spend 

completing this course. Take a few minutes to complete the following activity. 
UNIT 1: COURSE INTRODUCTION

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Activity: Personal Learning Goals

The purpose of this activity is to help you develop personal goals for this 

course. Consider the following information:

• The course goals

• Your own experience with emergency planning

Think about what you would like to accomplish through this course. Then list 

three (or more) personal goals for improving your ability to plan for an 

emergency.

Goals

1. ______________________________________________________

2. ______________________________________________________

3. ______________________________________________________
UNIT 1: COURSE INTRODUCTION

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Unit Summary

Knowing how to plan for a disaster is critical because effective planning can 

make a difference in:

• Mitigating against a disaster’s effects.

• Helping a community recover more quickly.

This course is designed to aid in developing an effective emergency operations 

plan. You can complete this course on your own, at your own pace.

The course contains components that will guide you through the learning, 

including:

• Activities to provide guidance on actions required in specific situations.

• Knowledge Checks to test yourself on what you have learned and review 

the parts that you do not understand.

• An Appendix that contains an acronym list. 

Unit 1 gave you an overview of Emergency Planning and instructions on how to 

take the course. Unit 2 will examine the planning process.

For More Information

• Comprehensive Preparedness Guide (CPG) 101, “Developing and 

Maintaining Emergency Operations Plans”:

http://www.fema.gov/about/divisions/cpg.shtm

• Electronic Journal of Emergency Management (available free online):

http://members.tripod.com/~Richmond_ESM/index.html
Unit 2: The Planning Process
UNIT 2: THE PLANNING PROCESS

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Introduction and Unit Overview

This unit will provide an overview of the emergency planning process, including 

who should participate on the planning team. After you complete this unit, you 

should be able to:

• Describe the key steps in the emergency planning process.

• Identify agencies that should be involved in emergency planning.

• Describe where you fit into the emergency planning process.

Mandates: Incident Management and Coordination Systems

On February 28, 2003, the President issued Homeland Security Presidential 

Directive 5 (HSPD–5), “Management of Domestic Incidents,” which directed the 

Secretary of Homeland Security to develop and administer a National Incident 

Management System (NIMS). This system provides a consistent nationwide 

template to enable Federal, State, tribal, and local governments, 

nongovernmental organizations (NGOs), and the private sector to work together 

to prevent, protect against, respond to, recover from, and mitigate the effects of 

incidents, regardless of cause, size, location, or complexity. This consistency 

provides the foundation for utilization of NIMS for all incidents, ranging from 

daily occurrences to incidents requiring a coordinated Federal response.

National Incident Management System (NIMS)

NIMS is not an operational incident management or resource allocation plan. 

NIMS represents a core set of doctrines, concepts, principles, terminology, and 

organizational processes that enables effective, efficient, and collaborative 

incident management.

Building on the foundation provided by existing emergency management and 

incident response systems used by jurisdictions, organizations, and functional 

disciplines at all levels, NIMS integrates best practices into a comprehensive 

framework for use nationwide by emergency management/response personnel 

in an all-hazards context. These best practices lay the groundwork for the 

components of NIMS and provide the mechanisms for the further development 

and refinement of supporting national standards, guidelines, protocols, systems, 

and technologies. NIMS fosters the development of specialized technologies 

that facilitate emergency management and incident response activities, and 

allows for the adoption of new approaches that will enable continuous 

refinement of the system over time.
UNIT 2: THE PLANNING PROCESS

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NIMS (Continued)

Five major components make up the NIMS approach:

• Preparedness: Effective emergency management and incident response 

activities begin with a host of preparedness activities conducted on an 

ongoing basis, in advance of any potential incident. Preparedness involves 

an integrated combination of assessment; planning; procedures and 

protocols; training and exercises; personnel qualifications, licensure, and 

certification; equipment certification; and evaluation and revision.

• Communications and Information Management: Emergency 

management and incident response activities rely on communications and 

information systems that provide a common operating picture to all 

command and coordination sites. NIMS describes the requirements 

necessary for a standardized framework for communications and 

emphasizes the need for a common operating picture. This component is 

based on the concepts of interoperability, reliability, scalability, and 

portability, as well as the resiliency and redundancy of communications and 

information systems.

• Resource Management: Resources (such as personnel, equipment, or 

supplies) are needed to support critical incident objectives. The flow of 

resources must be fluid and adaptable to the requirements of the incident. 

NIMS defines standardized mechanisms and establishes the resource 

management process to identify requirements, order and acquire, mobilize, 

track and report, recover and demobilize, reimburse, and inventory 

resources.

• Command and Management: The Command and Management 

component of NIMS is designed to enable effective and efficient incident 

management and coordination by providing a flexible, standardized incident 

management structure. The structure is based on three key organizational 

constructs: the Incident Command System, Multiagency Coordination 

Systems, and Public Information.

• Ongoing Management and Maintenance: Within the auspices of Ongoing 

Management and Maintenance, there are two components: the National 

Integration Center (NIC) and Supporting Technologies.

Additional information about NIMS can be accessed online at 

http://www.fema.gov/emergency/nims/ or by completing EMI’s IS 700 online 

course.
UNIT 2: THE PLANNING PROCESS

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National Response Framework (NRF)

The NRF is a guide to how the Nation conducts all-hazards response—from the 

smallest incident to the largest catastrophe. This key document establishes a 

comprehensive, national, all-hazards approach to domestic incident response. 

The Framework identifies the key response principles, roles, and structures that 

organize national response. It describes how communities, States, the Federal 

Government, and private-sector and nongovernmental partners apply these 

principles for a coordinated, effective national response.

The NRF is:

• Always in effect, and elements can be implemented as needed on a 

flexible, scalable basis to improve response. It is not always obvious at 

the outset whether a seemingly minor event might be the initial phase of a 

larger, rapidly growing threat. The NRF allows for the rapid acceleration of 

response efforts without the need for a formal trigger mechanism.

• Part of a broader strategy. The NRF is required by, and integrates under, 

a larger National Strategy for Homeland Security that:

• Serves to guide, organize, and unify our Nation's homeland security 

efforts.

• Reflects our increased understanding of the threats confronting the 

United States.

• Incorporates lessons learned from exercises and real-world catastrophes.

• Articulates how we should ensure our long-term success by 

strengthening the homeland security foundation we have built.

• Comprised of more than the core document. The NRF is comprised of 

the core document; the Emergency Support Function (ESF), Support, and 

Incident Annexes; and the Partner Guides. The core document describes 

the doctrine that guides our national response, roles and responsibilities, 

response actions, response organizations, and planning requirements to 

achieve an effective national response to any incident that occurs.

The following documents provide more detailed information to assist 

practitioners in implementing the Framework:

• Emergency Support Function Annexes group Federal resources and 

capabilities into functional areas that are most frequently needed in a 

national response (e.g., Transportation, Firefighting, Search and 

Rescue).
UNIT 2: THE PLANNING PROCESS

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NRF (Continued)

• Support Annexes describe essential supporting aspects that are 

common to all incidents (e.g., Financial Management, Volunteer and 

Donations Management, Private-Sector Coordination).

• Incident Annexes address the unique aspects of how we respond to 

seven broad incident categories (e.g., Biological, Nuclear/Radiological, 

Cyber, Mass Evacuation).

Additional information about the NRF can be accessed online at 

http://www.fema.gov/emergency/NRF/ or by completing EMI’s IS-800.b online 

course.

What This Means to You

Your jurisdiction is required to:

• Use NIMS to manage 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, through department Emergency 

Operations Centers (DEOCs) and local Emergency Operations Centers 

(EOCs), through the State EOC, to the regional- and national-level entities.

• Develop and implement a public information system.

• Identify and type all resources according to established standards.

• Ensure that all personnel are trained properly for the job(s) they perform.

• Ensure communications interoperability and redundancy.

Remember the importance of working with Voluntary Organizations Active in 

Disaster (VOADs), NGOs, business and industry, and others to develop a plan 

for addressing volunteer needs before an incident to help eliminate some of the 

potential problems that can occur during an incident.
UNIT 2: THE PLANNING PROCESS

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The Emergency Planning Process

Emergency planning is not a one-time event. Rather, it is a continual cycle of 

planning, training, exercising, and revision that takes place throughout the five 

phases of the emergency management cycle (preparedness, prevention, 

mitigation, response, and recovery).

The planning process does have one purpose—the development and 

maintenance of an up-to-date emergency operations plan (EOP). An EOP can 

be defined as a document maintained by various jurisdictional levels describing 

the plan for responding to a wide variety of potential hazards.

Although the emergency planning process is cyclic, EOP development has a 

definite starting point.

There are six steps in the emergency planning process:

1. Form a collaborative planning team. Using a team or group approach 

helps organizations define their perception of the role they will play during 

an operation. One goal of using a planning team is to build and expand 

relationships that help bring creativity and innovation to planning during an 

event. This approach helps establish a planning routine, so that processes 

followed before an event occurs are the same as those used during an 

event.

2. Understand the situation. Hazards and threats are the general problems 

that jurisdictions face. Researching and analyzing information about 

potential hazards and threats a jurisdiction may face brings specificity to the 

planning process. If hazards and threats are viewed as problems and 

operational plans are the solution, then hazard and threat identification and 

analysis are key steps in the planning process.

3. Determine goals and objectives. By using information from the hazard 

profile developed as part of the analysis process, the planning team thinks 

about how the hazard or threat would evolve in the jurisdiction and what 

defines a successful operation. Starting with a given intensity for the hazard 

or threat, the team imagines an event’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, or displacement).

4. Develop the plan. The same scenarios used during problem identification 

are used to develop potential courses of action. For example, some 

prevention and protection courses of action can be developed that may 

require a significant initial action (such as hardening a facility) or creation of 

an ongoing procedure (such as checking identity cards.). Planners consider 

the needs and demands, goals, and objectives to develop several response 

alternatives.
UNIT 2: THE PLANNING PROCESS

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The Emergency Planning Process (Continued)

5. Prepare, review, and approve the plan. The planning team develops a 

rough draft of the base plan, functional or hazard annexes, or other parts of 

the plan as appropriate. As the planning team works through successive 

drafts, the members add necessary tables, charts, and other graphics. A 

final draft is prepared and circulated to organizations that have 

responsibilities for implementing the plan to obtain their comments.

6. Implement and maintain the plan. Exercising the plan and evaluating its 

effectiveness involve using training and exercises and evaluation of actual 

events to determine whether the goals, objectives, decisions, actions, and 

timing outlined in the plan led to a successful response. Similarly, planners 

need to be aware of lessons and practices from other communities.

The planning process is all about stakeholders bringing their resources and 

strengths to the table to develop and reinforce a jurisdiction’s emergency 

management and homeland security programs. Properly developed, supported, 

and executed operational plans are a direct result of an active and evolving 

program. 

Who Should Be Involved?

Emergency planning is a team effort because disaster response requires 

coordination between many community agencies and organizations and 

different levels of government. Furthermore, different types of emergencies 

require different kinds of expertise and response capabilities. Thus, the first 

step in emergency planning is identification of all of the parties that should be 

involved.

Obviously, the specific individuals and organizations involved in response to an 

emergency will depend on the type of disaster. Law enforcement will probably 

have a role to play in most events, as will fire, emergency medical services 

(EMS), voluntary agencies, and the media. On the other hand, hazardous 

materials (hazmat) personnel may or may not be involved in a given incident but

should be involved in the planning process because they have specialized 

expertise that may be called on.

You will be determining the types of hazards that pose a risk to your community 

in Unit 3, Threat Analysis. In the meantime, think broadly. Most of the 

individuals and organizations listed on the next page have a role to play in 

planning for different types of emergencies.
UNIT 2: THE PLANNING PROCESS

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Who Should Be Involved? (Continued)

Individuals/Organizations What They Bring to the Planning Team

Senior Official (elected or appointed)

or designee

• Support for the homeland security planning process

• Government intent by identifying planning goals and 

essential tasks

• Policy guidance and decisionmaking capability 

• Authority to commit the jurisdiction’s resources

Emergency Manager or designee • Knowledge about all-hazards planning techniques 

• Knowledge about the interaction of the tactical, 

operational, and strategic response levels 

• Knowledge about the prevention, protection, mitigation,

response, and recovery strategies for the jurisdiction 

• Knowledge about existing mitigation, emergency, 

continuity, and recovery plans 

EMS Director or designee • Knowledge about emergency medical treatment 

requirements for a variety of situations 

• Knowledge about treatment facility capabilities 

• Specialized personnel and equipment resources 

• Knowledge about how EMS interacts with the Emergency 

Operations Center and incident command 

Fire Chief or designee • Knowledge about fire department procedures, on-scene 

safety requirements, hazardous materials response 

requirements, and search-and-rescue techniques

• Knowledge about the jurisdiction’s fire-related risks 

• Specialized personnel and equipment resources 

Police Chief or designee • Knowledge about police department procedures; on-scene 

safety requirements; local laws and ordinances; explosive 

ordnance disposal methods; and specialized response 

requirements, such as perimeter control and evacuation 

procedures 

• Knowledge about the prevention and protection strategies 

for the jurisdiction 

• Knowledge about fusion centers and intelligence and 

security strategies for the jurisdiction 

• Specialized personnel and equipment resources 

Public Works Director or designee • Knowledge about the jurisdiction’s road and utility 

infrastructure

• Specialized personnel and equipment resources
UNIT 2: THE PLANNING PROCESS

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Who Should Be Involved? (Continued)

Individuals/Organizations What They Bring to the Planning Team

Public Health Officer or designee • Records of morbidity and mortality

• Knowledge about the jurisdiction’s surge capacity 

• Understanding of the special medical needs of the 

community

• Knowledge about historic infectious disease and 

syndromic surveillance 

• Knowledge about infectious disease sampling procedures

Hazardous Materials Coordinator • Knowledge about hazardous materials that are produced, 

stored, or transported in or through the community 

• Knowledge about U.S. Environmental Protection Agency 

(EPA), Occupational Safety and Health Administration 

(OSHA), and U.S. Department of Transportation (DOT) 

requirements for producing, storing, and transporting 

hazardous materials and responding to hazardous 

materials incidents

Hazard Mitigation Specialist • Knowledge about all-hazards planning techniques 

• Knowledge of current and proposed mitigation strategies 

• Knowledge of available mitigation funding 

• Knowledge of existing mitigation plans 

Transportation Director or designee • Knowledge about the jurisdiction’s road infrastructure 

• Knowledge about the area’s transportation resources 

• Familiarity with the key local transportation providers 

• Specialized personnel resources 

Agriculture Extension Service • Knowledge about the area’s agricultural sector and 

associated risks (e.g., fertilizer storage, hay and grain 

storage, fertilizer and/or excrement runoff) 

School Superintendent or designee • Knowledge about school facilities 

• Knowledge about the hazards that directly affect schools 

• Specialized personnel and equipment resources (e.g., 

buses)

Social services agency representatives • Knowledge about special-needs populations 

Local Federal asset representatives • Knowledge about specialized personnel and equipment 

resources that could be used in an emergency 

• Facility security and response plans (to be integrated with 

the jurisdiction’s EOP) 

• Knowledge about potential threats to or hazards at 

Federal facilities (e.g., research laboratories, military 

installations) 
UNIT 2: THE PLANNING PROCESS

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Who Should Be Involved? (Continued)

Individuals/Organizations What They Bring to the Planning Team

NGOs (includes members of National 

VOAD [Voluntary Organizations Active 

in Disaster]) and other private, not-forprofit, faith-based, and community 

organizations 

• Knowledge about specialized resources that can be 

brought to bear in an emergency 

• Lists of shelters, feeding centers, and distribution centers 

• Knowledge about special-needs populations 

Local business and industry 

representatives 

• Knowledge about hazardous materials that are produced, 

stored, and/or transported in or through the community 

• Facility response plans (to be integrated with the 

jurisdiction’s EOP)

• Knowledge about specialized facilities, personnel, and 

equipment resources that could be used in an emergency 

Amateur Radio Emergency Service 

(ARES)/Radio Amateur Civil Emergency 

Services (RACES) Coordinator 

• List of ARES/RACES resources that can be used in an 

emergency 

Utility representatives • Knowledge about utility infrastructures

• Knowledge about specialized personnel and equipment 

resources that could be used in an emergency

Veterinarians/Animal shelter 

representatives 

• Knowledge about the special response needs for animals, 

including livestock

Expanded planning teams should include representatives from partners within 

the identified planning area, surrounding jurisdictions, and facilities or locations 

of concern and must include stakeholder organizations responsible for 

infrastructure, the economy, the environment, and quality of life. 

Such organizations include those responsible for:

• Building codes.

• Land use and zoning.

• Transportation corridors.

• Utilities.

• Economic development.
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.10

How To Get the Team Together

Getting everyone to take an active interest in emergency planning will be no 

easy task. To schedule meetings with so many participants may be even more 

difficult. It is critical, however, to have everyone’s participation in the planning 

process and to have them feel ownership in the plan by involving them from the 

beginning. Also, their expertise and knowledge of their organizations’ 

resources is crucial to developing an accurate plan that considers the entire 

community’s needs and the resources that could be made available in an 

emergency.

It is definitely to the community’s benefit to have the active participation of all 

players. But what can you do to ensure that everyone who should participate 

does? Some tips for gathering the team together include:

• Plan ahead. Give the planning team plenty of notice of where and when the 

planning meeting will be held. If time permits, you might even survey the 

team members to find the time and place that will work for them.

• Provide information about team expectations. Explain why participating on 

the planning team is important to the participants’ agencies and to the 

community itself. Show the participants how they will contribute to a more 

effective emergency response.

• Ask the senior elected or appointed official to sign the meeting 

announcement. A directive from the executive office will carry the authority 

of the CEO and send a clear signal that the participants are expected to 

attend and that emergency planning is important to the community.

• Allow flexibility in scheduling after the first meeting. Not all team members 

will need to attend all meetings. Some of the work can be completed by 

task forces or subcommittees. Where this is the case, gain concurrence on 

timeframes and 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.

Also, talk to some emergency managers from adjacent communities to gain 

their ideas and input on how to gain and maintain interest in the planning 

process.
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.11

How Should the Team Operate?

Working with personnel from other agencies and organizations requires 

collaboration. Collaboration is the process by which people work together as a 

team toward a common goal—in this case, development of a community EOP.

Successful collaboration requires:

• A commitment to participate in shared decisionmaking.

• A willingness to share information, resources, and tasks.

• A professional sense of respect for individual team members.

Collaboration can be made difficult by differences among agencies and 

organizations in:

• Terminology.

• Experience.

• Mission.

• Culture.

Collaboration under these conditions requires the flexibility to reach agreement 

on common terms and priorities, and humility to learn from others’ ways of 

doing things.

Collaboration among EOP planning team members benefits the community by 

strengthening the overall response to the disaster. For example, collaboration 

can:

• Eliminate duplication of services, resulting in a more efficient response.

• Expand resource availability.

• Enhance problem-solving through cross-pollination of ideas. 
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.12

How Should the Team Operate? (Continued)

However, collaboration does not come automatically. Building a team that 

works well together takes time and effort and typically evolves through the 

following stages:

1. Forming: Individuals come together as a team. During this stage the team 

members may be unfamiliar with each other and uncertain of their roles on 

the team.

2. Storming: Team members become impatient, disillusioned, and may 

disagree.

3. Norming: Team members accept their roles and focus on the process.

4. Performing: Team members work well together and make progress toward 

the goal.

5. Adjourning: Their task accomplished, team members may feel pride in their 

achievement and some sadness that the experience is ending. (Note that 

the planning team should never really adjourn. They will meet less 

frequently as they plan and conduct exercises and revise the plan, but the 

core of the team should remain intact.)

Team Roles

The team leader plays a key role in the development of effective teams through 

all stages of the team’s development. The team leader can initiate appropriate 

team-building activities that move the team through the stages and toward its 

goal.

Other team roles besides the team leader include:

• Task Master: Identifies the work to be done and motivates the team.

• Innovator: Generates original ways to get the group’s work done.

• Organizer: Helps groups develop plans for getting the work done.

• Evaluator: Analyzes ideas, suggestions, and plans made by the group.

• Finisher: Follows through on plans developed by the team.
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.13

Team Roles (Continued)

You will know your EOP planning team is on track when it displays the following 

characteristics:

• A common goal (i.e., development of an EOP)

• A leader who provides direction and guidance

• Open communication

• Constructive conflict resolution

• Mutual trust

• Respect for each individual and his or her contributions

The activity that follows asks you to think about what your contribution to the 

EOP planning team might be.
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.14

Activity: Organizational Roles and Individual Skills

This activity will give you the opportunity to think about what role you play in the 

emergency planning process. Answer the questions below.

1. What is your organization’s role in emergency response?

2. What are your current emergency management responsibilities?

3. What other expertise do you have that could be useful to the emergency 

planning process (e.g., group facilitation skills, knowledge of building 

methods and materials, ability to simplify complex information so that it is 

readily understandable by a layperson)? Think expansively.

4. What do your skills, knowledge, and abilities contribute to the process?
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.15

Unit Summary

Emergency planning is a cycle of planning, training, exercising, and revision 

that continues throughout the five phases of the emergency management cycle 

(preparedness, prevention, response, recovery, and mitigation).

One purpose of the planning process is the development and maintenance of 

an up-to-date EOP. The six steps of the planning process are:

1. Form a collaborative planning team.

2. Understand the situation.

3. Determine goals and objectives.

4. Develop the plan.

5. Prepare, review, and approve the plan.

6. Implement and maintain the plan.

Emergency planning is a team effort and requires collaboration with personnel 

from other agencies and organizations. Building an effective team takes time 

and effort as members go through several stages. The team leader plays a key 

role.

An effective EOP planning team displays the following characteristics:

• A common goal (development of the EOP)

• A leader who provides direction and guidance

• Open communication

• Constructive conflict resolution

• Mutual trust

• Respect for each individual and his or her contributions

Think about your role in the planning process—how you fit in.

This unit provided an overview of the emergency planning process and 

described who should participate on the planning team, how to get everyone 

involved, and how to get everyone working toward a common goal. Unit 3 will 

discuss the hazard analysis process.
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.16

Knowledge Check

Carefully read each question and all of the possible answers before selecting 

the most appropriate response for each test item. Fill in the blank, or circle the 

letter corresponding to the answer you have chosen.

1. The first step in the emergency planning process is to __________________.

2. The second stage in team-building is performing.

a. True

b. False

3. Which of the following team roles is key in motivating the team?

a. Leader

b. Organizer

c. Evaluator

d. Finisher

4. Which of the following is not a characteristic of effective teams?

a. Open communication

b. Constructive conflict resolution

c. Mutual trust

d. A preference for certain members’ contributions over others

5. Collaboration among agencies is _________ by differing experiences.

a. Enhanced

b. Made more difficult
UNIT 2: THE PLANNING PROCESS

Emergency Planning Page 2.17

Knowledge Check (Continued)

1. Form the planning team.

2. b

3. a

4. d

5. b
Unit 3: Threat Analysis
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.1

Introduction and Unit Overview

In Unit 2, you learned about the planning process and about forming a planning 

team. In this lesson, you’ll learn about the second step of the planning process: 

understanding the situation.

In this unit, you will be introduced to research and analysis tools that can be 

used to:

• Identify potential threats to your community.

• Develop hazard profiles.

• Quantify and prioritize risks.

The Threat Analysis Process

Threat analysis determines:

• What can occur.

• How often it is likely to occur.

• The damage it is likely to cause.

• How it is likely to affect the community.

• How vulnerable the community is to the threat.

The steps in the threat analysis process are:

1. Identify threats.

2. Profile each threat.

3. Develop a community profile.

4. Determine vulnerability.

5. Create and apply scenarios.

Each of these steps will be covered in the sections that follow.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.2

Step 1: Identifying Threats

The first step is to develop a list of threats the community may face. This list 

usually is based on historical data about past events. Information about recent 

events is relatively easy to gather, while information about older events may be 

more difficult to find. Threats can be:

• Natural. Natural threats tend to occur repeatedly in the same geographical 

locations because they are related to weather patterns and/or physical 

characteristics of an area. Examples include: severe weather, fire, drought, 

typhoons, epidemics, etc.

• Technological. Technological threats originate from technological or 

industrial accidents, infrastructure failures, or certain human activities. 

Technological threats may include: cyber/database failures, urban fires, 

radiological or hazardous material releases, power failures, transportation 

accidents, dam failures, bridge collapses, etc.

• Adversarial or Human-Caused. Human-caused threats arise from 

deliberate, intentional human actions to threaten or harm the well-being of 

others. Human-caused threats may include: kidnappings, hostage 

situations, sabotage, civil disturbances, bombings, hijackings, terrorist acts, 

etc.

There are many potential sources of threat information. Some sources, such as 

local newspapers, are fairly obvious. To get a more complete picture of the 

types of hazards that a community has faced historically, it may be necessary to 

check other sources, such as:

• The State Department of Agriculture, Bureau of Labor Statistics, or other 

agencies.

• The National Weather Service (NWS).

• Local historical societies.

• Anecdotal information from long-time residents.

There may be other sources of information, and you should take some time to 

check them so that your threat analysis is as complete as possible.

If your community has an existing threat analysis, the best way to begin is by 

reviewing it and identifying any changes that may have occurred since it was 

developed or updated last.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.3

Step 1: Identifying Threats (Continued)

Some possible changes within or near the community that could cause threat 

analysis information to change over time include:

• New mitigation measures (e.g., stronger building codes, addition of roof or 

foundation braces).

• The opening or closing of facilities or structures that pose potential 

secondary hazards (e.g., hazardous materials facilities and transport 

routes).

• Local development activities.

• Climatic changes.

• Terrorist threats.

There may be other long-term changes to investigate as well. These changes, 

such as climatic changes in average temperature or rainfall/snowfall amounts, 

are harder to track but could be very important to the hazard analysis.

The following is a sample threat list:

Natural Threats Technological Threats Human-Caused Threats

• Avalanche 

• Drought 

• Earthquake 

• Epidemic 

• Flood 

• Hurricane 

• Landslide 

• Tornado 

• Tsunami 

• Volcanic eruption 

• Wildfire 

• Winter storm

• Airplane crash 

• Dam failure 

• Hazmat release 

• Power failure 

• Radiological release 

• Train derailment 

• Urban conflagration 

• Civil disturbance

• School violence 

• Terrorist act 

• Sabotage 
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.4

Step 2: Profiling Threats

Threat profiles should address each threat’s:

• Type.

• Probability of occurring.

• Past history.

• Potential consequences.

The availability of warnings will also become a crucial part of the threat profile.

A threat analysis worksheet will help you identify and prioritize threats. Below is 

an example of completed sections from the worksheet:

Threat: Seasonal Floods

Potential Consequences:

 Catastrophic (Mass fatalities/casualties, loss of governance and essential 

services, widespread damage)

 Severe (Numerous fatalities/casualties, loss of essential services, and widespread 

damage)

 Moderate (Limited number of fatalities/casualties and damage to property)

 Minor (Little or no injuries and isolated damage)

Probability of Occurring:

 High

 Medium

 Low

Past History:

Has this type of incident occurred before?

 Yes

 No

If yes, when? 6 months ago
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.5

Activity: Profiling a Threat

This activity will give you an opportunity to complete a simple analysis of a 

threat that could affect your community. To complete this activity, think of a 

threat that your community has faced in the past, or that is predicted to occur in 

the future, and write the threat on the line below. (Note: Do not limit yourself to 

natural hazards.)

Threat: ________________________________________________________

1. Think of several sources of information that you could check to investigate 

this threat.

2. Complete the threat profiling activity on the following pages to develop a first 

draft of a threat profile for the threat you chose. (Note: To complete the 

profile, you will need to consult your sources and gather all needed 

information on this threat.)
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.6

Activity: Profiling a Threat (Continued)

Threat Profile Worksheet

Threat:

Potential Consequences:

 Catastrophic (Mass fatalities/casualties, loss of governance and essential services, widespread 

damage)

 Severe (Numerous fatalities/casualties, loss of essential services, and widespread damage)

 Moderate (Limited number of fatalities/casualties and damage to property)

 Minor (Little or no injuries and isolated damage)

Probability of Occurring:

 High

 Medium

 Low

Past History:

Has this type of incident occurred before?

 Yes

 No

If yes, when? _________________

Areas Likely To Be Affected Most:

Probable Duration:

Potential Speed of Onset (Probable amount of warning time):

• Minimal (or no) warning

• 6 to 12 hours warning

• 12 to 24 hours warning

• More than 24 hours warning

Existing Population Warning Systems:

Does a Vulnerability Analysis Exist?

 Yes

 No

Note that some threats may pose such a limited risk to the community that additional analysis is 

not necessary.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.7

Step 3: Developing a Community Profile

The next step in the threat analysis process is to combine threat-specific 

information with a profile of your community to determine the community’s 

vulnerability to the threat (or risk of damage from the threat).

Because different communities have different profiles, vulnerabilities to the 

same disaster will vary.

The table below summarizes key factors that are included in a community 

profile.

Key Community Factors

Geography Property Infrastructure Demographics Response 

Organizations

• Major 

geographic 

features

• Typical 

weather 

patterns

• Numbers

• Types 

• Ages

• Building 

codes

• Critical 

facilities

• Potential 

secondary 

hazards

• Utilities 

construction, 

layout, access

• Communication 

system layout, 

features, backups

• Road systems

• Air and water 

support

• Population size, 

distribution, 

concentrations

• Numbers of 

people in 

vulnerable 

zones

• Special 

populations

• Animal 

populations

• Locations

• Points of 

contact 

• Facilities

• Services

• Resources

After gathering this information about the community, emergency managers use 

it to develop the community’s threat analysis, as shown in the table below.

Use of Community Factors in Threat Analysis

Type of Information Used In:

Geographic • Predicting risk factors and the impact of potential hazards and 

secondary hazards.

Property • Projecting consequences of potential hazards to the local 

area.

• Identifying available resources (e.g., for sheltering).

Infrastructure • Identifying points of vulnerability.

• Preparing evacuation routes, emergency communications, and 

project response and recovery requirements.

Demographic • Projecting consequences of disasters on the population.

• Disseminating warnings and public information.

• Planning evacuation and mass care.

Response Organizations • Identifying response capabilities.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.8

Step 4: Determining Vulnerability

After community and threat profiles have been compiled, it is helpful to quantify 

the community’s risk by merging the information so that the community can 

focus on the hazards that present the highest risk.

Risk is the predicted impact that a hazard would have on the people, services, 

and specific facilities in the community. For example, during heavy rains, a 

specific road might be at risk of flooding, leading to restricted access to a critical 

facility.

Quantifying risk involves:

• Identifying the elements of the community (populations, facilities, and 

equipment) that are potentially at risk from a specific threat.

• Developing response priorities.

• Assigning severity ratings.

• Compiling risk data into community risk profiles.

In surveying risk, it is helpful to develop response priorities. The following is a 

suggested hierarchy for setting priorities:

• Priority 1: Life safety (including hazard areas, high-risk populations, and 

potential search and rescue situations). Keep in mind that response 

personnel cannot respond if their own facilities are affected.

• Priority 2: Essential facilities. 

• Priority 3: Critical infrastructure (utilities, communication, and transportation 

systems).
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.9

Prioritizing Risks

The community should assign each hazard a severity rating—or risk index—

that will predict, to the degree possible, the damage that can be expected in 

that community as a result of that threat. 

This rating quantifies the expected impact of a specific hazard on people, 

essential facilities, property, and response assets.

The following is an example of severity ratings that may be used:

Severity Characteristics

Catastrophic • Multiple deaths.

• Complete shutdown of critical facilities for 30 days or more.

• More than 50 percent of property severely damaged.

Critical • Injuries and/or illnesses result in permanent disability.

• Complete shutdown of critical facilities for at least 2 weeks.

• More than 25 percent of property is severely damaged.

Limited • Injuries and/or illnesses do not result in permanent 

disability.

• Complete shutdown of critical facilities for more than 1 

week.

• More than 10 percent of property is severely damaged.

Negligible • Injuries and/or illness treatable with first aid.

• Minor quality of life lost.

• Shutdown of critical facilities and services for 24 hours or 

less.

• Less than 10 percent of property severely damaged.

Next, develop a risk index for each threat by assigning a value to each severity 

level (use the following values: 1 = catastrophic; 2 = critical; 3 = limited; 4 = 

negligible) for the following types of threat data.

• Magnitude. 

• Frequency of occurrence.

• Speed of onset.

• Community impact (severity rating).

• Special characteristics.

Finally, average the severity level for each factor to determine the overall risk 

level for that threat.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.10

Activity: Prioritizing Risks

This activity will provide you with an opportunity to develop a risk index for the 

threat you identified earlier in this unit. To complete this activity, assign a 

severity level to each type of threat data. Then, average the severity level to 

determine the overall risk to your community.

Hazard: __________________________

Characteristic Severity

Magnitude 1. Catastrophic

2. Critical

3. Limited

4. Negligible

Frequency of Occurrence 1. Catastrophic

2. Critical

3. Limited

4. Negligible

Speed of Onset 1. Catastrophic

2. Critical

3. Limited

4. Negligible

Community Impact 1. Catastrophic

2. Critical

3. Limited

4. Negligible

Special Characteristics 1. Catastrophic

2. Critical

3. Limited

4. Negligible

Total Risk 1. Catastrophic

2. Critical

3. Limited

4. Negligible

Note: When you prioritize all of the risks for your community, it will be easier if you develop a 

form that shows all of the threats on one or two pages.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.11

Step 5: Creating and Applying Scenarios

The final step in the threat analysis process is to develop scenarios for the topranked threats (or those that rank above a specified threshold) that lay out the 

threat’s development into an emergency. Scenarios should be realistic and 

based on the community’s threat and risk data.

To create a scenario, emergency managers brainstorm to track the 

development of a specific type of emergency. A scenario should describe:

• The initial warning of the event.

• The potential overall impact on the community.

• The potential impact of the event on specific community sectors.

• The potential consequences, such as damage, casualties, and loss of 

services.

• The actions and resources that would be needed to deal with the situation.

Creating scenarios helps to identify situations that may exist in a disaster. 

These situations should be used to help ensure that your community is 

prepared should the threat event occur.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.12

Activity: Threat Analysis

Follow the steps below to complete this activity.

1. Imagine a scenario based on the threat you profiled earlier. (Note: The 

scenario may not give all of the information needed to completely fill out 

some of the charts.)

2. Answer the questions on the following pages.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.13

Activity: Threat Analysis (Continued)

3. Using the table below as a guide, make notes in the space below about the key community 

factors in your community.

Geography Property Infrastructure Demographics

Response 

Organizations

Major geographic 

features:

Numbers: Utilities 

construction, 

layout, access:

Population size, 

distribution, 

concentrations:

Locations:

Types: Communication 

system layout, 

features, backups:

Numbers of people 

in vulnerable 

zones:

Points of contact:

Ages:

Typical weather 

patterns:

Building codes: Road systems: Special 

populations:

Facilities:

Critical facilities: Services:

Potential 

secondary 

hazards:

Air and water 

support:

Animal 

populations:

Resources:
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.14

Activity: Threat Analysis (Continued)

4. Develop a risk index for the hazard by assigning a value to each characteristic (using the 

following values: 1 = catastrophic; 2 = critical; 3 = limited; 4 = negligible) for the following 

types of threat data. (Note: Ignore frequency of occurrence for this exercise.)

• Magnitude

• Frequency of occurrence

• Speed of onset

• Community impact (severity rating)

• Special characteristics

Finally, average the values to arrive at a single risk index figure for the threat event.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.15

Unit Summary

Threat analysis determines:

• What can occur.

• How often it is likely to occur.

• The damage it is likely to cause.

• How it is likely to affect the community.

• How vulnerable the community is to the threat.

There are five steps in the threat analysis process:

1. Identify threats.

2. Profile each threat.

3. Develop a community profile.

4. Determine vulnerability.

5. Create and apply scenarios.

In this unit, you have learned ways to identify what threats can occur in your 

community, the likelihood and severity of specific threats, and community 

vulnerability to various threats. Unit 4 will discuss the components of a basic 

EOP.
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.16

For More Information

• HAZUS: National Hazard Loss Estimating Methodology:

http://www.fema.gov/plan/prevent/hazus/index.shtm

• Understanding Your Risks: Identifying Hazards and Estimating Losses 

(FEMA 386-2). Step-by-step guidance on how to accomplish a risk 

assessment:

http://www.fema.gov/library/viewRecord.do?id=1880

• The Natural Hazards Center, University of Colorado, Boulder. Continuously

updated comprehensive list of links related to natural hazards:

www.colorado.edu/hazards
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.17

Knowledge Check

Carefully read each question and all of the possible answers before selecting the most 

appropriate response for each test item. Circle the letter corresponding to the answer you have 

chosen.

1. The first step in a threat analysis is to: 

a. Divide the community into emergency management sectors.

b. Create scenarios to test response capabilities.

c. Develop a list of threats your community may face.

d. Quantify the community’s risks from identified threats.

2. A community profile should include information about the community’s:

a. Voting patterns.

b. Congressional delegation(s).

c. Local ordinances.

d. Geography.

3. Information is collected about the community infrastructure in order to identify response 

capabilities.

a. True

b. False

4. Threat profiles should address each threat’s:

a. Sector population.

b. Quantification of risk.

c. Seasonal pattern.

d. Event severity.

5. Risk is the predicted impact that a threat would have on people, services, and specific 

facilities and structures in the community.

a. True

b. False
UNIT 3: THREAT ANALYSIS

Emergency Planning Page 3.18

Knowledge Check (Continued)

1. c

2. d

3. b

4. c

5. a
Unit 4: The Basic Plan
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.1

Introduction and Unit Overview

This unit will introduce and describe the purpose of the basic plan. After 

completing this unit, you should be able to:

• Identify the parts of an EOP.

• List the components of a basic plan.

• Describe the purpose of each component of the basic plan.

Components of a Basic Plan

Let’s begin by reviewing our definition of an EOP from Unit 2. An EOP is a

document describing how citizens, property, and the environment will be 

protected in a disaster or emergency.

The EOP describes actions to be taken in response to natural, manmade, or 

technological hazards, detailing the tasks to be performed by specific 

organizational elements at projected times and places based on established 

objectives, assumptions, and assessment of capabilities.

An EOP should be:

• Comprehensive. It should cover all aspects of emergency prevention, 

preparedness, and response and address mitigation concerns as well.

• All-hazards in approach and, thus, flexible enough to use in all 

emergencies—even unforeseen events.

• Risk-based. It should include hazard-specific information, based on the 

hazard analysis.

The purposes of the basic plan are to:

• Give an overview of the community’s emergency response organization and 

policies.

• Provide a general understanding of the community’s approach to 

emergency response for all involved agencies and organizations.
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.2

Components of a Basic Plan (Continued)

Although the basic plan provides the general approach to emergency response, 

it does not stand by itself. Rather, it forms the basis for the remainder of the 

plan, which also includes:

• Functional annexes that address the performance of a particular broad task 

or function, such as mass care or communications.

• Hazard-specific annexes that provide additional information specific to a 

particular hazard.

Annexes will be discussed in the next unit.

In addition, each part of the EOP may have addenda in the form of standard 

operating procedures (SOPs), maps, charts, tables, forms, checklists, etc. 

These addenda may be included as attachments or incorporated by reference.

Although there is no mandatory format, the recommended format (for the sake 

of compatibility with other jurisdictions and levels of government) for the local 

basic plan includes the following components:

• Introductory Material. The introductory material consists of the following 

elements:

• Cover page, which includes the plan title, date, and jurisdiction.

• Promulgation document. This document is signed by the jurisdiction’s 

CEO, affirming his or her support for the emergency management 

agency and planning process. It gives organizations the authority and 

responsibility to perform their tasks. It also mentions the tasked 

organizations’ responsibility to prepare and maintain implementing 

instructions, gives notice of necessary EOP revisions, and commits to 

the training necessary to support the EOP.

• Approval and implementation page, which introduces the plan, outlines 

its applicability, and indicates that it supersedes all previous plans. It 

includes 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 is signed by the senior official(s)—e.g., Governor, 

tribal leader(s), mayor, county judge, commissioner(s). 

• Record of changes to the EOP (change number, date, description, who 

made the change, and affected parts).

• Record of distribution, which lists EOP recipients, including title, name, 

agency, date, and number of copies. EOP copies should be numbered 

and recorded.

• Table of contents.
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.3

Components of a Basic Plan (Continued)

• Purpose Statement, which includes:

• A broad statement of what the EOP is meant to do.

• A synopsis of the EOP and annexes.

The Purpose Statement need not be complex but should include enough 

information to establish the direction for the remainder of the plan.

• Scope. The operations plan should also explicitly state the scope of 

emergency and disaster response to which the plan applies and the entities 

(departments, agencies, private sector, citizens, etc.) and geographic areas 

to which it applies.

• Situation Overview. The Situation Overview includes a hazard analysis 

summary, capability assessment, and mitigation overview. This part of the 

plan characterizes the planning environment, making clear why emergency 

operations planning is necessary. It draws from the threat analysis to 

narrow the scope of the EOP and includes the following types of 

information:

• Hazards addressed by the plan

• Relative probability and impact

• Areas likely to be affected

• Vulnerable critical facilities

• Population distribution

• Special-needs populations

• Interjurisdictional relationships

• Actions taken in advance to minimize an incident’s impacts 

• Planning Assumptions. The Assumptions statement delineates what was 

assumed to be true when the EOP was developed. The Assumptions 

statement shows the limits of the EOP, thereby limiting liability. It may be 

helpful to list even “obvious” assumptions, such as:

• Identified hazards will occur.

• Individuals and organizations are familiar with the EOP.

• Individuals and organizations will execute their assigned responsibilities.

• Assistance may be needed and, if so, will be available.

• Executing the EOP will save lives and reduce damage.

• Concept of Operations. This section explains the community’s overall 

approach to emergency response (i.e., what, when, by whom). It includes:

• The division of local, State, and Federal responsibilities.

• When the EOP will be activated—and when it will be inactivated.

• Alert levels and the basic actions that accompany each level. 

• The general sequence of actions before, during, and after an event.

• Forms necessary to request assistance of various types.
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.4

Components of a Basic Plan (Continued)

• Organization and Assignment of Responsibilities. This section:

• Lists the general areas of responsibility assigned by organization and 

position.

• Identifies shared responsibilities (and specifies which organization has 

primary responsibility and which have supportive roles).

The Organization and Assignment of Responsibilities section specifies 

reporting relationships and lines of authority for an emergency response. In 

addition, this section is where a jurisdiction discusses the response 

organizing option that it uses for emergency management: emergency 

support function (ESF), or agency and department, or functional areas of 

ICS/NIMS, or a hybrid. 

• Direction, Control, and Coordination. This section:

• Describes the framework for all direction, control, and coordination 

activities. 

• Identifies who has tactical and operational control of response assets. 

• Discusses multiagency coordination systems and processes used during 

an emergency. 

• Provides information on how department and agency plans nest into the 

EOP (horizontal coordination) and how higher-level plans are expected 

to layer on the EOP (vertical integration). 

• Information Collection, Analysis, and Dissemination. This section:

• Describes the required critical or essential information common to all 

operations identified during the planning process. 

• Identifies the type of information needed, where it is expected to come 

from, who uses the information, how the information is shared, the 

format for providing the information, and any specific times the 

information is needed. 

• Communications. This section:

• Describes the response-organization-to-response-organization 

communication protocols and coordination procedures used during

emergencies and disasters. 

• Discusses the framework for delivering communications support and 

how the jurisdiction’s communications integrate into the regional or 

national disaster communications network. 

• May be expanded as an annex and is usually supplemented by 

communications SOPs and field guides.
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.5

Components of a Basic Plan (Continued)

• Administration, Finance, and Logistics. This section includes:

• Assumed resource needs for high-risk hazards.

• Resource availability.

• Mutual aid agreements and assistance agreements.

• Policies on augmenting response staff with public employees and 

volunteers.

• A statement that addresses liability issues.

• Resource management policies (acquisition, tracking, and financial 

recordkeeping).

• Plan Development and Maintenance. Responsibility for the coordination of 

the development and revision of the basic plan, annexes, and implementing 

instructions must be assigned to the appropriate persons. This section, 

therefore:

• Describes the planning process.

• Identifies the planning participants.

• Assigns planning responsibilities.

• Describes the revision cycle (i.e., training, exercising, review of lessons 

learned, and revision).

• Authorities and References. This section cites:

• The legal bases for emergency operations and activities, including: 

laws, statutes, ordinances, executive orders, regulations, formal 

agreements, and predelegation of emergency authorities.

• Pertinent reference materials (including related plans of other levels of 

government).
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.6

Activity: Basic Plan Review

This activity will give you the opportunity to review an EOP. In Appendix A you 

will find Section 1: Basic Plan from Jefferson County, Alabama’s 

Comprehensive Emergency Management Plan. Refer to the Jefferson County 

plan to answer the questions below. The answers follow the activity.

Organization and Assignment of Responsibilities

1. The plan specifies use of the Incident Command organization and structure 

at incident sites.

a. Yes

b. No

2. In the Specific Local Government Responsibilities, the Emergency 

Management Council responsibilities include: (Check all that apply.)

a. Extending or terminating emergency/disaster declarations.

b. Maintaining 800MHz radio system.

c. Ensuring payroll system setup to pay employees.

d. Providing overall direction and control.

e. Making disaster declarations and requesting State and Federal 

assistance.

Concept of Operations

3. For a particular disaster event, the ___________________________ 

decides which functional annexes are activated to meet the disaster 

response needs.

Administration and Logistics

4. The plan specifies that administrative procedures may not be relaxed, 

suspended, or made optional to respond to emergencies.

a. Yes

b. No
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.7

Activity: Basic Plan Review (Continued)

Direction and Control

5. Write the letter of the emergency level in the left-hand column next to the 

matching description in the right-hand column.

a. Level 1 Emergency

b. Level 2 Emergency

c. Level 3 Emergency

c. Level 4 Emergency

_____ Non-routine assistance is 

required or anticipated, and the EOC 

is activated.

_____ Incidents at this level are 

common, and the responding 

department is responsible for 

controlling them.

_____ State and Federal assistance 

will be requested and is required.

_____ Internal and/or external 

agencies provide routine assistance, 

including mutual aid. Command and 

control remain the responsibility of the 

primary response department.

6. In G. Facilities, Emergency Operations Center, jurisdictions are encouraged 

to establish a(n) _______________________ to link to the county EOC via 

radio or telephone.

Attachment A: Primary Support Matrix

7. After heavy rains, a sewage treatment plant was inundated and pumping 

stations quit operating. The community water supply is contaminated. 

Annexes that definitely would apply to this situation include: (Circle all that 

apply.)

a. Annex 2, Situation Reporting

b. Annex 10, Public Works

c. Annex 11, Public Health Services

d. Annex 15, Law Enforcement Services

e. Annex 13, Fire Services
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.8

Activity: Basic Plan Review (Continued)

Suggested Answers:

1. a

2. a, d, e

3. EMA Coordinator

4. b

5. c, a, d, b

6. On-scene command post

7. a, b, c
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.9

Activity: Reviewing Your Community’s Basic Plan

Now that you have reviewed the contents and organization of a sample basic 

plan, you should review your community’s plan to see what it contains and how 

it is organized. To complete this activity, obtain a copy of your community’s 

basic plan and review it to see what types of information it contains and how it 

is organized. The questions below will help you organize your review.

Be aware that your community’s plan may not be organized as described in this 

unit. Some States require a different structure. The important point to 

remember in your review is that, to be effective, the plan must include the types 

of content described in this unit.

1. Does your community’s plan include a promulgation document signed by 

the CEO?

 Yes

 No

2. What organizations are signatories to the plan?

3. What threats or hazards are addressed by the plan?

4. Who has the authority to activate part or all of the plan?
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.10

Activity: Reviewing Your Community’s Basic Plan (Continued)

5. With what jurisdictions does your community have mutual aid agreements or 

assistance agreements?

6. When was the last time that the plan was revised?
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.11

Unit Summary

The EOP describes actions to be taken in response to hazards. It details the 

tasks to be performed, specifies which organizational elements perform the 

tasks, and at what times and places.

An EOP should be:

• Comprehensive.

• All-hazards.

• Risk-informed.

The components of the basic plan include:

• Introductory Materials.

• Purpose Statement, Scope, Situation, and Assumptions.

• Concept of Operations.

• Organization and Assignment of Responsibilities.

• Direction, Control, and Coordination.

• Information Collection and Dissemination.

• Communications.

• Administration, Finance, and Logistics.

• Plan Development and Maintenance.

• Authorities and References.

The basic plan provides the general approach to emergency response, but it 

does not stand alone. Unit 5 will discuss functional and hazard-, threat-, and 

incident-specific annexes to the EOP.
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.12

Knowledge Check

Carefully read each question and all of the possible answers before selecting the most 

appropriate response for each test item. Circle the letter corresponding to the answer you have 

chosen, or fill in the blank.

1. Which section of the EOP includes information about hazards?

a. Purpose Statement

b. Situation and Assumptions

c. Concept of Operations

d. Administration and Logistics

2. The _____________ section of the EOP lists organizations and their responsibilities in 

emergency response.

3. Which section of the EOP specifies the sequence of actions before, during, and after an 

event?

a. Concept of Operations

b. Organization and Assignment of Responsibilities

c. Plan Development and Maintenance

d. Authorities and References

4. The Administration and Logistics section addresses resource needs and availability.

a. True

b. False

5. Which of the following is not described in the Plan Development and Maintenance section?

a. Planning participants

b. Planning responsibilities

c. The revision cycle

d. Resources
UNIT 4: THE BASIC PLAN

Emergency Planning Page 4.13

Knowledge Check (Continued)

1. b

2. Organization and Assignment of Responsibilities

3. a

4. a

5. d
Unit 5: Annexes
UNIT 5: ANNEXES

Emergency Planning Page 5.1

Introduction and Unit Overview

This unit introduces two types of supporting annexes: functional annexes and 

hazard-, threat-, and incident-specific annexes. After you complete this unit, 

you should be able to:

• List the functional annexes recommended for inclusion in every EOP.

• Identify factors for deciding whether to develop an annex.

• Describe the basic structure for annexes.

• Determine when other documentation (e.g., maps) is needed to accompany 

annexes.

Annexes 

How do you know whether to develop a supporting annex to your community’s 

EOP?

An annex:

• Explains how the community will carry out a broad function, such as warning 

or resource management, in any emergency. 

• Adds information about special planning needs related to a specific hazard, 

threat, or incident type. Which hazard-specific annexes are included 

depends on the community’s hazard analysis. For example, a community in 

California would probably include an earthquake annex in its EOP; a 

community in Florida would probably include a hurricane annex; and a 

community in the Midwest would undoubtedly include an annex that 

addresses tornadoes. The decision about whether to develop an annex 

rests with the planning team.

In general, the organization of annexes parallels that of the basic plan. Specific 

sections can be developed to expand upon—but not to repeat—information that 

is contained in the basic plan.
UNIT 5: ANNEXES

Emergency Planning Page 5.2

Functional Annexes

It is important early in the planning process to choose the functions that will be 

included in the basic plan as annexes. Factors that you should consider when 

making these choices include the:

• Organizational structure of the State and local governments.

• Capabilities of your jurisdiction’s emergency services agencies.

• Established policy in regard to the concept of operations.

Keep in mind the threat analysis information that you learned in Unit 3. What 

you and your planning team know about the vulnerability of your community is 

key to developing meaningful functional annexes to your basic plan.

Because communities vary so widely, no single listing of functional annexes can 

be prescribed for every one. However, nine core functions are typically 

addressed in annexes in every EOP:

• The Direction, Control, and Coordination Annex allows a jurisdiction to 

analyze the situation and decide on the best response, direct the response 

teams, coordinate efforts with other jurisdictions, and make the best use of 

available resources.

• The Information Collection, Analysis, and Dissemination Annex 

describes the required critical or essential information common to all 

operations identified during the planning process. 

• The Communications Annex provides detailed focus on the entire 

communications system and how it will be used.

• The Population Warning Annex describes the warning systems in place 

and the responsibilities and procedures for using them.

• The Emergency Public Information (EPI) Annex provides the procedure 

for giving the public accurate, timely, and useful information and instructions 

throughout the emergency period.

Note that while a Population Warning Annex focuses on the procedures that 

the government uses to alert those at risk, an EPI Annex deals with 

developing messages and accurate information, disseminating the 

information, and monitoring how the information is received. Because the 

warning system is one means for an EPI organization to get information out, 

an EPI Annex must address coordination with those responsible for the 

warning system.
UNIT 5: ANNEXES

Emergency Planning Page 5.3

Functional Annexes (Continued)

• The Public Protection Annex describes the provisions (e.g., for evacuation 

or in-place sheltering) that have been made to ensure the safety of people 

threatened by the hazards the jurisdiction faces.

• The Mass Care and Emergency Assistance Annex deals with the actions 

that are taken to protect evacuees and other disaster victims from the 

effects of the disaster, including providing temporary shelter, food, medical 

care, clothing, and other essential needs.

• The Health and Medical Services Annex describes policies and 

procedures for mobilizing and managing health and medical services under 

emergency or disaster conditions.

• The Resource Management Annex describes the means, organization, 

and process by which a jurisdiction will find, obtain, allocate, and distribute 

resources to satisfy needs that are generated by an emergency or disaster.

In addition to the above listed annexes, the EOP planning team should include 

annexes that make sense for your community. For example, if your community 

has a nuclear power plant, you may want to include an annex on radiological 

protection. Other functional annexes that may be included are:

• Damage Assessment.

• Search and Rescue.

• Emergency Services.

• Aviation Operations.

Some jurisdictions may want to modify their functional annex structure to use 

the 15 Emergency Support Functions (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. 
UNIT 5: ANNEXES

Emergency Planning Page 5.4

Activity: Reviewing Your EOP’s Functional Annexes

To complete this activity, refer to your community’s basic plan that you reviewed 

in Unit 4. The questions below will help you organize your review.

Again, while no single listing of annexes can be prescribed for every 

community, you must be aware of which annexes (if any) your EOP contains 

and which annexes are required for your jurisdiction based on your resources, 

size and type of government, etc.

Remember that, to be effective, the annexes in your EOP must include core 

functions as well as functions that address the hazards that you learned to 

profile in Unit 3.

1. Does your community’s plan include a(n):

Direction, Control, and Coordination Annex?

 Yes

 No

Information Collection, Analysis, and Dissemination Annex?

 Yes

 No

Communications Annex?

 Yes

 No

Population Warning Annex?

 Yes

 No

Emergency Public Information (EPI) Annex?

 Yes

 No

Public Protection Annex?

 Yes

 No
UNIT 5: ANNEXES

Emergency Planning Page 5.5

Activity: Reviewing Your EOP’s Functional Annexes (Continued)

Mass Care and Emergency Assistance Annex?

 Yes

 No

Health and Medical Services Annex?

 Yes

 No

Resource Management Annex?

 Yes

 No

2. What other annexes, if any, does your EOP contain?

3. Based on the knowledge of threat analysis that you gained in Unit 3, what, if 

any, additional annexes should your EOP contain?

4. What threats are addressed by the plan?

5. Who has the authority to activate part or all of the plan?
UNIT 5: ANNEXES

Emergency Planning Page 5.6

Hazard-, Threat-, and Incident-Specific Annexes

Hazard-, threat-, and incident-specific annexes focus on the special planning 

needs generated by a particular hazard, threat, or incident. Topics addressed 

in these annexes include:

• Special planning requirements.

• Priorities identified through threat analysis.

• Unique characteristics of the hazard, threat, or incident requiring special 

attention.

• Special regulatory considerations.

Hazard-specific annexes follow the basic plan’s content organization. Hazardspecific operations information is typically provided in the Concept of 

Operations section and includes: 

• Assessment and control of the hazard.

• Identification of unique prevention and critical infrastructure and key 

resources (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.

The following table provides examples of specific types of information that can 

be included in a hazard-specific annex in relation to the nine functional areas.
UNIT 5: ANNEXES

Emergency Planning Page 5.7

Hazard-, Threat-, and Incident-Specific Annexes (Continued)

Functions Hazard-Specific Information

Direction, Control, 

and Coordination

• Response actions keyed to specific time periods and phases

• Urban search and rescue (US&R) inspection

• Inspection, condemnation, and demolition of structures and buildings

• Protective gear for responders

• Detection equipment and techniques

• Laboratory analysis services

• Containment and cleanup teams

• Actions to ensure that the area directly affected by the disaster is secure and 

safe enough for the return of evacuated populations or for the continued 

presence of those who did not evacuate

Information 

Collection, 

Analysis, and 

Dissemination

• Hazard-unique provisions for information sharing (e.g., sharing terrorism 

information between EOCs and fusion centers)

Communications • Provisions made to ensure that the effects of a specific hazard do not prevent 

or impede the ability of response personnel to communicate with each other 

during response operations

Population 

Warning

• Hazard-unique public warning protocols

• Required or recommended notifications of State and Federal officials

Emergency Public 

Information

• Information the public will need to know about the specific hazard (e.g., special 

evacuation routes and shelters, in-place protective actions, etc.)

• The means (i.e., particular medium/media) that will be used to convey that 

information to the public

Public Protection • Public protection options and timing

• Special exclusion zones for a specific hazard (e.g., downwind and crosswind 

areas for nuclear power and chemical plants; coastal areas subject to flooding 

caused by storms, hurricanes, and/or tidal surge, etc.)

• Evacuation routes

• Transportation resources to support mass evacuation

Mass Care and 

Emergency 

Assistance

• Shelter locations outside the hazard’s vulnerable area

• Structural survivability requirements for building in the hazard vulnerability 

zone and the application of mitigation measures

• Protection of shelter occupants from the effects of the hazard

• Special medicines and/or antidotes for shelter occupants

• Food and water stocks to support extended shelter stays

• Capability to decontaminate people exposed to hazardous materials

Health and 

Medical Services

• Unique health consequences and treatment options for people exposed to the 

hazard

• Environmental monitoring and/or decontamination requirements

Resource 

Management

• Provisions for purchasing, stockpiling, or otherwise obtaining special protective 

gear, supplies, and equipment needed by response personnel and disaster 

victims
UNIT 5: ANNEXES

Emergency Planning Page 5.8

Annex Implementing Instructions

Each supporting annex (as well as the basic plan) may use implementing 

instructions in the form of: 

• Standard operating procedures (SOPs).

• Maps.

• Charts.

• Tables.

• Forms.

• Checklists.

Implementing instructions may be included as attachments or referenced. Your 

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 with evacuation routes marked, because these 

routes may change depending on the location of the hazard. Similarly, the 

locations of shelters may be marked on maps supporting the Mass Care Annex.

An example of the kind of forms that may be attached is a resource request 

form. Charts, tables, and checklists are appropriate for the Resource 

Management Annex (e.g., resource checklists).
UNIT 5: ANNEXES

Emergency Planning Page 5.9

Activity: Hazard-Specific Annex Review

Refer to your community’s basic plan to complete this activity. Choose one of 

your EOP’s hazard-specific annexes and use the checklist below to review it for 

completeness.

Annex ______________________________

Does this annex address one or more of the following:

 Unique planning requirements uncommon to other hazards?

 Regulatory requirements associated with the specific hazard?

 Hazard-specific information not covered in other parts of the plan?

Does this annex:

 Provide an appropriate supplement to the EOP?

 Avoid duplication of information in the EOP?

 Quantify:

 Risk area?

 Geography?

 Demographics?

 Other?

 Provide enough information for the jurisdiction to carry out the function?

 Provide work aids such as maps, charts, and checklists, as appropriate?

Is the organization of this annex consistent with other parts of the EOP (i.e., 

Purpose, Situation and Assumptions, etc.)?

 Yes

 No

What modifications or additions would you suggest to make this annex more 

effective?
UNIT 5: ANNEXES

Emergency Planning Page 5.10

Unit Summary

A functional annex explains how the community will carry out a broad function in 

any emergency. There are nine core functions that typically are addressed in 

annexes in every EOP:

• Direction, Control, and Coordination

• Information Collection, Analysis, and Dissemination

• Communications

• Population Warning

• Emergency Public Information (EPI)

• Public Protection

• Mass Care and Emergency Assistance

• Health and Medical Services

• Resource Management

A hazard-, threat-, or incident-specific annex contains special requirements or 

regulatory response details that apply to a single hazard. 

Each annex (as well as the basic plan) may use supporting documents in the 

form of:

• SOPs.

• Maps.

• Charts.

• Tables.

• Forms.

• Checklists.

Each jurisdiction’s planning team should ensure the inclusion in their EOP of 

the functional and hazard-specific annexes that will meet the requirements of 

their community during emergencies and disasters.

Unit 6 will discuss implementing instructions for carrying out the tasks that are 

assigned in the EOP.
UNIT 5: ANNEXES

Emergency Planning Page 5.11

Knowledge Check

Carefully read each question and all of the possible answers before selecting the most 

appropriate response for each test item. Circle the letter corresponding to the answer you have 

chosen.

1. Which of the following describes a particular disaster response function?

a. Annex

b. Standard operating procedures

2. The Planning Committee decides which hazard-specific annexes to add to the EOP.

a. True

b. False

3. All of the following are examples of functional annexes, EXCEPT FOR: 

a. Direction and Control

b. Communications

c. Terrorism Response 

d. Population Warning

4. All of the following are examples of supporting documents, EXCEPT FOR:

a. Map

b. Recordkeeping form

c. Checklist

d. References

5. Response protocols for a tornado would be outlined in a:

a. Functional annex.

b. Hazard-specific annex.
UNIT 5: ANNEXES

Emergency Planning Page 5.12

Knowledge Check (Continued)

1. a

2. b

3. c

4. d

5. b
Unit 6: Implementing 

Instructions
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.1

Introduction and Unit Overview

This unit will introduce the different types of implementing instructions that may 

be developed at the agency level and how they are used. After you complete 

this unit, you should be able to:

• Describe the different types of implementing instructions and the purpose 

for each.

• Explain why implementing instructions must be developed at the agency 

level.

• Identify an implementing instruction that would be appropriate for a tasking 

or an area of responsibility assigned to your agency.

What Are Implementing Instructions?

Implementing instructions are documents, developed by individual agencies, 

that provide detailed instructions for carrying out tasks assigned in the EOP. 

Typically, implementing instructions are included in the EOP by reference only.

Implementing instructions provide tools for carrying out the community’s plan. 

They help ensure that those who are responsible for implementing the EOP are 

able to carry out their roles effectively.

There are several types of implementing instructions that organizations can 

develop:

• Standard operating procedures (SOPs)

• Job aids

• Checklists

• Information cards

• Recordkeeping and combination forms

• Maps

Each of these types of implementing instructions will be discussed in the 

sections that follow.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.2

Standard Operating Procedures

SOPs:

• Provide step-by-step instructions for carrying out specific responsibilities.

• Describe who, what, where, when, and how.

• Are appropriate for:

• Complex tasks requiring step-by-step instructions.

• Tasks for which standards must be specified.

• Tasks for which documentation of performance protocols is required as 

protection against liability.

To develop SOPs:

• Develop a task list.

• Determine who, what, where, when, and how. Note that “who” includes:

• Who performs the activity.

• To whom he or she reports.

• With whom he or she coordinates.

• Identify the steps for each task.

• Identify the standards for task completion.

• Test the procedures.

Keep the SOPs up to date through review and revision.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.3

Job Aids

SOPs, or parts of SOPs, can be presented as job aids. A job aid is a written 

procedure that is intended to be used on the job while the task is being done. 

Job aids are appropriate for complex tasks, critical tasks that could result in 

serious consequences, tasks that are infrequently done, and procedures or 

personnel that change often. Job aids are also useful when conformity is 

needed among workers and/or across locations. Job aids should specify:

• The task title.

• The purpose of the task.

• When to do the task.

• Materials needed to perform the task.

• How to perform each step of the task.

• The desired result(s).

• Standards to which the task must be performed.

• How to check the work.

A job aid may include:

• Examples.

• Graphics.

• Flow charts.

• If...then decision tables.

• Do’s and don’ts.

Because job aids are designed to be used in the midst of completing a task, to 

be effective they must be clear. They should use action verbs and everyday 

language, highlight important information, and place warnings before the steps 

to which they apply. 

Formatting is also important when creating job aids. Numbering steps and 

using space, boxes, or lines to separate steps allows users to find their place 

easily after looking away.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.4

Job Aids (Continued)

You should keep in mind that job aids may not be useful for all tasks, especially 

simple tasks that are performed regularly, or must be accomplished quickly, 

from memory. If a task cannot be performed while referring to a job aid at the 

same time, a job aid is not appropriate for the task.

Checklists

Checklists provide a list of tasks, steps, features, contents, or other items to be 

checked off. They often take the form of boxes to be checked off (e.g., yes/no, 

done/not done, present/not present). They may also take the form of a rating 

scale.

Checklists are useful for tasks that are made up of multiple steps or for when it 

might be necessary to document the completion of the steps. Checklists are 

less useful when observations must be recorded or when calculations or 

evaluations must be made.

Information Cards

Information cards provide information that is needed on the job in a 

convenient—often graphic—form. Examples include:

• Reference lists.

• Diagrams, labeled illustrations, charts, or tables.

• Information summarized in matrix form (e.g., a tax table).

Information that might be usefully presented on information cards includes:

• Call-down rosters.

• Contact lists.

• Resource lists.

• Organizational charts.

• Task matrices.

• Equipment diagrams.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.5

Forms

Common forms used as implementing instructions include:

• Recordkeeping forms on which calculations, observations, or other 

information (e.g., damage assessment) can be recorded.

• Combination forms that serve multiple functions, such as checklists with 

recordkeeping sections.

Maps

Finally, maps may also be used as implementing instructions to highlight:

• Geographic features and boundaries.

• Jurisdictional boundaries.

• Locations of key facilities.

• Transportation or evacuation routes.

When a map is designed to show a particular feature, extraneous details are 

often eliminated.

Creating Effective Implementing Instructions

To be effective, implementing instructions must be appropriate for both the 

intended use and audience. They must also be:

• Complete in that they cover all of the components or steps.

• Clear, concise, and easy to use. They should avoid jargon and ambiguity, 

be organized logically (the way the task is actually done), and include 

instructions that identify the purpose and applicability of the particular 

implementing instruction.

• Sufficiently detailed in that they give all of the necessary information.

• Up to date. The latest revision date should be included.

• Sufficient in scope in that, together, they cover each function fully.

• Identified in the EOP so that their existence is recorded. Implementing 

instructions can be incorporated or referenced.

The activity that follows asks you to choose the appropriate type of 

implementing instruction for the stated purpose.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.6

Activity: Which Type Is Best?

For each item in the first column, choose the type of implementing instruction 

that best fits from the second column. Then turn the page to check your 

answers.

____ 1. A task for which it is necessary to document 

completion of multiple steps

____ 2. A call-down roster

____ 3. A complex task

____ 4. Evacuation routes

____ 5. An aid to be used on the job

____ 6. A means to record observations and/or 

calculations (e.g., damage assessment)

A. SOPs

B. Job aid

C. Checklist

D. Information card

E. Form

F. Map
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.7

Activity: Which Type Is Best? (Continued)

1. c

2. d

3. a

4. f

5. b

6. e
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.8

Who Uses Implementing Instructions?

Implementing instructions are used by all agency personnel who respond to 

disasters, whatever their function.

Implementing instructions are developed at the agency level for two reasons:

• Personnel from an agency with a specific function (e.g., communications) 

will have no idea how to tell another agency’s personnel (e.g., firefighters) 

how to do their jobs.

• Agency personnel will be the persons who use the implementing 

instructions and therefore will know if they are helpful and effective.

The implementing instructions used by your agency personnel should support 

your agency’s roles and responsibilities as described in the basic plan. Thus, 

probably only some types of implementing instructions will be useful to your 

agency, depending on its function in disaster response.

The following activity gives you an opportunity to identify which implementing 

instructions would be helpful for your agency to develop to carry out its 

responsibilities in an emergency.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.9

Activity: Identifying Possible Agency Implementing Instructions

Answer the questions below to identify which implementing instructions would 

be useful to develop for your agency.

1. What are your agency’s primary responsibilities in disaster response?

2. Which implementing instructions would be useful for helping personnel carry 

out those responsibilities?
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.10

Unit Summary

Implementing documents, developed by individual agencies, provide agency 

personnel with detailed instructions for carrying out their tasks, as assigned in 

the EOP.

Depending on an agency’s roles and responsibilities, different types of 

implementing instructions may be appropriate tools to help personnel carry out 

various tasks.

Types of implementing instructions include:

• SOPs, appropriate for complex tasks that require step-by-step instructions 

or tasks for which standards must be specified.

• Job aids to help complete on-the-job tasks that are complex, infrequently 

performed, or that require conformity among personnel or locations.

• Checklists that provide a list of tasks, steps, or other items to be checked 

off—useful for tasks with multiple steps or when documentation of 

completion of steps is required.

• Information cards that provide convenient, graphic, on-the-job information 

such as diagrams, illustrations, tables, or charts.

• Recordkeeping forms for recording calculations, observations, or 

information such as damage assessments.

• Combination forms that serve multiple functions.

• Maps that indicate information such as geographic features, boundaries, 

key facilities, evacuation routes, etc.

Unit 7 will review the course content and help you prepare to take the final 

exam.
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.11

Knowledge Check

Carefully read each question and all of the possible answers before selecting the most 

appropriate response for each test item. Circle the letter corresponding to the answer you have 

chosen, or fill in the blank.

1. Some SOPs can be presented as job aids to be used in the midst of completing a task.

a. True

b. False

2. A job aid provides convenient, sometimes graphic, information that is most useful when 

completing simple tasks that can be done quickly from memory.

a. True

b. False

3. A(n) ____________ would be the best type of implementing instruction for a contact list. 

4. Implementing instructions are developed at the ____________ level.

a. Federal

b. State

c. Agency

5. Implementing instructions must be attached directly to the EOP, not simply incorporated by 

reference.

a. True

b. False
UNIT 6: IMPLEMENTING INSTRUCTIONS

Emergency Planning Page 6.12

Knowledge Check (Continued)

1. a

2. b

3. Information card

4. c

5. b
Unit 7: Course Summary
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.1

Introduction

This course was designed to provide you with training in the fundamentals of 

the emergency planning process. This unit will review the important information 

from the entire course and serve as preparation for the final examination. After 

you complete this unit, you should be able to summarize the key points of the 

course and complete the final exam.

The Planning Process

Emergency planning is a continual cycle of planning, training, exercising, and 

revision that takes place throughout the five phases of the emergency 

management cycle: prevention, preparedness, mitigation, response, and 

recovery.

The end product of emergency planning is a community EOP. An EOP can be 

defined as a document describing how citizens and property will be protected in 

a disaster or emergency.

There are six steps in the emergency planning process:

1. Form a collaborative planning team.

2. Understand the situation.

3. Determine goals and objectives.

4. Develop the plan.

5. Prepare, review, and approve the plan.

6. Implement and maintain the plan.

Emergency planning necessitates a coordinated team effort involving different 

levels of government and many community agencies and organizations.
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.2

The Planning Process (Continued)

Working with personnel from other agencies and organizations requires 

collaboration. Collaboration is the process in which people work together as a 

team on a common mission—in this case, development of a community EOP. 

Collaboration is more difficult, however, in the face of differences among 

agencies in terminology, experience, mission, and culture. Thus, collaboration 

also requires flexibility to agree on common terms and priorities, and humility to 

learn from others’ ways of doing things. 

Collaboration does not come automatically. Building a team that works well 

together takes time and effort. 

Teams go through stages in the process of becoming productive:

• Forming

• Storming

• Norming

• Performing

• Adjourning

The team leader is important in motivating members to work through their 

differences and focus on the common goal of developing an EOP. Other team 

members may also play different roles, including task master, innovator, 

organizer, evaluator, and finisher.

A productive team displays the following characteristics:

• Commitment to a common goal (i.e., development of an EOP).

• A leader who provides direction and guidance.

• Open communication.

• Constructive conflict resolution.

• Mutual trust.

• Respect for each individual and his or her contributions.
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.3

Threat Analysis

Threats are indications of possible violence, harm, or danger.

Threat analysis determines:

• What can occur.

• How often it is likely to occur.

• The damage it is likely to cause.

• How it is likely to affect the community.

• How vulnerable the community is to the threat.

The steps in the threat analysis process are:

1. Identify threats. Develop a list of threats the community may face based 

on historical data about past events. If your community has an existing 

threat analysis, review it and identify any changes that have occurred since 

it was developed.

2. Profile threats, considering the duration, seasonal pattern, and speed of 

onset. A crucial part of the threat profile is the availability of warnings.

3. Develop a community profile, considering geography, property, 

infrastructure, demographics, and response organizations.

4. Determine vulnerability by merging information from the community and

hazard profiles to focus on the threats that present the highest risk.

5. Create and apply scenarios based on the community’s threat and risk 

data.
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.4

Threat Analysis (Continued)

Risk is the predicted impact that a hazard would have on the people, services, 

and specific facilities in the community. Quantifying risk involves:

• Identifying the elements of the community that are potentially at risk from a 

specific threat.

• Developing response priorities.

• Assigning severity ratings.

• Compiling risk data into community risk profiles.

In surveying risk, it is helpful to develop response priorities. The following is a 

suggested hierarchy for setting priorities:

1. Life safety

2. Essential facilities

3. Infrastructure lifelines

The final step in the hazard analysis process is creating and applying scenarios

based on the community’s threat and risk data. A scenario should describe the:

• Initial warning of the event.

• Potential impact on the community.

• Potential impact on specific community sectors.

• Potential consequences.

• Actions and resources needed to deal with the situation.
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.5

The Basic Plan

The format of the EOP includes three parts:

• The basic plan.

• Functional annexes.

• Hazard-, threat-, or incident-specific annexes.

The recommended format for the basic plan includes the following components:

• Introductory Material, which includes:

• Cover page.

• The promulgation document, signed by the jurisdiction’s CEO.

• Approval and implementation page, signed by the senior official(s).

• Record of changes to the EOP.

• Record of distribution, which lists EOP recipients.

• Table of contents.

• Purpose Statement, which includes the EOP’s purpose and a synopsis.

• Scope, which states the scope of emergency and disaster response to 

which the plan applies and the entities and geographic areas to which it 

applies.

• Situation Overview, which characterizes the planning environment 

community, including hazards and populations.

• Assumptions Statement, which delineates what was assumed to be true 

when the EOP was developed.

• Concept of Operations, which explains the community’s approach to 

emergency response, including activation levels and the sequence of 

actions before, during, and after an emergency.

• Organization and Assignment of Responsibilities, which assigns 

responsibilities by organization and position and identifies shared 

responsibilities (specifying who has primary responsibility and who plays a 

support role).

• Direction, Control, and Coordination, which describes the framework for 

all direction, control, and coordination activities.

• Information Collection, Analysis, and Dissemination, which describes 

the required critical or essential information common to all operations 

identified.
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.6

The Basic Plan (Continued)

• Communications, which describes communication protocols and 

coordination procedures.

• Administration, Finance, and Logistics, which addresses resources.

• Plan Development and Maintenance, which assigns planning 

responsibilities to participants and describes the revision cycle.

• Authorities and References, which cites the legal basis for emergency 

operations and relevant reference materials.

Annexes

There are two types of supporting annexes: functional annexes and hazard-, 

threat-, or incident-specific annexes. 

A functional annex explains how the community will carry out a broad function, 

such as warning or resource management, in any emergency. There are nine

functions that typically are addressed in annexes in every EOP (one function 

per annex):

• 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

In addition, communities may choose to add other annexes that make sense for 

their situations (e.g., radiological protection if the community has a nuclear 

power plant).
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.7

Annexes (Continued)

A hazard-, threat-, or incident-specific annex focuses on the special planning 

needs generated by a particular hazard. The annexes to be included in the 

plan depend on the community’s hazard analysis. 

Topics addressed in hazard-specific annexes include special regulatory 

considerations, planning requirements, priorities, and unique hazard 

characteristics that require special planning.

In general, the organization of annexes parallels that of the basic plan. 

Specific sections can be developed to expand upon—but not to repeat—

information that is contained in the basic plan.

In addition, each annex may use supporting documents as needed to clarify 

the contents (e.g., a map to show evacuation routes, a form to request 

resources, or a table to list position responsibilities).

Implementing Instructions

Implementing instructions are documents, developed by individual agencies, 

that provide detailed instructions for carrying out tasks assigned in the EOP.

There are several types of implementing instructions that organizations can 

develop:

• SOPs, which provide step-by-step instructions for carrying out specific 

responsibilities.

• Job aids, which are written procedures that are intended to be used on the 

job while the task is being done. 

• Checklists, which provide a list of tasks, steps, contents, or other items to 

be checked off.

• Information cards, which provide information such as lists of contacts or 

resources in a convenient form. Information cards sometimes use graphics 

such as diagrams. 

• Recordkeeping and combination forms on which to record calculations 

and observations.

• Maps on which to mark boundaries, key facilities, and routes.
UNIT 7: COURSE SUMMARY

Emergency Planning Page 7.8

Final Steps

You have now completed IS-235 and should be ready to take the final exam.

To take the final exam:

• Go to http://training.fema.gov/IS and click on the “ISP Course List” link. 

• Locate and click on the title for this course, and then click on “Take Final 

Exam.”
Appendix A: Sample Plan: 

Jefferson County
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.1

Record of Changes

The Emergency Management Agency (EMA) ensures that necessary changes and revisions to 

plan are prepared, coordinated, published, and distributed.

The plan will undergo revision whenever:

• Any other condition occurs that causes conditions to change.

• It fails during emergency.

• Exercises, drills reveal deficiencies or “shortfall(s).”

• Local government structure changes.

• Community situations change.

• State requirements change.

EMA will maintain a list of individuals and organizations which have controlled copies of the 

plan. Only those with controlled copies will automatically be provided updates and revisions. 

Plan holders are expected to post and record these changes. Revised copies will be dated and 

marked to show where changes have been made.

“Record of Changes” form is on the following page.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.2

Record of Changes

Nature of 

Change Date of Change Page(s) 

Affected Changes Made by (Signature)
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.3

How To Use This Plan

Note: This is a generic, strategic plan, organized by “emergency functions.” The “Basic Plan” 

section provides a general overview and summary of the purpose, responsibilities, and 

operational concepts. Annexes are functions that may be activated and performed during 

emergencies and disasters. While the concept of operations should always remain the same, 

the functions activated will be dependent on the emergency/disaster type and scope.

1. Read Section 1, the “Basic Plan.” Take note of your department’s/agency’s general 

responsibilities contained within the Basic Plan.

2. Look at the “Primary/Support Matrix” appended to the Basic Plan (Section 1, VI. Attachment 

A). Find the name of your agency/organization. Note which annex(es) your 

department/agency appears in. Within each annex that your agency is a part of, you will 

find additional specific responsibilities.

3. Your department/agency must develop and maintain standard operating procedures (SOPs) 

in such detail as necessary that will result in successful activation and completion of your 

responsibilities as stated. Refer to the Basic Plan (Section 1, II. Organization and 

Responsibilities, Part B) for additional information and guidance.

Helpful Hint: Make a list of your general responsibilities (found in Section 1, II. 

Organization and Responsibilities, Part B of the Basic Plan) and specific responsibilities 

(found in each annex that your department/agency is involved with). This responsibilities 

listing is the basis for internal, tactical SOPs and personnel action guides.

4. Each annex contains a “cover page summary.” This summary lists the 

departments/agencies/organizations providing primary support to this function. The county, 

State, and Federal agencies, who would provide additional assistance if requested, are also 

shown.

Jefferson County Department/Agency

SOP’s

The “How To”

Each Department/Agency

“Constructs Their Own”

Action Guides To Perform Their

Responsibilities As Stated In The Jefferson

County CEMP

Tactics

The Jefferson County CEMP Is

The Document Used To

Develop Department/Agency

SOPs

Jefferson

County

CEMP

Strategy

Contents:

Laws

Authorities

Policies

Responsibilities

Tasks

Functional Annexes

General Guidance Only:

Who

What

When

Where

How

Jefferson County Department/Agency

SOP’s

The “How To”

Each Department/Agency

“Constructs Their Own”

Action Guides To Perform Their

Responsibilities As Stated In The Jefferson

County CEMP

Tactics

Jefferson County Department/Agency

SOP’s

The “How To”

Each Department/Agency

“Constructs Their Own”

Action Guides To Perform Their

Responsibilities As Stated In The Jefferson

County CEMP

Tactics

The Jefferson County CEMP Is

The Document Used To

Develop Department/Agency

SOPs

Jefferson

County

CEMP

Strategy

Contents:

Laws

Authorities

Policies

Responsibilities

Tasks

Functional Annexes

General Guidance Only:

Who

What

When

Where

How
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.4

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

I. Mission

A. Purpose, Goals, and Definitions

B. Authorities, Guidance Documents, and Mutual Aid Agreements

C. Situations

D. Assumptions

E. Limitations

F. Policies

II. Organization and Responsibilities

A. Organization

B. Responsibilities

III. Concept of Operations

A. General

B. Emergency Management Phases

C. Functional Annex Concept

IV. Administration and Logistics

A. General

B. Policies

C. Administration

D. Fiscal

E. Logistics

F. Insurance

V. Direction and Control

A. General

B. Crisis Monitoring

C. Levels of Emergency

D. On-scene Management/ICS

E. EOC Activations and Staffing

F. Controls, Continuity of Operations

G. Facilities

H. Military Support

I. Continuity of Government

J. Plan Maintenance

VI. Attachments

A. Primary/Support Matrix
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.5

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

I. Mission

A. Purpose, Goals, and Definitions

1. Purpose

a. This plan describes the basic strategies, assumptions and mechanisms through 

which the departments/agencies within the county will mobilize resources and 

conduct activities to guide and support local emergency management efforts through 

response and recovery. To facilitate effective intergovernmental operations, this 

plan adopts a functional approach that groups the type of assistance to be provided 

under annexes to address functional needs at the local government level. Each 

“functional annex” is headed by a primary agency, which has been selected based 

on its authorities, resources, and capabilities in the functional area. The “functional 

annexes” serve as the primary mechanism through which assistance is managed in 

an affected area.

b. This plan provides for an orderly means to prevent or minimize (mitigation 

strategies), prepare for, respond to, and recover from emergencies or disasters that 

threaten life, property, and the environment within Jefferson County boundaries by:

• Identifying major natural and manmade hazards, threats to life, property, and/or 

the environment that are known or thought to exist.

• Assigning emergency management responsibilities and tasks.

• Describing predetermined actions (responsibilities, tasks) to be taken by 

departments/agencies, and other cooperating organizations and institutions, to 

eliminate or mitigate the effects of these threats, and to respond effectively and 

recover from an emergency or disaster.

• Providing for effective assignment and utilization of local government employees.

• Documenting the current capabilities and existing resources of 

departments/agencies and other cooperating organizations and institutions which 

must be maintained to enable accomplishment of those predetermined actions.

• Providing for the continuity of local government during and after an emergency or 

disaster.

• Enhance cooperation (mutual aid agreements and memorandums of 

understanding) and coordination with cooperating community agencies, 

neighboring jurisdictions, and State and Federal agencies.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.6

• Providing for an emergency planning team comprised of representatives from all 

departments as identified and utilized through this plan development for 

containing review and revision of the plan; exercise planning and evaluation; and 

reviewing and offering recommendations on emergency management initiatives.

c. This plan provides guidance for:

• Mitigation, preparedness, response, and recovery policy and procedures.

• Disaster and emergency responsibilities.

• Training and public education activities.

d. This plan is strategic and “responsibility oriented,” and addresses:

• Coordinated regional and interregional evacuation, shelter, and post-disaster 

response and recovery.

• Rapid deployment and predeployment of resources.

• Communications and warning systems.

• Annual exercises to determine the ability to respond to emergencies.

• Clearly defined responsibilities for departments/agencies through a “functional 

annex” approach to planning and operations.

2. Goals

a. Develop citizen self-sufficiency.

b. Develop first responder capabilities.

c. To have a plan (framework, strategy) that will guide organizational behavior 

(response) during emergency(ies) or disaster(s).

d. Create a framework of interagency and community-wide cooperation to enhance 

disaster mitigation, preparedness, response, and recovery.

3. Definitions

a. The term “emergency” as used in this plan means a set of circumstances which 

demand immediate action to protect life; preserve public safety, health, and essential 

services; or protect property and the environment.

b. “Disaster” means the situation requires all available local government resources 

and/or augmentation, and is beyond the capabilities of the county or a city(ies). A 

state of “emergency” or “disaster” can be proclaimed by a chief elected official and/or 

Emergency Council Chairperson, Vice Chairperson, or Emergency Management 

Agency (EMA) Coordinator.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.7

B. Authorities, Guidance Documents, Mutual Aid Agreements

1. Authorities

a. Federal

• Public Law (P.L.) 93-288, Disaster Relief Act of 1974, as amended by P.L. 100-

707 (“The Stafford Act”)

• Emergency Management and Assistance, 44 U.S. Code 2.1 (Oct. 1, 1980)

• P.L. 81-920, Federal Civil Defense Act of 1950 as amended

• P.L. 99-499, Title III, Emergency Planning and Community Right-to-Know, Oct. 

17, 1986

b. State

• Public Law (P.L.) 31-9, Act 47, Alabama Civil Defense Act of 1955

• P.L. 29-3, Act 875, Emergency Interim Succession Act, 1961

• P.L. 83-612, Alabama Department of Civil Defense name changed to Alabama 

Emergency Management Agency, 1983

• Alabama Executive Order Number 4, March 6, 1987

• Alabama Executive Order Number 40, July 23, 1985

c. Local

• Jefferson County Commission Resolution of November 13, 1951

• City of Birmingham General Ordinances, 1980, sections 2-3-1 and 9-4-1 through 

9-4-4

• Birmingham/Jefferson County Emergency Management Agency Mayor’s Council 

Resolution of October 10, 1984

2. Guidance Documents

a. State of Alabama Guide for Developing an Emergency Operations Plan, 1996

b. National Response Framework, 2008

3. Agreements and Understandings

Central Alabama Fire Chief’s Association Disaster Assistance Agreement

C. Situations

1. Hazard Analysis

a. The Jefferson County Hazard Vulnerability Analysis (published separately) provides 

details on local hazards to include type, effects, impacts, risk, capabilities, and other 

related data.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.8

b. Due to its location and geological features, Jefferson County is vulnerable to the 

damaging affects of certain hazards that include, but are not limited to:

Natural: Drought, extreme cold, extreme heat, forest fire, riverine flood, flash flood, 

landshift (earthquake, earthslide, erosion, subsidence), snow/ice/hail, windstorm, 

lightning storm, hurricane, tornado, epidemic (human/animal).

Technological: Hazardous materials (fixed facility, transportation), fire/explosion, 

building/structure collapse, dam/levee failure, power/utility outage, extreme air 

pollution, transportation accident (rail, marine, aircraft, motor vehicle).

Civil/Political Disorder: Economic emergency, riot, strike, demonstration/special 

events, terrorism/sabotage, hostage situation, attack (conventional, nuclear, 

biological, chemical).

c. Disaster response efforts are often hampered by equipment and facility damage, 

communication failures, inclement weather, responder injury and death, and many 

other limiting factors. In the event of an emergency or disaster that exceeds the 

available resources, the public should expect and be prepared for a minimum 72 

hour delay for emergency response service.

D. Assumptions

1. Governmental officials within the county recognize their responsibilities regarding the 

safety and well being of the public and they will assume their responsibilities when the 

Comprehensive Emergency Management Plan is implemented.

2. General Conditions. When a community experiences a disaster, its surviving citizens fall 

into three broad categories: those directly affected through personal or family injury or 

property damage; those indirectly affected by an interruption of the supply of basic 

needs; and those who are not personally impacted. These guidelines were designed to 

promote citizen self-confidence and independence in the face of a disaster. Following 

these guidelines will allow the emergency organization within the county to concentrate 

first on helping those citizens directly affected by a disaster.

3. It is expected that each individual or head of a household will develop a family disaster 

plan and maintain the essential supplies to be self-sufficient for a minimum of 72 hours.

4. Businesses are expected to develop internal disaster plans that will integrate and be 

compatible with local government resources and this plan.

Note: This plan is not intended to limit or restrict initiative, judgment, or independent 

action required to provide appropriate and effective emergency and disaster mitigation, 

preparation, response, and recovery.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.9

E. Limitations

1. It is the policy of the Jefferson County Emergency Management Council that no 

guarantee is implied by this plan. Because local government assets and systems may 

be damaged, destroyed, or overwhelmed, the Council can only endeavor to make 

responsible efforts to respond based on the situation, information, and resources 

available at the time.

2. Adequate funding is needed to support this plan and its programs. The performance of 

the assigned tasks and responsibilities will be dependent on appropriations and funding 

to support the plan. Lack of funding may degrade the services envisioned under this 

plan.

Note: The inability of Departments/Agencies to carry out their responsibilities as 

indicated in both the Basic Plan and annexes due to lack of staff and funding may lower 

“emergency declaration threshold.”

F. Policies

1. In order to protect lives and property and in cooperation with other elements of the 

community (e.g., business, volunteer sector, social organizations, etc.), it is the policy of 

the Jefferson County Emergency Management Council to endeavor to mitigate, prepare 

for, respond to, and recover from all natural and manmade emergencies and disasters.

2. It is the policy of the Jefferson County Emergency Management Council that it will take 

appropriate action in accordance with this plan to mitigate any harm to the citizens or 

property in the county.

3. Because of the nature of emergencies and disasters (causing damages, interruptions 

and shortfalls to local government resources), it is the policy of the Jefferson County 

Emergency Management Council that citizens are encouraged to be self-sufficient for a 

minimum of 72 hours should an emergency or disaster occur.

4. It is the policy of the Jefferson County Emergency Management Council to make this 

plan a “user friendly” document.

5. Non-discrimination. It is the policy of the Jefferson County Emergency Management 

Council that no services will be denied on the basis of race, color, national origin, 

religion, sex, age, or inability, and no special treatment will be extended to any person or 

group in an emergency or disaster over and above what normally would be expected in 

the way of local government services. Council activities pursuant to the Federal/State 

Agreement for major disaster recovery will be carried out in accordance with Title 44, 

Code of Federal Regulations (CFR), Section 205.16—nondiscrimination. Federal 

disaster assistance is conditional on full compliance with this rule.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.10

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

II. Organization and Responsibilities

A. Organization

1. Emergency Management Council

a. The Jefferson County Commission by November 13, 1951, resolution (pursuant to 

Federal and State law) created the Birmingham/Jefferson County Civil Defense 

Corps. The local governing bodies within the county passed resolutions/ordinances 

joining in this organization creating a “Civil Defense Council” to govern the joint “civil 

defense program.” The Council is authorized and empowered to make, amend, and 

rescind any and all necessary orders, rules, and regulations for direction and control 

of the “program.” As needed the Council requests municipalities to adopt proper 

ordinances implementing within each municipality the orders rules, and regulations 

of the council.

b. As per the 1951 resolution and current State law, the Council is charged with 

establishing and maintaining an emergency management organization, and 

developing policies to prepare for, respond to, and recover from emergencies and 

disasters that threaten or occur in Jefferson County. The policies will be established 

through the promulgation of a comprehensive Emergency Management Plan.

c. The Council is governed by a Chairperson and Vice Chairperson. In the absence of 

the Chairperson and the Vice Chairperson, the EMA Coordinator has the 

responsibility to carry out Council policy in all matters.

d. The Jefferson County Emergency Management Council has designated the EMA 

Coordinator as being responsible for day-to-day operations, including the 

implementation of policies and procedures issued by the Council. The EMA 

Coordinator reports to the Emergency Management Council Chairperson.

2. Emergency Organization

a. The Chief Elected Official of the municipalities, together with the President of the 

Jefferson County Commission, constitute the Jefferson County Emergency 

Management Council. The Council is, and has been from its inception, the body 

charged with the overall responsibility for developing and implementing 

comprehensive emergency management policies in Jefferson County, Alabama.

b. The Jefferson County Emergency Management Council has selected two members 

to serve as General Chairperson and Vice Chairperson and to represent the Council 

in the conduct of emergency operations.
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Emergency Planning Page A.11

c. The Primary/Support Matrix (see Basic Plan Attachment A) reflects the 

organizational structure of the Jefferson County Emergency Management network 

and indicates the various activities which can support emergency operations.

d. This plan establishes the emergency management organization within the county. 

All officers and employees of local government are part of the emergency 

organization. All appointments and work assignments in an emergency situation 

shall be documented. All departments/agencies will submit documentation as to 

staffing allocation, equipment distribution, and other emergency related needs as 

requested by the EMA Coordinator.

3. Incident Command System

This plan formalizes the Incident Command organization and structure at incident sites.

4. EMA Planning Team

An EMA Planning Team is hereby established through promulgation of this plan. The 

team shall be composed of representatives or alternates from selected 

departments/agencies. The team shall formulate emergency management 

recommendations to the EMA Coordinator. This includes development and 

maintenance of this plan, exercise planning and evaluation, and related initiatives. 

Members of the planning team shall be appointed by the EMA Coordinator. The EMA 

Coordinator will chair the team and will schedule periodic meetings as needed.

B. Responsibilities

1. General Preparedness Responsibilities (All departments/agencies within Jefferson 

County). The following common responsibilities are assigned to each department/agency 

listed in this plan. Further, each department/agency shall create an internal emergency 

management organization and develop Standard Operating Procedures (SOPs) in 

accordance with the provisions of this plan. Preparation activities include:

• Establishing departmental and individual responsibilities (as indicated in this plan); 

identify emergency tasks.

• Working with other departments/agencies to enhance cooperation and coordination, and 

eliminate redundancy. Departments having shared responsibilities should complement 

each other.

• Establishing education and training programs so that each division, section, and 

employee will know exactly where, when, and how to respond.

• Developing site specific plans for department facilities as necessary.

• Ensuring that employee job descriptions reflect their emergency duties.

• Training staff and volunteer augmentees to perform emergency duties, tasks.

• Identifying, categorizing, and inventorying all available departmental resources.
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Emergency Planning Page A.12

• Developing procedures for mobilizing and employing additional resources.

• Ensuring communication capabilities with the EOC.

• Filling positions in the emergency organization as requested by the EMA Coordinator 

acting in accordance with this plan.

• Preparing to provide internal logistics support to department operations during the initial 

emergency response phase.

2. General Response Responsibilities (All departments/agencies within Jefferson 

County). The following common responsibilities are assigned to each department listed in 

this plan.

• Upon receipt of an alert or warning, initiate notification actions to alert employees and 

volunteer augmentees assigned response duties.

• As appropriate:

• Suspend or curtail normal business activities.

• Recall essential off-duty employees.

• Send nonessential employees home.

• Evacuate departmental facilities.

• As requested, augment the EOC’s effort to warn the public through use of vehicles 

equipped with public address systems, sirens, employees going from door to door, etc.

• Keep the EOC informed of field activities, and maintain a communications link to the 

EOC.

• Activate a control center to support and facilitate department response activities, 

maintain events log, and report information to the EOC.

• Report damages and status of critical facilities to the EOC.

• If appropriate or requested, send a representative to the EOC.

• Ensure staff members tasked to work in the EOC have the authority to commit 

resources and set policies.

• Coordinate with the EOC to establish protocols for interfacing with State, Federal 

responders.

• Coordinate with the EOC Information Officer before releasing information to the media.

• Submit reports to the EOC detailing departmental emergency expenditures and 

obligations.
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Emergency Planning Page A.13

3. Specific Local Governmental Responsibilities

a. Ambulance Services

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide emergency medical transportation and emergency medical services in 

the field.

b. Birmingham Communications Department

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and report from the general public.

• Provide supplies, equipment, and personnel as requested.

• Maintain communication systems.

c. Birmingham Equipment Management

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Operate fleet repair facility.

• Provide for availability of motor fuels for all county vehicles, American Red Cross 

vehicles, and fuel driven facility.

• Provide for storage of equipment and vehicles in a safe place.

• Provide for security of county complex.

• Provide comprehensive list of county vehicles and equipment to EMA.

d. Birmingham Regional Emergency Medical Services System (BREMSS)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide training and equipment.

• Develop and coordinate field medical protocols.

• Provide trauma coordination through the Trauma Control Center.

• Assist in mass fatality incidents.

e. Business and Industry

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.
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Emergency Planning Page A.14

f. Building Inspection Services

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

g. Campuses, Universities

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide the estimated number of people requiring emergency shelter, food, and 

water distribution points, check car facilities as need.

h. Churches

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide facilities for emergency shelter, food, and water distribution points, check 

car facilities as need.

i. Civil Air Patrol

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Augment search and rescue missions as requested and within their capabilities.

j. Community Service Organizations

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist with meeting the needs of special populations and individuals.

k. Data Processing (Jefferson County Information Services)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Maintain computers for payroll.
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Emergency Planning Page A.15

l. Department of Human Resources (DHR)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist with the assessment of human needs during and after a disaster.

• Identify requirements for individuals and populations with “special needs.”

• Coordinate transportation requirements for special needs agencies/individuals.

• Coordinate with the American Red Cross, and other agencies as necessary to 

provide emergency programs for basic human needs to include reception 

centers, shelters, mass feeding.

• Work in close concert with American Red Cross and others in the activation and 

operation of short-term temporary “holding centers” and long-term 

shelters/disaster centers.

m. Emergency Management Council

• Provide overall direction and control.

• Proclaim a county-wide “state of emergency,” when necessary.

• Make disaster declarations and request State and Federal assistance.

• Issue emergency rules and proclamations that have the force of law during the 

proclaimed emergency period.

• Ensure that the county continues to function administratively and make 

administrative policy decisions.

• Appropriate funds to meet disaster expenditure needs.

• Extend or terminate emergency/disaster declarations.

n. Finance

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide appraisers to assist with damage assessments.

• Process emergency purchases/procurement.

• Establish and maintain a system whereby incident costs are identified and 

accumulated for State and Federal reimbursement.

• Ensure payroll system setup to pay employees.
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Emergency Planning Page A.16

o. Fire Departments

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide and coordinate fire and rescue services.

• Provide initial emergency medical services and prehospital care.

• Contain, control hazardous materials.

• Provide limited response to search and rescue off-road situations, and coordinate 

heavy rescue operations.

• Augment warning system by providing siren-equipped and/or public address 

mobile units, and/or manpower for door-to-door warning.

• Support other public safety operations.

• Order evacuation whenever necessary to protect lives and property.

p. Funeral Directors Association

• Assist in mass fatality incidents by providing recovery, evacuation, mortuary 

operations, identification, and notification.

q. Greater Birmingham Humane Society

• Provide assistance in the prevention, detection, and control of rabies.

• Provide animal control and services assistance.

r. Hospitals

• Provide medical care.

• Resupply field units with consumable medical supplies.

• Make assessment of hospital capabilities and damages.

• Mobilize staff to provide teams to respond to mass casualty incidents.

• Coordinate with Blood Bank and assist in blood procurement for community 

needs.

• Participate in hospital radio net that links hospitals, Emergency Operations 

Center, fire dispatch, and FD/EMS.

s. Jefferson County Communications

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Maintain 800mhz radio system.
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Emergency Planning Page A.17

t. Jefferson County Coroner/Medical Examiner’s Office

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Establish fatality collection areas to facilitate recovery operations.

• Identify mass burial sites.

• Protect the property and personal effects of the deceased.

• Notify relatives.

• Establish and maintain a comprehensive recordkeeping system for continual 

updating and recording of fatality numbers.

u. Jefferson County Department of Health

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Perform disease control operations, to include epidemic intelligence, evaluation, 

prevention (including mass inoculations) and detection of communicable 

diseases.

• Issue general health advisories, information, and instructions.

• Conduct environmental health activities in regard to waste disposal, refuse, food, 

water control, and vector control.

v. Jefferson County Emergency Management Agency

• Designated by the Emergency council to develop and maintain county-wide 

emergency management program.

• Develop and maintain the county-wide Comprehensive Emergency Management 

Plan (CEMP).

• Provide coordination among local, State, Federal, private, and volunteer 

organizations.

• Maintain liaison with neighboring jurisdictions.

• Develop, coordinate, and maintain warning and emergency communication 

systems.

• Disseminate emergency alerts and warnings to key officials, 

department/agencies and the public.

• Disseminate emergency information and instructions.

• Develop, maintain, and disseminate emergency preparedness education 

materials to include hazard awareness programs.

• Schedule tests, exercises.

• Maintain inventories of resources and equipment.

• Develop mutual aid agreements.

• Monitor situations for CAT or EOC activation.

• Ensure a functional county EOC.

• Coordinate requests for emergency assistance.
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Emergency Planning Page A.18

• Coordinate and use all available resources during an emergency or disaster.

• Develop and maintain a county-wide damage assessment program, and 

coordinate assessment procedures with local government.

w. Jefferson County Fleet Services

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Operate fleet repair facility.

• Provide for availability of motor fuels.

• Provide for storage of equipment and vehicles.

x. Jefferson County General Services

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Manage and coordinate volunteers and donations through the EOC.

y. Law Enforcement (Agencies)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Augment warning system by providing siren-equipped and/or public address 

mobile units, and/or manpower for door-to-door warning.

• Responsible for lost person search and rescue, and coordination of heavy rescue 

operations.

• Maintain law and order and provide public safety activities as required.

• Provide security for key facilities.

• Protect property in evacuated areas.

• Provide assistance in the capture and control of animals.

• Enforce orders of fire officers and implement/enforce evacuation orders, when 

necessary.

• Provide law enforcement and traffic control in support of fire department actions.

• Order/conduct evacuations when necessary to save lives and property.

z. Law Enforcement (Campuses)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist law enforcement services on campuses.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.19

aa. Law Enforcement (Explorers)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist law enforcement agencies within their capabilities.

bb. Law Enforcement (Reserves)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist law enforcement agencies within their capabilities.

cc. Management Information Services

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide for the use of computer resources to record and maintain emergency 

information, data on the organization and operation of congregate care facilities 

(shelter/mass feeding), and registration of displaced persons.

• Provide assistance in the registration of people at congregate care facilities 

(shelter/mass feeding).

dd. Media

• In general, disseminate warning messages provided by authorized sources to the 

general public as rapidly as possible in the event of an impending or actual 

disaster.

• Commercial Print Media: Assist with emergency information dissemination.

• Commercial Radio and Television Systems: Assist with emergency information 

dissemination.

• Commercial Radio and Television Systems: Maintain Emergency Alert System.

ee. Metro Area Express

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide buses for evacuations and temporary shelters.

• Provide bus transportation resources.

• Coordinate mobilization of emergency transportation services.

• Use transportation communication links to provide damage assessment 

information.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.20

ff. Metro Humane Shelter

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide assistance in the prevention, detection, and control of rabies.

gg. National Guard

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide aircraft for search and rescue operations.

hh. Parks and Recreation

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide facilities for emergency shelter, food, and water distribution points, child 

care facilities, as needed.

• Provide receiving and distribution sites.

• Assist with the delivery of donated goods.

ii. Personnel Board

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide for the recruitment of manpower needs by the city for the organization 

and operation of the congregate care facilities (shelter/mass feeding).

• Coordinate employee issues with Finance.

• Provide emergency hire program.

jj. Public (General)

• Provide observations and reports to EMA and/or EOC.

• Provide manpower, supplies, and equipment.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.21

kk. Purchasing Department

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Establish a system for the coordination and acquisition of supplies, equipment, 

and services in support of emergency response efforts.

ll. Public Works

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist with initial infrastructure damage assessment of horizontal construction, 

i.e., roads, bridges, storm sewers, dams, etc.

• Provide heavy equipment to support rescue operations.

• Provide technical information on damaged structures.

• Provide traffic control signs and barricades, and operational control of traffic 

signals.

• Assist with the identification of evacuation routes and keep evacuation routes 

clear of stalled vehicles.

• Coordinate the disposal of solid waste from congregate care facilities 

(shelter/mass feeding).

• Coordinate emergency utility support requirements with public and private 

utilities.

mm. Radio Amateur Civil Emergency Services (RACES)

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Assist with the warning and emergency information dissemination.

• Provide communications support.

• Within capabilities, provide emergency radio communication links between the 

CAT/EOC and shelters.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.22

nn. American Red Cross

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Provide and deploy damage assessment teams to augment local damage 

assessment.

• Assist with emergency information dissemination.

• Provide supplementary medical and nursing care in American Red Cross 

shelters and other public health services upon request, and within their 

capabilities.

• Provide mass care for major fire scenes.

• Provide fire aid centers for noncritical injuries.

• Assist with coordination of needed blood, blood products, and vaccines.

• Coordinate with Jefferson County EMA and other organizations to establish and 

provide shelter reception centers.

• Establish and coordinate mass feeding.

• Provide mobile canteen service to victims and emergency service workers.

• Provide food, clothing, housing, household furnishings, medical, bedding and 

linens, occupational supplies, and other necessities to disaster victims.

oo. Risk Management

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field units’ 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Coordinate, administer county insurance programs.

pp. Salvation Army

• Provide supplies, equipment, and personnel as requested.

• Provide mass care for major fire scenes.

• Provided fixed and mobile feeding sites.

• Provide various emergency services to include case work services, financial 

counseling, and a wide variety of emergency aid to people in need (e.g., food 

boxes, clothing, bedding, cash grants for emergency lodging, cleanup kits and 

many other specific assistance needs).

• Provide counseling to disaster victims.

qq. Schools (Facilities)

• Provide supplies, equipment, and personnel as requested.
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Emergency Planning Page A.23

rr. Schools (Districts)

• Provide supplies, equipment, and personnel as requested.

• Provide buses in support of evacuation and shelters.

• Provide school facilities for shelter and feeding.

ss. Specialists (When Necessary)

• Perform functions in the EOC or on-scene as assigned.

tt. Tax Assessor

• Provide appraisers to assist with damage assessment.

uu. Utilities

• Conduct infrastructure damage assessment of utility “life lines” (water, power, 

natural gas, telecommunications, sewer, waste services) owned by each utility.

• Provide supplies, equipment, and personnel as requested.

• Provide EOC management oversight of utility actions to ensure that the needs of 

special populations and individuals are provided for.

vv. Veterinarians

• Provide assistance in the prevention, detection, and control of rabies.

ww. Volunteer Organizations

• Perform functions in the EOC or on-scene as assigned.

• Provide EMA and/or EOC initial situation/damage reports as per field unit 

observations and reports from the general public.

• Provide supplies, equipment, and personnel as requested.

• Respond to search and rescue missions as requested and within their 

capabilities.

• Assist with meeting the needs of special populations and individuals.

• Assist in response and recovery involving donated goods and services.

4. State of Alabama

a. If local capabilities are exceeded, and a local emergency has been declared, State 

government agencies can augment assistance to local government to meet the 

emergency needs of victims during declared emergencies/disasters. Requests for State

assistance are processed through the Jefferson County EMS.

b. The Alabama Emergency Management Agency (AEMA) receives and coordinates 

requests for State assistance. The Governor may declare a “state of emergency” to 

authorize use of State resources.
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Emergency Planning Page A.24

5. Federal Government

The National Response Framework (NRF) facilitates the provision of Federal assistance to 

State and local governments during major disasters. The FRP uses a functional approach 

to group the type of Federal assistance which State/local government is most likely to need 

under Emergency Support Functions (ESF). Each ESF is headed by a primary Federal 

agency which has been selected based on its authorities, resources, and capabilities in the 

particular functional area.
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Emergency Planning Page A.25

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

III. Concept of Operations

A. General

1. The Emergency Management Council is responsible for the direction, control, and 

coordination of emergency management activities in Jefferson County.

2. The primary objective for emergency management in Jefferson County is to provide a 

coordinated effort from all supporting county and city departments in the preparation for, 

response to, and relief from injury, damage, and suffering resulting from either a 

localized or widespread disaster. The EMA Coordinator is the focal point for emergency 

management activities within the county. However, emergency management 

responsibilities extend beyond this office, to all city/county government 

departments/agencies, and ultimately, to each individual citizen.

3. It is important to note that a basic responsibility for emergency planning and response 

also lies with individuals and heads of households. When the situation exceeds the 

capabilities of individuals, families, and volunteer organizations, a city/county emergency 

may exist. It is then the responsibility of government to undertake the effects of 

disasters. Local government has the primary responsibility for emergency management 

activities. When the emergency exceeds local government capability to respond, the 

EMA Coordinator will request assistance from mutual aid counties and/or the State 

government; the Federal Government will provide assistance to the State when 

requested, if possible. In addition, private sector and voluntary organizations may be 

requested to provide aid and assistance.

4. In addition to the EMA Coordinator, emergency management is the day-to-day function 

of certain city and county agencies, such as the Police and Fire Departments. While the 

routine functions of most city and county agencies are not of an emergency nature, 

pursuant to this plan, all officers and employees of the cities and county will plan to meet 

emergencies threatening life or property. This entails a day-to-day obligation to assess 

and report the impact of an emergency or disaster event. It requires monitoring 

conditions and analyzing information that could signal the onset of one of these events. 

Disasters will require city and county departments to perform extraordinary functions. In 

these situations, every attempt will be made to preserve organizational integrity and 

assign tasks which parallel the norm. However, it may be necessary to draw on people’s 

basic capacities and use them in areas of greatest need. Day-to-day functions that do 

not contribute directly to the emergency operation may be suspended for the duration of 

any emergency. Efforts that would normally be required to perform those functions may 

be redirected to accomplish emergency tasks.
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Emergency Planning Page A.26

5. This plan does not contain a listing of resources. The EMA Coordinator will ensure that 

a resource inventory including source and quantity is kept current. The resource list will 

be maintained in the EOC. The EMA Coordinator should also be familiar with resources 

available from local private sector and volunteer organizations as well as from State 

government. Unique resources which may not be available locally (i.e., radiological and 

chemical analysis, environmental assessment, biological sampling, contamination 

survey, etc.) should be requested through the AEMA. 

B. Emergency Management Phases

The county will meet its responsibility for protecting life and property from the effects of 

hazardous events by acting within each of the four phases of emergency management.

1. Mitigation. Actions accomplished before an event to prevent it from causing a disaster, 

or to reduce its effects if it does, save the most lives, prevent the most damage, and are 

the most cost effective. See also Section 2, Mitigation of this plan. County and city 

departments will enforce all public safety mandates including land use management and 

building codes; and recommend to governing bodies legislation required to improve the 

emergency readiness of the county.

2. Preparedness. Preparedness consists of almost any predisaster action which is 

assured to improve the safety or effectiveness of disaster response. Preparedness 

consists of those activities that have the potential to save lives, lessen property damage, 

and increase individual and community control over the subsequent disaster response. 

Departments/agencies within the county will remain vigilant to crises within their areas of 

responsibility. All departments/agencies shall prepare for disasters by developing 

detailed SOPs to accomplish the extraordinary tasks necessary to integrate the 

department/agency’s total capabilities into a city/county disaster by response. Disaster 

SOPs must complement this plan. Departments/agencies shall ensure that their 

employees are trained to implement emergency and disaster procedures and 

instructions. Departments/agencies shall validate their level of emergency readiness 

through internal drills and participation in exercise selected by the EMA Coordinator. 

Other government jurisdictions within and outside city/county boundaries shall also be 

encouraged to participate in these exercises. Exercise results shall be documented and 

used in continual planning effort to improve the county’s emergency readiness posture. 

This joint, continuous planning endeavor shall culminate in revisions to this plan in the 

constant attempt to achieve a higher state of readiness for an emergency or disaster 

response.
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Emergency Planning Page A.27

3. Response. The active use of resources to address the immediate and short-term 

effects of an emergency or disaster constitutes the response phase and is the focus of 

department/agency emergency and disaster Standard Operating Procedures, mutual-aid 

agreements, and this plan. Emergency and disaster incident responses are designed to 

minimize suffering, loss of life, and property damage, and to speed recovery. They 

include initial damage assessment, emergency and short-term medical care, and the 

return of vital life-support systems to minimum operating conditions. When any 

department/agency within the county receives information about a potential emergency 

or disaster, it will conduct an initial assessment, determine the need to alert others, and 

set in motion appropriate actions to reduce risk and potential impacts. Emergency 

response activities will be as described in department/agency SOPs and may involve 

activating the Emergency Operations Center (EOC) for coordination of support. 

Departments/agencies will strive to provide support to warning and emergency public 

information, save lives, and property, supply basic human needs, maintain or restore 

essential services, and protect vital resources and the environment. Responses to 

declared emergencies and disasters will be guided by this plan.

4. Recovery. Emergency and disaster recovery efforts aim at returning to pre-disaster 

community life. They involve detailed damage assessments, complete restoration of 

vital life-support systems, financial assistance, and long-term medical care. There is no 

definite point at which response ends and recovery begins. However, generally 

speaking, most recovery efforts will occur after the emergency organization is 

deactivated and departments/agencies have returned to predisaster operation, and will 

be integrated with day-to-day functions.

C. Functional Annex Concept

1. “Functional annexes” represent groupings of types of assistance activities that citizens 

are likely to need in times of emergency or disaster. In Alabama, county and State 

Comprehensive Emergency Management Plans are organized by related emergency 

functions. The National Response Framework is similarly organized into Emergency 

Support Functions (ESFs). During emergencies within Jefferson County, the EMA 

coordinator will determine which functional annexes or ESFs are activated to meet the 

disaster response needs. See “Section 4, Response-Functional Annexes” for further 

details. The Federal Government, through the State EOC will respond to Jefferson 

county requests for assistance through the Federal ESF structure.

2. Within the EOC, requests for assistance will be tasked to the particular “emergency 

function” or “EOC Branch or Unit” for completion. A lead agency for each emergency 

function is indicated, and will be responsible for coordinating the delivery of that 

assistance to the emergency area. The lead agency will be responsible for identifying 

the resources that will accomplish the mission, and will coordinate the resource delivery.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.28

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

IV. Administration and Logistics

A. General

During and after emergency/disaster events normal fiscal and administrative functions and 

regulations may need to be temporarily modified or suspended in order to support 

emergency operations in a timely manner. Additionally, if certain emergency costs can be 

documented, certain reimbursements from State and Federal sources may be possible.

B. Policies

It is the policy of the Jefferson County Emergency Management Council that:

1. All departments/agencies shall assure the safety of cash, checks, accounts receivable, 

and assist in the protection of other valuable documents/records.

2. All departments/agencies shall designate personnel to be responsible for documentation 

of disaster operations and expenditures. Emergency expenditures will be incurred in 

accordance with existing jurisdictional emergency purchasing procedures.

3. During the emergency operations, nonessential administrative activities may be 

suspended, and personnel not assigned to essential duties may be assigned to other 

departments to provide emergency support.

4. Each department/agency shall keep an updated inventory of its personnel, facilities, and 

equipment resources as part of their SOPs.

C. Administration

1. During an emergency or disaster, administrative procedures may have to be suspended, 

relaxed, or made optional in the interest of protecting life or property. 

Departments/agencies are authorized to take necessary and prudent actions in 

response to disaster/emergency incidents.

2. Normal procedures which do not interfere with timely accomplishment of emergency 

tasks will continue to be used. Those emergency administrative procedures which 

depart from “business-as-usual” will be described in detail in department/agency SOPs.

3. Departments/agencies are responsible for keeping records of the name, arrival time, 

duration of utilization, departure time, and other information relative to the service of 

emergency workers, as well as documentation of the injuries, lost or damaged 

equipment, and any extraordinary costs.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.29

D. Fiscal

1. Local government purchasing personnel shall facilitate the acquisition of all supplies, 

equipment, and services necessary to support the emergency response actions of 

departments/agencies.

2. A complete and accurate record of all purchases, a complete record of all properties 

commandeered to save lives and property, and an inventory of all supplies and 

equipment purchased in support of the emergency response shall be maintained.

3. Though certain formal procedures may be waived, this in no way lessens the 

requirement for sound financial management and accountability. Departments/agencies 

will identify personnel to be responsible for documentation of disaster costs and utilize 

existing administrative methods to keep accurate records separating disaster operational 

expenditures from day-to-day expenditures. Documentation will include: logs, formal 

records, and file copies of all expenditures, receipts, personnel time sheets.

4. A separate Emergency Operations Center (EOC) “Finance Section” may be formed to

handle the monetary and financial functions during large emergencies, disasters. See 

the Jefferson County EMA EOC Position Checklists Manual for details.

E. Logistics

1. Departments/agencies responding to emergencies and disasters will first use their

available resources. When this plan is implemented, the EOC Logistics Section 

becomes the focal point of procurement, distribution, and replacement of personnel, 

equipment, and supplies. The Logistics Section will also provide services and 

equipment maintenance beyond the integral capabilities of elements of the emergency 

organization. Scarce resources will be allocated according to established priorities and 

objectives of the EOC.

2. Logistics will be needed to support the field operations, the EOC operations, and 

disaster victims.

3. All departments/agencies are expected to maintain an inventory of all nonconsumable 

items, to include their disposition after the conclusion of the emergency proclamation. 

Items that are not accounted for, or that are placed in local government inventory as an 

asset will not be eligible for reimbursement.

F. Insurance

Local governments, agencies shall maintain insurance for property, workers’ compensation, 

general and automotive liability. Insurance coverage information will be required by the 

Federal Government in the post disaster phase as per 44 CFR “subpart 1.” Information on 

insurance needs to be available following a disaster.

Further, all local jurisdictions and departments are responsible to maintain adequate levels 

of insurance.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.30

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

V. Direction and Control

A. General

1. The chief executive of the local government in the jurisdiction in which the emergency 

occurs will exercise direction and control activities within that jurisdiction. He/she will 

coordinate with the EMA Coordinator who is responsible for implementing this Plan or 

portions of this Plan. Each jurisdiction shall establish Standard Operating Procedures

(SOPs) to control and direct response actions. The EMA Coordinator will coordinate 

actions between local governments and agencies as necessary, and direct response 

actions in unincorporated areas of the county. In cases where local resources to 

contend with an emergency do not exist or have been depleted, the affected chief 

executive, in coordination with the EMA Coordinator, should request State aid through 

the State EOC.

2. The chief executive of the local government may declare a “State of Emergency” to 

expedite access to local resources needed to cope with the incident. If the needed 

response exceeds these local capabilities, a disaster has occurred. The chief executive 

may, by emergency proclamation, use local resources and employees as necessary,

and alter functions of departments and personnel, as necessary. The Jefferson County 

Emergency Management Council has the authority to declare a “state of emergency” in 

support of a local government emergency. If the situation is beyond local capability, a 

request for State and/or Federal assistance may be in the original proclamation, or 

included in a second proclamation presented to the Governor through the Alabama 

Emergency Management Agency. If State and/or Federal resources are made available, 

they will be under the operational control of the EMA Coordinator/EOC.

3. On behalf of the Emergency Council, the EMA Coordinator has the responsibility for 

coordinating the entire emergency management program. The Coordinator makes all 

routine decisions and advises the officials on courses of action available for major 

decisions. During emergency operations the Coordinator is responsible for the proper 

functioning of the EOC. The Coordinator also acts as a liaison with State and Federal 

emergency agencies, and neighboring counties.

4. The Emergency Operations Center (EOC) is the central point for emergency 

management operations. The purpose of this central point is to ensure harmonious 

response when the emergency involves more than one political entity and several 

response agencies. Coordination and supervision of all services will be through the 

EOC section chiefs and the EMA Coordinator to provide for the most efficient 

management of resources.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.31

5. During emergency situations, certain agencies will be required to relocate their center of 

control to the EOC. During large scale emergencies, the EOC will become the seat of 

government during the duration of the crisis. However, in some situations it may be 

appropriate for some agencies to operate from an alternate site other than the EOC or 

their primary location.

6. Specific persons and agencies are responsible for fulfilling their obligations as presented 

in the Basic Plan and individual annexes. Department/agency heads will retain control 

over their employees and equipment. Each department/agency shall develop Standard 

Operating Procedures (SOPs) to be followed during response operations.

7. Department/agency heads and other officials legally administering from their office may 

perform their emergency functions(s) on their own initiative if, in their judgment, the 

safety or welfare of citizens of the county are threatened. The EMA Coordinator should 

be notified as rapidly as possible.

8. During an EOC activation, the appropriate emergency services will be represented in the 

EOC and will coordinate their activities under the supervision of the EMA Coordinator. 

EOC procedures are described in Annex 1.

9. Additional information on Direction and Control is found in Annex 1.

B. Crisis Monitoring

1. The Jefferson County EMA is the county’s 24 hour “crisis monitor.” The EMA 

Coordinator provides an ongoing independent analysis of incoming information. As 

emergency situations threaten or occur, the EMA Coordinator may convene a “Crisis 

Action Team (CAT)” to facilitate the process of evaluation and incident planning, and 

possible activation and implementation of emergency functions and resources. The CAT 

will also be used to support “Incident Commanders” in field situations.

2. The CAT is a flexible, supporting/coordinating service that could be one person at home 

facilitating the coordination of personnel and resources to an incident scene or several 

people convening in the EOC or on-scene to assist the ”Incident Commander” as 

needed.

3. Core members of the EMA CAT include Emergency Management Council Chairperson, 

EMA Coordinator, Fire Services Coordinator, Law Enforcement Coordinator, Public 

Works Coordinator, Health Services Coordinator, Legal Services Coordinator, and other 

services coordinators as required. However, any department (division)/agency could be 

called upon to provide a representative to the CAT. Exactly who is called and ultimately 

how many people will serve on the CAT is dependent upon the situation and the 

emergency functions that will be activated.

4. A CAT may be activated in support of an emergency situation within a particular local 

government. Normal local government CAT membership includes the Mayor, County 

EMA Coordinator, Fire Chief, Police Chief, Public Works Director, City Attorney, County 

Health Officer as needed, and any other municipal department as required.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.32

C. Levels of Emergency

1. Localized Emergency. The principal of graduated response will be used in responding 

to localized disasters defined as an incident within a local government. The initial 

response will be from emergency personnel dispatched by normal procedures. Their 

assessment of the situation will determine if additional resources are needed. 

Departments/agencies may be called upon to provide additional resources. Mutual aid 

and the local government CAT Team/EOC may provide additional support if resource 

needs are beyond existing city capability. Activation of the Jefferson County EOC may 

not be necessary during a “localized” emergency.

2. Widespread Disaster. Hurricanes, tornadoes, floods, snow/ice storms are considered 

the most probable widespread disaster which could impact the entire county and 

adjacent areas. It is anticipated that a full activation of the EOC will be required to 

coordinate the county’s response.

3. Graduated Response. Most disasters will require a graduated response involving only 

those persons necessary to handle the situation. For this purpose, four levels of 

response will be used:

a. Level 1 Emergency. A “level 1” emergency is a common emergency situation that 

occurs on a frequent basis. The responsibility for control of the incident rests with 

the responding department.

b. Level 2 Emergency. Should an incident remain unresolved, the emergency status 

will rise to a “level 2” emergency. Level 2 incidents involve routine assistance from 

internal and/or external agencies including mutual aid. Command and control is still 

the responsibility of the primary response department. Notification of the EMA 

Coordinator and Emergency Council is necessary. A CAT Team may be activated 

and/or partial activation of the EOC may occur. The EMA Coordinator or designee 

may go to the Incident Command Post to facilitate response coordination. The State 

EOC is notified, and State assistance may be requested.

c. Level 3 Emergency. Should the incident begin or escalate to a situation where 

nonroutine assistance is required or anticipated, a “level 3” emergency will be 

declared. The EOC will activate at this level. A level 3 could be a major single site 

event or a county-wide event. This level of emergency will be used for all natural, 

manmade, or major technological disasters. The State EOC is notified, 

communication and coordination is maintained. State assistance may be requested.

d. Level 4 Emergency. This level of emergency is used for “catastrophic” statewide or 

regional events. The Jefferson County EOC is fully activated. State and Federal 

assistance will be requested and is required.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.33

D. On-Scene Management/ICS

1. On-scene response to emergencies follows the concept of the Incident Command 

System (ICS).

2. The person in charge at the incident is the on-scene Incident Commander who is 

responsible for ensuring each agency on scene can carry out its responsibilities.

3. Upon arriving at an incident scene, the Incident Commander should:

• Assess the situation and identify hazards.

• Develop objectives (tasks to be done).

• Ensure appropriate safety and personnel protective measures.

• Develop an action plan and priorities.

• In coordination with the EOC, contact appropriate agencies or personnel with 

expertise and capability to carry out the incident action plan.

• Coordinate, as appropriate, with other first responders.

4. When more than one agency is involved at an incident scene, the Incident Command 

Agency and other responding agencies should work together to ensure that each 

agency’s objectives are identified and coordinated.

5. Team problem solving should facilitate effective response. Other agency personnel 

working in support of the Incident Command Agency will maintain their normal chain of 

command, but will be under control of the on-scene Incident Commander.

6. The on-scene Incident Commander may designate an Information Officer to work with 

the news media at an incident. This may include coordinating agency media releases 

and arranging contacts between the media and response agencies. If additional support 

is needed, a Crisis Action Team (CAT) and/or the EOC may be activated.

E. EOC Activation and Staffing

1. The Emergency Operations Center (EOC) is the key to successful response and 

recovery operations. With decision and policymakers located together, personnel and 

resources can be used efficiently. Coordination of activities will ensure that all tasks are 

accomplished, minimizing duplication of efforts.

2. Depending upon the severity and magnitude of the disaster, activation of the EOC may 

not be necessary, may only be partially required, or may require full activation. Partial 

activation would be dictated by the characteristics of the disaster and would involve only 

those persons needing to interact in providing the coordinated response.

3. The EOC may be fully activated by decision of the Crisis Action Team (CAT) or the EMA 

Coordinator. When the decision is made to activate the EOC, the EMA Coordinator will 

notify the appropriate EOC organization staff members to report to the EOC. The EOC 

Management staff will take further action to notify and mobilize the appropriate 

organizations and dispatch centers which they are responsible for coordinating.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.34

4. EOC activation levels will generally follow the “emergency levels” as discussed in 

Section C above.

5. EOC Operations and Staffing. (See Annex 1, Managing Emergency Operations, for 

further information.) Complete details, job descriptions, and checklist of tasks are 

contained in the Emergency Operations Center (EOC) Position Checklists Manual, 

published separately.

F. Controls, Continuity of Operations

1. In an emergency there will be two levels of control. The first level of control will be at the 

scene of the incident. The second level will be at the EOC where overall coordination 

will be exercised.

2. In a single site emergency, the governing body having jurisdiction will respond to the 

scene. The on-scene management will fall under the jurisdiction of the local department 

best qualified to conduct the rescue, recovery, and control operations. The department’s 

senior representative at the scene will become the on-scene commander and will be 

responsible for the overall recovery operations. The field Incident Commanders are 

local officials, usually fire or police officers. The local coordination and commitment 

authority for local resources is retained by the local elected officials, and delegated as 

appropriate.

3. During wide-spread emergencies, decision making authority and control of the 

emergency is retained by the Emergency Management Council through the actions of 

CAT Team or activation of the county EOC.

4. The county EOC, once activated, directs and controls a response to an emergency or 

disaster. It is organized and will function according to the National Interagency Incident 

Management System’s (NIIMS) Incident Command System (ICS) principles.

5. EOC Incident Command (EOC Incident Manager position) will normally be vested in the 

department deciding to activate the EOC to support their emergency response activities, 

unless otherwise specified by the Emergency Management Council, who will be notified 

and briefed by the EMA Coordinator as soon as possible. Consistent with the modular 

component of National Interagency Incident Management System’s (NIIMS) Incident 

Command System (ICS), the EOC may be partially activated to coordinate support for 

an on-scene incident commander, without activating the full emergency organization.

6. During the effective period of any declared emergency, the EMA Coordinator through the 

EOC Incident Manager directs and controls all emergency response activities and 

employs all necessary emergency resources according to the provisions of this plan.

7. To ensure a line of succession, each department/agency is directed to assign 3 or more 

alternates for each key emergency position. Lines of succession shall be provided to 

the EMA Coordinator.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.35

G. Facilities

1. Emergency Operations Center

a. The county EOC is located underneath the parking deck adjacent to Birmingham 

City Hall.

b. Each jurisdiction is encouraged to establish an on-scene command post. These 

facilities will link to the county EOC via radio or telephone.

2. Department/Agency Operating Locations

a. Each department/agency is directed to establish a primary location and alternate 

location from which to establish direction and control of its respective activities in an 

emergency or disaster. This may be from the EOC, or other location, depending 

upon the circumstances.

3. Communications (Also see Annex 5, Communication Systems)

a. Most departments/agencies involved in disaster operations will maintain operations 

or dispatch centers that will control the operations of the emergency forces under 

their control.

b. Any department/agency operating from another location will maintain contact with 

the EOC through direct redundant communication, such as telephone and radio.

c. All departments/agencies are responsible to ensure that communication systems are 

in place between EOC representatives and their department/agency.

d. Each department/agency will bring to the EOC their own portable radio, charger, 

spare batteries, and cellular telephones. Additional communications equipment will 

be provided at the EOC.

H. Military Support

Military support to Jefferson County will be requested through the AEMA. Once assigned, 

resources shall be coordinated by the county EOC.

I. Continuity of Government

1. Succession of Authority (Alabama Code 29-3-15/16)

a. A community’s ability to respond to an emergency must not be restrained by the 

absence of an elected official or key department head. Therefore, to ensure 

continuity of government, each local government in the county will develop a 

Continuity of Government Succession List. This list will name who will be the 

decision maker if an elected official or department head is not available. At least two 

people should be listed and prioritized for each key position.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.36

b. The line of succession for the County Commission is from the President to the 

members of the Commission in order of their seniority on the Commission.

c. The City Councils will determine the line of succession to the Mayors.

d. The senior EMA officer will succeed the EMA Coordinator followed by officers in 

order of their seniority.

e. Lines of succession to each department head will be determined by the appropriate 

county or city governing body or by the department’s Standard Operating 

Procedures.

2. Preservation of Records

All departments/agencies will develop SOPs to guarantee the preservation of vital public 

records, to include their reconstitution if necessary, during and after emergencies. In 

general, vital public records include those considered absolutely essential to the 

continued operation of local government; considered absolutely essential to the local 

government’s ability to fulfill its responsibilities to the public; required to protect the rights 

of individuals and the local government; and essential to restoration of life support 

services. Documentation of actions taken during an emergency or disaster is a legal 

requirement.

J. Plan Maintenance

1. If a plan is to be effective, its contents must be known and understood by those who are 

responsible for its implementation. The EMA Coordinator will brief the appropriate 

officials concerning their roles in emergency management and this plan in particular.

2. All agencies will be responsible for developing and maintaining their respective 

segments of the plan. The EMA Coordinator will be responsible for ensuring all officials 

involved in this plan conduct an annual review of the plan.

3. The EMA ensures that necessary changes and revisions to the plan are prepared, 

coordinated, published, and distributed. The plan will undergo revision whenever:

• It fails during emergency.

• Exercises, drills reveal deficiencies or “shortfalls.”

• City or county government structure changes.

• Community situations change.

• State requirements change.

• Any other condition occurs that causes conditions to change.

4. EMA will maintain a list of individuals and organizations which have controlled copies of 

the plan. Only those with controlled copies will automatically be provided updates and 

revisions. Plan holders are expected to post and record these changes. Revised copies 

will be dated and marked to show where changes have been made.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.37

5. The plan shall be activated at least once a year in the form of a simulated emergency to 

provide practical controlled operational experience to those individuals who have EOC 

responsibilities. Response to radiological and hazardous materials incidents must be 

exercised at least once a year.

6. The Title III, Local Emergency Planning Committee, as a State Advisory Agency, will 

review applicable portions of this plan.
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.38

Jefferson County, Alabama

Comprehensive Emergency Management Plan

Section 1: Basic Plan

VI. Attachments

This section of the Basic Plan contains the following information:

Attachment A. Primary/Support Matrix
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.39

Attachment A. Primary/Support Matrix

Annexes

Agencies/

Departments

Managing Emergency OperationsSituation ReportingDamage AssessmentAlert, Warning, NotificationEmergency Public InformationCommunication SystemsResource ManagementHuman ResourcesSearch & RescuePublic WorksPublic Health ServicesAnimal ConsiderationsFire ServicesEmergency Medical ServicesLaw Enforcement ServicesCoroner/Medical ExaminerPopulation RelocationTransportationHuman ServicesDonated Goods & ServicesEmergency Fiscal & Administrative

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Ambulance Service S S S S S S S S S S

American Red Cross S S S S S S S S S S S S S P S

Birmingham 

Communications Dept.

S S S S S S S

Birmingham Equipment 

Management

S S S S S S S S

BREMSS S S S S S S S S

Building Inspection Services S S S S S S S S

Business & Industry S S S S S S S S S S S S

Campuses, Universities S S S S S S S S

Churches S S S S S S S S

Civil Air Patrol S S S S S S S S

Community Service 

Organizations

S S S S S S S S

Data Processing S S S S S S S

Department of Human 

Resources

S S S S S S S S P S

Emergency Management 

Council

P S S S S S S

Finance S S S S S S S

Fire Services S S S S S S S S S P P S S S S

Funeral Directors; 

Associations

S S S S S S S S

Greater Birmingham 

Humane Society

S S S S S S S P S

Hospitals S S S S S S S S S

Jefferson County 

Communications

S S S S S S S

Jefferson County 

Coroner/Medical 

Examiner’s Office

S S S S S S P S

P = Primary Agency

S = Support Agency
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.40

Attachment A. Primary/Support Matrix (Continued)

Annexes

Agencies/

Departments

Managing Emergency OperationsSituation ReportingDamage AssessmentAlert, Warning, NotificationEmergency Public InformationCommunication SystemsResource ManagementHuman ResourcesSearch & RescuePublic WorksPublic Health ServicesAnimal ConsiderationsFire ServicesEmergency Medical ServicesLaw Enforcement ServicesCoroner/Medical ExaminerPopulation RelocationTransportationHuman ServicesDonated Goods & ServicesEmergency Fiscal & Administrative

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21

Jefferson County 

Department of Health

S S S S S S P S S

Jefferson County 

Emergency Management 

Department

P P P P P P P S P S S S S S S S P P S P P

Jefferson County Fleet 

Services

S S S S S S S S

Jefferson County General 

Services

S S S S S S S S

Law Enforcement S S S S S S S P S S S P S P S S

Management Information 

Services

S S S S S S S S S

Media S S S S S S S S

Metro Area Express S S S S S S S P S S

Metro Humane Shelter 

(Note: Name will Change)

S S S S S S S P S

National Guard S S S S S S S S

Parks & Recreation S S S S S S P S S S

Personnel Board S S S S S S S S S

Public (General) S S S S S S S

Purchasing Department S S S S S S S

Public Works S S S S S S S P S S S S S S

RACES S S S S S S S S S

Risk Management S S S S S S S

Salvation Army S S S S S S S S S S

Schools (Districts) S S S S S S S S P S S

Tax Assessor S S S S S S S

Utilities S S S S S S S S S

Veterinarians S S S S S S S S S S

Volunteer Organizations S S S S S S S S S S

P = Primary Agency

S = Support Agency
Appendix B: Job Aids
APPENDIX B: JOB AIDS

Emergency Planning Page B.1

Job Aid 2.1: Planning Team Participants

Individuals/Organizations What They Bring to the Planning Team

Senior Official (elected or appointed) 

or designee

• Support for the homeland security planning process

• Government intent by identifying planning goals and 

essential tasks

• Policy guidance and decisionmaking capability 

• Authority to commit the jurisdiction’s resources

Emergency Manager or designee • Knowledge about all-hazards planning techniques 

• Knowledge about the interaction of the tactical, 

operational, and strategic response levels 

• Knowledge about the prevention, protection, 

mitigation, response, and recovery strategies for the 

jurisdiction 

• Knowledge about existing mitigation, emergency, 

continuity, and recovery plans 

EMS Director or designee • Knowledge about emergency medical treatment 

requirements for a variety of situations 

• Knowledge about treatment facility capabilities 

• Specialized personnel and equipment resources 

• Knowledge about how EMS interacts with the 

Emergency Operations Center and incident 

command 

Fire Chief or designee • Knowledge about fire department procedures, onscene safety requirements, hazardous materials 

response requirements, and search-and-rescue 

techniques

• Knowledge about the jurisdiction’s fire-related risks 

• Specialized personnel and equipment resources 

Police Chief or designee • Knowledge about police department procedures; onscene safety requirements; local laws and 

ordinances; explosive ordnance disposal methods; 

and specialized response requirements, such as 

perimeter control and evacuation procedures 

• Knowledge about the prevention and protection 

strategies for the jurisdiction 

• Knowledge about fusion centers and intelligence and 

security strategies for the jurisdiction 

• Specialized personnel and equipment resources 

Public Works Director or designee • Knowledge about the jurisdiction’s road and utility 

infrastructure

• Specialized personnel and equipment resources
APPENDIX B: JOB AIDS

Emergency Planning Page B.2

Job Aid 2.1: Planning Team Participants (Continued)

Individuals/Organizations What They Bring to the Planning Team

Public Health Officer or designee • Records of morbidity and mortality

• Knowledge about the jurisdiction’s surge capacity 

• Understanding of the special medical needs of the 

community

• Knowledge about historic infectious disease and 

syndromic surveillance 

• Knowledge about infectious disease sampling 

procedures

Hazardous Materials Coordinator • Knowledge about hazardous materials that are 

produced, stored, or transported in or through the 

community 

• Knowledge about U.S. Environmental Protection 

Agency (EPA), Occupational Safety and Health 

Administration (OSHA), and U.S. Department of 

Transportation (DOT) requirements for producing, 

storing, and transporting hazardous materials and 

responding to hazardous materials incidents

Hazard Mitigation Specialist • Knowledge about all-hazards planning techniques 

• Knowledge of current and proposed mitigation 

strategies 

• Knowledge of available mitigation funding 

• Knowledge of existing mitigation plans 

Transportation Director or designee • Knowledge about the jurisdiction’s road infrastructure 

• Knowledge about the area’s transportation resources 

• Familiarity with the key local transportation providers 

• Specialized personnel resources 

Agriculture Extension Service • Knowledge about the area’s agricultural sector and 

associated risks (e.g., fertilizer storage, hay and 

grain storage, fertilizer and/or excrement runoff) 

School Superintendent or designee • Knowledge about school facilities 

• Knowledge about the hazards that directly affect 

schools 

• Specialized personnel and equipment resources 

(e.g., buses)

Social services agency 

representatives 

• Knowledge about special-needs populations 
APPENDIX B: JOB AIDS

Emergency Planning Page B.3

Job Aid 2.1: Planning Team Participants (Continued)

Individuals/Organizations What They Bring to the Planning Team

Local Federal asset representatives • Knowledge about specialized personnel and 

equipment resources that could be used in an 

emergency 

• Facility security and response plans (to be integrated 

with the jurisdiction’s EOP) 

• Knowledge about potential threats to or hazards at 

Federal facilities (e.g., research laboratories, military 

installations) 

NGOs (includes members of 

National VOAD [Voluntary 

Organizations Active in Disaster]) 

and other private, not-for-profit, 

faith-based, and community 

organizations 

• Knowledge about specialized resources that can be 

brought to bear in an emergency 

• Lists of shelters, feeding centers, and distribution 

centers 

• Knowledge about special-needs populations 

Local business and industry 

representatives 

• Knowledge about hazardous materials that are 

produced, stored, and/or transported in or through 

the community 

• Facility response plans (to be integrated with the 

jurisdiction’s EOP)

• Knowledge about specialized facilities, personnel, 

and equipment resources that could be used in an 

emergency 

Amateur Radio Emergency Service 

(ARES)/Radio Amateur Civil 

Emergency Services (RACES) 

Coordinator 

• List of ARES/RACES resources that can be used in 

an emergency 

Utility representatives • Knowledge about utility infrastructures

• Knowledge about specialized personnel and 

equipment resources that could be used in an 

emergency

Veterinarians/animal shelter 

representatives 

• Knowledge about the special response needs for 

animals, including livestock
APPENDIX B: JOB AIDS

Emergency Planning Page B.4

Job Aid 3.1: Threat Profile Worksheet

Threat Profile Worksheet

Threat:

Potential Consequences:

 Catastrophic (Mass fatalities/casualties, loss of governance and essential services, widespread 

damages)

 Severe (Numerous fatalities/casualties, loss of essential services, and widespread damage)

 Moderate (Limited number of fatalities/casualties and damage to property)

 Minor (Little or no injuries and isolated damage)

Probability of Occurring:

 High

 Medium

 Low

Past History:

Has this type of incident occurred before?

 Yes

 No

If yes, when? _________________

Areas Likely to be Affected Most:

Probable Duration:

Potential Speed of Onset (Probable amount of warning time):

• Minimal (or no) warning

• 6 to 12 hours warning

• 12 to 24 hours warning

• More than 24 hours warning

Existing Warning Systems:

Does a Vulnerability Analysis Exist?*

 Yes

 No

* Developing a Vulnerability Analysis is Step 4 of the threat analysis process.
Appendix C: Acronym List
APPENDIX C: ACRONYM LIST

Emergency Planning Page C.1

Listed below are all of the acronyms that are used in this course.

ARES Amateur Radio Emergency Service

CEO Chief Elected Official

CFR Code of Federal Regulations

CIKR Critical Infrastructure and Key Resources

CPG Comprehensive Preparedness Guide

DEOC Department Emergency Operations Center

DOT Department of Transportation

EMA Emergency Management Agency

EMI Emergency Management Institute

EMS Emergency Medical Services

EOC Emergency Operations Center

EOP Emergency Operations Plan

EPA Environmental Protection Agency

EPI Emergency Public Information

ESF Emergency Support Function

FEMA Federal Emergency Management Agency

FRP Federal Response Plan

HSPD Homeland Security Presidential Directive

ICS Incident Command System

INRP Initial National Response Plan

NGO Nongovernmental Organization

NIC National Integration Center

NIMS National Incident Management Plan

NRF National Response Framework

NWS National Weather Service

OSHA Occupational Safety and Health Administration

PDS Professional Development Series

RACES Radio Amateur Civil Emergency Services

SOP Standard Operating Procedure(s)

US&R Urban Search and Rescue

VOAD Voluntary Organization Active in Disaster

WEM Workshop in Emergency Management