TABLE OF CONTENTS

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 

The Emergency Planning Process.................................................................................2.1 

Who Should Be Involved?..............................................................................................2.2 

How To Get the Team Together ....................................................................................2.5 

How Should the Team Operate?....................................................................................2.6 

Activity: Organizational Roles and Individual Skills.......................................................2.9 

Unit Summary ..............................................................................................................2.10 

For More Information....................................................................................................2.11 

Knowledge Check ........................................................................................................2.12 

Unit 3: Hazard Analysis 

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

The Hazard Analysis Process ........................................................................................3.1 

Step 1: Identifying Hazards ...........................................................................................3.2 

Step 2: Profiling Hazards ..............................................................................................3.3 

Activity: Profiling a Hazard ............................................................................................3.4 

Step 3: Developing a Community Profile.......................................................................3.6 

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

Activity: Prioritizing Risks ............................................................................................3.11 

Step 5: Creating and Applying Scenarios ...................................................................3.12 

Activity: Hazard Analysis.............................................................................................3.13 

Unit Summary ..............................................................................................................3.17 

For More Information....................................................................................................3.18 

Knowledge Check ........................................................................................................3.19 

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 

Emergency Planning Page i 
Unit 5: Annexes and Appendices 

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

Annexes vs. Appendices—What Is the Difference?.......................................................5.1 

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

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

Hazard-Specific Appendices ..........................................................................................5.6 

Annex and/or Appendix Implementing Instructions........................................................5.8 

Activity: Appendix 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 

Hazard Analysis .............................................................................................................7.3

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

Annexes and Appendices ..............................................................................................7.6 

Implementing Instructions ..............................................................................................7.6 

Final Steps .....................................................................................................................7.7 

Appendix A: Sample Plan: Jefferson County 

Appendix B: Job Aids 

Appendix C: Acronym List 
Course Overview
COURSE 

OVERVIEW

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-hazard 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) 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 Avenue 

Emmitsburg, MD 21727 

(301) 447-1200 

Emergency Planning Page 1 
COURSE OVERVIEW

FEMA’s Independent Study Program (Continued) 

Information about FEMA’s Independent Study Program also is available 

on the Internet at: 

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

Each request will be reviewed and directed to the appropriate course 

manager or program office for assistance. 

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, or use the answer sheet (if provided in your course packet). EMI 

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

COURSE 

INTRODUCTION

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), including the planning team and process, hazard analysis, 

and plan format. It 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 how 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 on how to take the course. 

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

emergency planning process, including the key steps involved, and 

the emergency planning team. 

 Unit 3, Hazard Analysis, describes the hazard analysis process and 

explains why conducting a thorough hazard 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. 

Emergency Planning Page 1.1 
UNIT 1: COURSE INTRODUCTION

How to Take This Course (Continued) 

 Unit 5, Annexes and Appendices, introduces functional annexes 

and hazard-specific appendices, including their purposes and the 

differences between annexes and appendices. 

 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. 

Activities

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

that highlight basic concepts. It will also provide you with guidance on 

actions required in specific situations through the use of case studies. 

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 that 

pertain 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 would be to your benefit to be sure 

that you have mastered the current unit before proceeding to the next 

unit. 

Appendices

In addition to the seven units, this course includes appendices. Appendix 

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

4. Appendix B provides Job Aids, Appendix C gives a list of the 

acronyms used in the course. 

Emergency Planning Page 1.2 
UNIT 1: COURSE INTRODUCTION

How to Take This Course (Continued) 

Final Examination

This course includes a written 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, take the final examination online, or 

use the answer sheet (if provided in your course packet). EMI will score 

your test and notify you of the results. 

Sample Learning Schedule

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

entire course⎯including pretest, units, knowledge checks, and the final 

examination⎯in approximately 10 hours. The following learning 

schedule is only an example, intended to show relative times devoted to 

each unit. 

Unit Suggested Time

Unit 1: Course Introduction 

Unit 2: The Planning Process 

Unit 3: Hazard Analysis 

Unit 4: The Basic Plan 

Unit 5: Annexes and Appendices 

Unit 6: Implementing Instructions 

Unit 7: Course Summary 

1

/2 hours

11

/2 hours

2 hours

2 hours

2 hours

3⁄4 hour

11⁄4 hours

Emergency Planning Page 1.3 
UNIT 1: COURSE INTRODUCTION

Case Study 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 Freda slammed into the Carolinas. A category 3 

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

combined with wind speeds of 115 m.p.h., demolished 10,000 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 to move 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, which were operational. 

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 

insufficiently broadcast. 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? 

Emergency Planning Page 1.4 
UNIT 1: COURSE INTRODUCTION

Answers 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. 

Emergency Planning Page 1.5 
UNIT 1: COURSE INTRODUCTION

Course Goals 

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

course will provide you with a foundation of knowledge that will enable 

you to: 

 Answer the question, “Why plan?” 

 Describe the hazard analysis and capability assessment process. 

 Describe the EOP format and content. 

 Identify types of community support. 

 State the rationale for a team approach to planning. 

 Describe and demonstrate EOP coordination and marketing. 

 Relate exercises to the planning process strategies. 

 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 another emergency management professional.

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. 

Emergency Planning Page 1.6 
UNIT 1: COURSE INTRODUCTION

Activity 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. 

Course Goals

1. ______________________________________________________ 

2. ______________________________________________________ 

3. ______________________________________________________ 

Emergency Planning Page 1.7 
UNIT 1: COURSE INTRODUCTION

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. 

 Appendix that contain 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. 

Reference

Library For More Information 

 Guide for All-Hazard Emergency Operations Planning (State and 

Local Guide (SLG) 101): 

www.fema.gov/pte/gaheop.htm

 2001 Washington State Comprehensive Emergency Management 

Planning Guide (Washington Military Department, Emergency 

management Division): 

www.wa.gov/wsem/3-map/a-p/plan-gguide/01-plan-guideidx.htm

 Electronic Journal of Emergency Management (available free online): 

http://members.tripod.com/~Richmond_ESM/index.html

Emergency Planning Page 1.8 
Unit 2: The Planning Process
UNIT 2 

THE PLANNING 

PROCESS

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.

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 four phases of the emergency management cycle 

(mitigation, preparedness, response, and recovery). 

The planning process does have one purpose—the development and 

maintenance of an up-to-date EOP. An EOP can be defined as a 

document describing how citizens and property will be protected in a 

disaster or emergency. 

Although the emergency planning process is cyclical, EOP development 

has a definite starting point. 

There are four steps in the emergency planning process: 

1. Hazard analysis. Hazard analysis is the process by which hazards 

that threaten the community are researched and ranked according to 

the risks they pose and the areas and infrastructure that are 

vulnerable to damage from an event involving the hazards. The 

outcome of this step is a written hazard analysis that quantifies the 

overall risk to the community from each hazard. Hazard analysis will 

be covered in Unit 3.

2. EOP development, including the basic plan, functional annexes, 

hazard-specific appendices, and implementing instructions. The 

outcome of this step is a completed plan, which is ready to be 

trained, exercised, and revised, based on lessons learned from the 

exercises. EOP development will be addressed in Units 4, 5, and 6. 

Emergency Planning Page 2.1 
UNIT 2: THE PLANNING PROCESS

The Emergency Planning Process (Continued) 

3. Testing the plan through training and exercises. Exercises of 

different types and varying complexity allow you to see what in the 

plan is unclear and what does not work. The outcomes of this step 

are lessons learned about weaknesses in the plan that can then be 

addressed in Step 4.

4. Plan maintenance and revision. The outcome of this step is a 

revised EOP, based on current needs and resources (which may 

have changed since the development of the original EOP).

After the EOP is developed, steps 3 and 4 repeat in a continual cycle to 

keep the plan up to date. If you become aware that your community is 

subject to a new hazard (e.g., terrorism), however, the planning team will 

need to revisit steps 1 and 2. 

Although training and exercising and plan revision will be mentioned 

briefly, the scope of this course covers steps 1 and 2. 

Who Should Be Involved? 

Emergency planning is a team effort because disaster response 

potentially 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 your community is 

subject to in Unit 3, Hazard 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. 

Emergency Planning Page 2.2 
UNIT 2: THE PLANNING PROCESS

Who Should Be Involved? (Continued) 

Individuals/Organizations What They Bring to the Planning Team 

Chief Elected Official (CEO) or 

designee 

 Support for the emergency planning process. 

 Policy guidance and decision making capability. 

 Authority to commit the community’s resources. 

Fire Chief or designee  Knowledge of the Incident Command System (ICS). 

 Knowledge of fire department procedures, on-scene 

safety requirements, hazardous materials response 

requirements, and search and rescue techniques. 

 Knowledge of the community’s fire-related risks. 

 Specialized personnel and equipment resources. 

Police Chief or designee  Knowledge of 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. 

 Specialized personnel and equipment resources. 

Public Works Director or designee  Knowledge of the community’s road and utility 

infrastructure. 

 Specialized personnel and equipment resources. 

EMS Director or designee  Knowledge of medical treatment requirements for a variety 

of situations. 

 Knowledge of treatment facility capabilities. 

 Specialized personnel and equipment resources. 

Hazardous Materials Coordinator  Knowledge of hazardous materials that are produced, 

stored, or transported in or through the community. 

 Knowledge of Environmental Protection Agency (EPA), 

Occupational Safety and Health Administration (OSHA), 

and Department of Transportation (DOT) requirements for 

producing, storing, and transporting hazardous materials 

and responding to hazardous materials incidents. 

Mutual Aid Partners  Specialized personnel and equipment resources. 

Health Department Director or designee  Knowledge of community public health capabilities and 

limitations. 

 Familiarity with the key local healthcare providers. 

 Specialized personnel resources. 

Emergency Planning Page 2.3 
UNIT 2: THE PLANNING PROCESS

Who Should Be Involved? (Continued) 

Individuals/Organizations What They Bring to the Planning Team 

DOT Director or designee  Knowledge of the community’s road infrastructure. 

 Knowledge of the area’s transportation resources. 

 Familiarity with the key local transportation providers. 

 Specialized personnel resources. 

Department of Agriculture Director or 

designee 

 Knowledge of the area’s agricultural sector and the 

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

storage, fertilizer and/or excrement runoff). 

Tax Assessor  Records of all property in the community and its value. 

Building Inspector  Knowledge of the types of construction used in the 

community. 

 Knowledge of land use and land use restrictions. 

 Records of planned development. 

School Superintendent or designee  Knowledge of school facilities. 

 Knowledge of the hazards that directly affect the schools. 

 Specialized personnel and equipment resources (e.g., 

buses). 

Voluntary Agency Directors  Knowledge of resources that can be brought to bear in an 

emergency. 

 Lists of shelters, feeding centers, and distribution centers. 

 Volunteer resources. 

Air/Seaport Managers  Knowledge of risks associated with airport or seaport 

operations (e.g., fuel storage). 

 Specialized personnel and equipment resources that 

could be used in an emergency. 

Representatives from local industry  Knowledge of hazardous materials that are produced, 

stored, and/or transported in or through the community. 

 Facility response plans (to be integrated with the 

community’s EOP). 

 Specialized personnel and equipment resources that 

could be used in an emergency. 

Radio Amateur Civil Emergency 

Services (RACES) Coordinator 

 List of RACES resources that can be used in an 

emergency. 

Emergency Planning Page 2.4 
UNIT 2: THE PLANNING PROCESS

Who Should Be Involved? (Continued) 

Individuals/Organizations What They Bring to the Planning Team 

Social Services Agency 

Representatives 

 Knowledge of special needs populations. 

Veterinarians/Animal Shelter 

Representative 

 Knowledge of the special response needs required for 

animals, including livestock. 

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 planning 

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 CEO (or his or her Chief of Staff) 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.

Emergency Planning Page 2.5 
UNIT 2: THE PLANNING PROCESS

How To Get the Team Together (Continued) 

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. 

How Should the Team Operate? 

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. 

Successful collaboration requires: 

 A commitment to participate in shared decision making.

 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 flexibility to agree 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. 

Emergency Planning Page 2.6 
UNIT 2: THE PLANNING PROCESS

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, however, 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.) 

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. 

Emergency Planning Page 2.7 
UNIT 2: THE PLANNING PROCESS

How Should The Team Operate? (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. 

Emergency Planning Page 2.8 
UNIT 2: THE PLANNING PROCESS

Activity 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)? 

Emergency Planning Page 2.9 
UNIT 2: THE PLANNING PROCESS

Unit Summary

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

revision that continues throughout the four phases of the emergency 

management cycle (mitigation, preparedness, response, and recovery). 

One purpose of the planning process is the development and 

maintenance of an up-to-date EOP. The four steps of the planning 

process are: 

1. Hazard Analysis. 

2. EOP Development. 

3. Testing the Plan. 

4. Plan Maintenance and Revision. 

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. 

Emergency Planning Page 2.10 
UNIT 2: THE PLANNING PROCESS

Reference

Library For More Information 

 The Planning Process: The Foundation of Disaster Resistance: 

www.fema.gov/mit364ch4.pdf

 Planning—Making Sense of It All (FEMA’s Planning Resource 

Center): 

www.fema.gov/mit/planresource.htm

Emergency Planning Page 2.11 
UNIT 2: THE PLANNING PROCESS

Check 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 the emergency planning process is __________________. 

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 

Emergency Planning Page 2.12 
UNIT 2: THE PLANNING PROCESS

Answers Knowledge Check (Continued) 

1. Hazard analysis 

2. b 

3. a 

4. d 

5. b 

Emergency Planning Page 2.13 
Unit 3: Hazard Analysis
UNIT 3 

HAZARD 

ANALYSIS

Introduction and Unit Overview

In Unit 2, you learned about the phases of emergency management. But 

how do you know what hazards to mitigate against or prepare for? How 

do you know what hazards your community is likely to respond to? 

In this unit, you will be introduced to tools that can be used to: 

 Identify hazards that threaten your community. 

 Develop hazard profiles. 

 Quantify and prioritize risks. 

The Hazard Analysis Process 

Hazard 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 hazard. 

Emergency Planning Page 3.1 
UNIT 3: HAZARD ANALYSIS

The Hazard Analysis Process (Continued) 

The steps in the hazard analysis process are: 

1. Identify hazards. 

2. Profile each hazard. 

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. 

Step 1: Identifying Hazards 

The first step is to develop a list of hazards that may occur in the 

community. 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. 

There are many potential sources of hazard 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 hazard analysis is as complete as 

possible. 

If your community has an existing hazard 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. 

Emergency Planning Page 3.2 
UNIT 3: HAZARD ANALYSIS

Step 1: Identifying Hazards (Continued) 

Some possible changes within or near the community that could cause 

hazard 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 average temperature or rainfall/snowfall amounts, are 

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

Step 2: Profiling Hazards 

Hazard profiles should address each hazard’s: 

 Magnitude. 

 Duration. 

 Seasonal pattern. 

 Speed of onset. 

The availability of warnings will also become a crucial part of the hazard 

profile. 

Emergency Planning Page 3.3 
UNIT 3: HAZARD ANALYSIS

Activity Activity: Profiling a Hazard 

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

a hazard that could affect your community. To complete this activity, 

think of a hazard that has occurred in the past in your community, or is 

predicted to occur in the future, and write that hazard on the line below.

(Note: Do not limit yourself to natural hazards.) 

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

investigate this hazard. 

2. Complete the hazard profiling activity on the following pages to 

develop a first draft of a hazard profile for the hazard you chose. 

(Note: To complete the profile, you will need to consult your sources 

and gather all needed information on this hazard.) 

Emergency Planning Page 3.4 
UNIT 3: HAZARD ANALYSIS

Activity: Profiling a Hazard (Continued) 

Hazard Profile Worksheet 

Hazard: 

Potential magnitude (Percentage of the community that can be affected): 

Catastrophic: More than 50% 

Critical: 25 to 50% 

Limited: 10 to 25% 

Negligible: Less than 10% 

Frequency of Occurrence: 

 Highly likely: Near 100% probability in next year. 

 Likely: Between 10 and 100% probability in next year, or 

at least one chance in next 10 years. 

 Possible: Between 1 and 10% probability in next year, or 

at least one chance in next 100 years. 

 Unlikely: Less than 1% probability in next 100 years. 

Seasonal Pattern: 

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 F

No F

Note that some hazards may pose such a limited threat to the community that 

additional analysis is not necessary. 

Emergency Planning Page 3.5 
UNIT 3: HAZARD ANALYSIS

Step 3: Developing a Community Profile 

The next step in the hazard analysis process is to combine hazardspecific information with a profile of your community to determine the 

community’s vulnerability to the hazard (or risk of damage from the 

hazard). 

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 hazard analysis, as shown in the table on the next 

page. 

Emergency Planning Page 3.6 
UNIT 3: HAZARD ANALYSIS

Step 3: Developing a Community Profile (Continued) 

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. 

Emergency Planning Page 3.7 
UNIT 3: HAZARD ANALYSIS

Step 4: Determining Vulnerability 

After community and hazard 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 hazard. 

 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). 

Emergency Planning Page 3.8 
UNIT 3: HAZARD ANALYSIS

Step 4: Determining Vulnerability (Continued) 

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 hazard. 

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. 

Emergency Planning Page 3.9 
UNIT 3: HAZARD ANALYSIS

Step 4: Determining Vulnerability (Continued) 

Next, develop a risk index for each hazard 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 hazard 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 hazard. 

Emergency Planning Page 3.10 
UNIT 3: HAZARD ANALYSIS

Activity Activity: Prioritizing Risks 

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

for the hazard you identified earlier in this unit. To complete this activity, 

assign a severity level to each type of hazard 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 hazards on one or two pages. 

Emergency Planning Page 3.11 
UNIT 3: HAZARD ANALYSIS

Step 5: Creating and Applying Scenarios

The final step in the hazard analysis process is to develop scenarios for 

the top-ranked hazards (or those that rank above a specified threshold) 

that lay out the hazard’s development into an emergency. Scenarios 

should be realistic and based on the community’s hazard 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 hazard event occur. 

Emergency Planning Page 3.12 
UNIT 3: HAZARD ANALYSIS

Activity Activity: Hazard Analysis 

Follow the steps below to complete this activity. 

1. Select a hazard common to your area. 

2. Select a spokesperson to report your group’s responses to the class. Be 

sure to give the rationale for your group’s responses where appropriate. 

Emergency Planning Page 3.13 
UNIT 3: HAZARD ANALYSIS

Activity: Hazard Analysis (Continued) 

Hazard Profile Worksheet 

Hazard: 

Potential magnitude (Percentage of the community that can be affected): 

Catastrophic: More than 50% 

Critical: 25 to 50% 

Limited: 10 to 25% 

Negligible: Less than 10% 

Frequency of Occurrence: 

 Highly likely: Near 100% probability in next year. 

 Likely: Between 10 and 100% probability in next year, or 

at least one chance in next 10 years. 

 Possible: Between 1 and 10% probability in next year, or 

at least one chance in next 100 years. 

 Unlikely: Less than 1% probability in next 100 years. 

Seasonal Pattern: 

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 F

No F

Emergency Planning Page 3.14 
UNIT 3: HAZARD ANALYSIS

Activity: Hazard Analysis (Continued) 

2. 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: 

 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:

Emergency Planning Page 3.15 
UNIT 3: HAZARD ANALYSIS

Activity: Hazard Analysis (Continued) 

3. 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 hazard data for the particular hazard event assigned to your group: (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 hazard event. 

Emergency Planning Page 3.16 
UNIT 3: HAZARD ANALYSIS

Unit Summary

Hazard 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 hazard. 

There are 5 steps in the hazard analysis process: 

1. Identify hazards. 

2. Profile each hazard. 

3. Develop a community profile. 

4. Determine vulnerability. 

5. Create and apply scenarios. 

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

your community, the likelihood and severity of specific hazards, and 

community vulnerability to various hazards. Unit 4 will discuss the 

components of a basic EOP. 

Emergency Planning Page 3.17 
UNIT 3: HAZARD ANALYSIS

Reference

Library For More Information 

 HAZUS: National Hazard Loss Estimating Methodology: 

http://www.fema.gov/hazus/fl_main.htm

 Flood Hazard Mapping Hazard Analysis Tools (list of commercially 

available tools): 

http://www.feam.gov/mit/tsd/en_coast.htm

 Understanding Your Risks: Identifying Hazards and Estimating 

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

a risk assessment: 

www.fema.gov/mit/planning_toc3.htm

 The Natural Hazards Center, University of Colorado, Boulder. 

Continuously updated comprehensive list of links related to natural 

hazards: 

www.colorado.edu/hazards

Emergency Planning Page 3.18 
UNIT 3: HAZARD ANALYSIS

Check 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 hazard analysis is to: 

a. Divide the community into emergency management sectors. 

b. Create scenarios to test response capabilities. 

c. Develop a list of hazards that may occur in the community. 

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

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. Hazard profiles should address each hazard’s: 

a. Sector population. 

b. Quantification of risk. 

c. Seasonal pattern. 

d. Event severity. 

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

facilities and structures in the community. 

a. True 

b. False 

Emergency Planning Page 3.19 
UNIT 3: HAZARD ANALYSIS

Answers Knowledge Check (Continued) 

1. c 

2. d 

3. b 

4. c 

5. a 

Emergency Planning Page 3.20 
Unit 4: The Basic Plan
UNIT 4 

THE BASIC PLAN

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 

preparedness and response and address mitigation concerns as well. 

 All-hazard 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. 

Emergency Planning Page 4.1 
UNIT 4: THE BASIC PLAN

Components of a Basic Plan (Continued) 

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. 

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 appendices that provide additional information 

specific to a particular hazard. 

(Annexes and appendices 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. 

Emergency Planning Page 4.2 
UNIT 4: THE BASIC PLAN

Components of a Basic Plan (Continued) 

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: 

 Introduction. The introductory material consists of the following 

elements: 

• Promulgation document. The Promulgation 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. 

• Signature page, which is signed by all partner organizations, 

demonstrating their commitment to EOP implementation. 

• Dated title page and record of changes (date, description, and 

affected parts) to the EOP. 

• Record of distribution, which lists EOP recipients, facilitating and 

giving evidence of EOP distribution. (EOP copies should be 

numbered and recorded.) 

• Table of contents. 

 Purpose Statement, which includes:

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

• A synopsis of the EOP, annexes, and appendices. 

The Purpose Statement need not be complex but should include enough 

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

The Signature Page is signed by the Chief Elected Official (CEO) and the 

heads of each department, agency, or organization with responsibilities 

under the plan. The Signature Page: 

 Demonstrates knowledge of and commitment to the EOP and its 

implementation. 

 Provides accountability to the public for the response actions 

described in the plan. 

Emergency Planning Page 4.3 
UNIT 4: THE BASIC PLAN

Components of a Basic Plan (Continued) 

 Situation and Assumptions. The Situation characterizes the planning 

environment, making clear why emergency operations planning is 

necessary. It draws from the hazard 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 populations

• Interjurisdictional relationships

• Maps

The Assumptions statement delineates what was assumed to be true 

when the EOP was developed. The Assumptions statement shows 

the limits of the EOP, 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. 

 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). 

Emergency Planning Page 4.4 
UNIT 4: THE BASIC PLAN

Components of a Basic Plan (Continued) 

The Organization and Assignment of Responsibilities section 

specifies reporting relationships and lines of authority for an 

emergency response. 

 Administration and Logistics. This section includes: 

• Assumed resource needs for high-risk hazards. 

• Resource availability. 

• Mutual aid 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, appendices, 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). 

Emergency Planning Page 4.5 
UNIT 4: THE BASIC PLAN

Activity Activity: Basic Plan Review

This activity will give you the opportunity to review an EOP. You will find 

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

Emergency Management Plan, in Appendix A. 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 

Emergency Planning Page 4.6 
UNIT 4: THE BASIC PLAN

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 One Emergency 

B. Level Two Emergency 

C. Level Three Emergency 

D. Level Four 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 _______________________ 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 11, Health Services 

c. Annex 15, Law Enforcement Services 

d. Annex 13, Fire Services 

e. Annex 10, Public Works 

Emergency Planning Page 4.7 
UNIT 4: THE BASIC PLAN

Answers Activity: Basic Plan Review (Continued) 

Suggested Answers: 

1. a 

2. a, d, and e 

3. EMA Coordinator 

4. b 

5. c, a, d, b 

6. On-scene command post 

7. 7. a, b, e 

Emergency Planning Page 4.8 
UNIT 4: THE BASIC PLAN

Activity 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 hazards are addressed by the plan? 

4. Who has the authority to activate part or all of the plan? 

Emergency Planning Page 4.9 
UNIT 4: THE BASIC PLAN

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

5. With what jurisdictions does your community have mutual aid 

agreements? 

6. When was the last time that the plan was revised? 

Emergency Planning Page 4.10 
UNIT 4: THE BASIC PLAN

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-hazard. 

 Risk-based. 

The components of the basic plan include: 

 The Introduction. 

 The Purpose Statement. 

 Situation and Assumptions. 

 The Concept of Operations. 

 The Organization and Assignment of Responsibilities. 

 Administration 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 annexes and 

hazard-specific appendices to the EOP. 

Emergency Planning Page 4.11 
UNIT 4: THE BASIC PLAN

Check 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 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 

Emergency Planning Page 4.12 
UNIT 4: THE BASIC PLAN

Answers Knowledge Check (Continued) 

1. b 

2. Organization and Assignment of Responsibilities 

3. a 

4. a 

5. d 

Emergency Planning Page 4.13 
Unit 5: Annexes and 

Appendices
UNIT 5 

ANNEXES AND 

APPENDICES

Introduction and Unit Overview

This unit will introduce functional annexes and hazard-specific 

appendices. After you complete this unit, you should be able to: 

 Describe the difference between an annex and an appendix.

 List the eight functional annexes recommended for inclusion in every 

EOP.

 Identify factors for deciding whether to develop an annex or an 

appendix.

 Describe the basic structure for annexes and appendices.

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

accompany annexes or appendices.

Annexes vs. Appendices—What Is the Difference? 

How do you know whether to develop an annex or appendix to your 

community’s EOP? The first step is to understand the difference between 

an annex and an appendix. Annexes and appendices are different in 

content and address different topics. 

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

any emergency, such as warning or resource management. 

An appendix is a supplement to an annex that adds information about 

how to carry out the function in the face of a specific hazard. Thus every 

annex may have several appendices, each addressing a particular 

hazard. Which hazard-specific appendices are included depends on the 

community’s hazard analysis. For example, a community in California 

would probably include earthquake appendices in its EOP; a community 

in Florida would probably include hurricane appendices; and a community 

in the Midwest would undoubtedly include appendices that address 

tornadoes. The decision about whether to develop an appendix rests 

with the planning team. 

In general, the organization of annexes and appendices 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. 

Emergency Planning Page 5.1 
UNIT 5: ANNEXES AND APPENDICES

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 hazard 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. There are, however, eight core 

functions that typically are addressed in annexes in every EOP: 

 The Direction and Control 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 Communications Annex provides detailed focus on the total 

communications system and how it will be used.

 The 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 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.

 The Evacuation Annex describes the provisions that have been 

made to ensure the safe and orderly evacuation of people threatened 

by the hazards the jurisdiction faces. 

Emergency Planning Page 5.2 
UNIT 5: ANNEXES AND APPENDICES

Functional Annexes (Continued) 

 The Mass Care 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 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. 

Emergency Planning Page 5.3 
UNIT 5: ANNEXES AND APPENDICES

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 and Control Annex? 

 Yes 

 No 

Communications Annex? 

 Yes 

 No 

Warning Annex? 

 Yes 

 No 

Emergency Public Information (EPI) Annex? 

 Yes

 No

Evacuation Annex? 

 Yes 

 No 

Mass Care Annex? 

 Yes 

 No 

Activit

Emergency Planning Page 5.4 
UNIT 5: ANNEXES AND APPENDICES

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

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 hazard analysis that you gained in Unit 3, 

what, if any, additional annexes should your EOP contain?

4. What hazards are addressed by the plan? 

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

Emergency Planning Page 5.5 
UNIT 5: ANNEXES AND APPENDICES

Hazard-Specific Appendices 

Hazard-specific appendices are attached to each functional annex to 

specify how that function should be carried out in the face of a particular 

hazard. Topics addressed in hazard-specific appendices include: 

 Special planning requirements. 

 Priorities identified through hazard analysis. 

 Unique characteristics of the hazard requiring special attention. 

 Special regulatory considerations. 

The table below and on the following page suggests appendix topics for 

each functional annex. 

Annex Appendix Topics

Direction and 

Control 

 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 clean-up 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. 

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. 

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.

Emergency Planning Page 5.6 
UNIT 5: ANNEXES AND APPENDICES

Hazard-Specific Appendices (Continued) 

Annex Appendix Topics

Evacuation  Evacuation 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  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.

Emergency Planning Page 5.7 
UNIT 5: ANNEXES AND APPENDICES

Annex and/or Appendix Implementing Instructions 

Each annex or appendix (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, annex, or appendix. 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, maps may also be included in 

the hazard-specific appendices to the Evacuation Annex. 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 

Organization and Assignment of Responsibilities Annex (e.g., a matrix of 

position responsibilities). 

 

Emergency Planning Page 5.8 
UNIT 5: ANNEXES AND APPENDICES

Activity: Appendix Review

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

an appendix to one of your EOP’s functional annexes and use the 

checklist below to review it for completeness. 

If your plan contains no appendices, choose a functional annex and use 

the checklist to complete a preliminary outline of an appendix that would 

specify how the annex’s function should be carried out. 

Annex ______________________Appendix_____________________ 

Does this appendix 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 the annex?

Does this appendix: 

 Pertain to the annex to which it is appended?

 Provide an appropriate supplement to the annex?

 Avoid duplication of information in the annex?

 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 appendix 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 

appendix more effective? 

Activit

Emergency Planning Page 5.9 
UNIT 5: ANNEXES AND APPENDICES

Unit Summary

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

any emergency. There are eight core functions that typically are 

addressed in annexes in every EOP: 

 Direction and Control 

 Communications 

 Warning 

 Emergency Public Information (EPI) 

 Evacuation 

 Mass Care 

 Health and Medical Services 

 Resource Management 

An appendix is a supplement to an annex that adds information about 

how to carry out the function in the face of a specific hazard. Thus, every 

annex may have several appendices, each addressing a particular 

hazard. 

Each annex or appendix (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 assure the inclusion in their EOP 

of the functional annexes and hazard-specific appendices 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. 

Emergency Planning Page 5.10 
UNIT 5: ANNEXES AND APPENDICES

Check 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. An _________ describes a particular disaster response function. 

a. Annex 

b. Appendix 

2. An annex is attached to an appendix. 

a. True 

b. False 

3. Which of the following is not one of the eight functional annexes that should be included in 

every EOP? 

a. Direction and Control 

b. Communications 

c. Aviation Operations 

d. Warning 

4. Which of the following is not a type of supporting document? 

a. Map 

b. Recordkeeping form 

c. Checklist 

d. References 

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

a. Annex. 

b. Appendix. 

Emergency Planning Page 5.11 
UNIT 5: ANNEXES AND APPENDICES

Answers Knowledge Check (Continued) 

1. a 

2. b 

3. c 

4. d 

5. b 

Emergency Planning Page 5.12 
Unit 6: Implementing 

Instructions
UNIT 6 

IMPLEMENTING 

INSTRUCTIONS

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. 

Emergency Planning Page 6.1 
UNIT 6: IMPLEMENTING INSTRUCTIONS

What Are Implementing Instructions? (Continued) 

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 are 

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. 

Emergency Planning Page 6.2 
UNIT 6: IMPLEMENTING INSTRUCTIONS

What Are Implementing Instructions? (Continued) 

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 for 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. 

 Dos 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. 

Emergency Planning Page 6.3 
UNIT 6: IMPLEMENTING INSTRUCTIONS

What Are Implementing Instructions? (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. 

Emergency Planning Page 6.4 
UNIT 6: IMPLEMENTING INSTRUCTIONS

What Are Implementing Instructions? (Continued) 

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. 

Emergency Planning Page 6.5 
UNIT 6: IMPLEMENTING INSTRUCTIONS

Activity 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 

Emergency Planning Page 6.6 
UNIT 6: IMPLEMENTING INSTRUCTIONS

Answers Activity: Which Type Is Best? (Continued) 

1. c 

2. d 

3. a 

4. f 

5. b 

6. e 

Emergency Planning Page 6.7 
UNIT 6: IMPLEMENTING INSTRUCTIONS

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. 

Emergency Planning Page 6.8 
UNIT 6: IMPLEMENTING INSTRUCTIONS

Activity 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? 

Emergency Planning Page 6.9 
UNIT 6: IMPLEMENTING INSTRUCTIONS

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. 

Emergency Planning Page 6.10 
UNIT 6: IMPLEMENTING INSTRUCTIONS

Check 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. 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 

Emergency Planning Page 6.11 
UNIT 6: IMPLEMENTING INSTRUCTIONS

Answers Knowledge Check (Continued) 

1. a 

2. b 

3. Information card 

4. c 

5. b 

Emergency Planning Page 6.12 
Unit 7: Course Summary
UNIT 7 

COURSE 

SUMMARY

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 four phases of the 

emergency management cycle: Mitigation, preparedness, 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 four steps in the emergency planning process: 

1. Hazard analysis, or the process by which hazards that threaten the 

community are researched and ranked according to the risks that 

they pose and the areas of vulnerability in the community. 

2. EOP development, including the basic plan, functional annexes, 

hazard-specific appendices, and implementing instructions. 

3. Testing the plan through training and exercises to gain lessons 

learned about weaknesses in the plan. 

4. Plan maintenance and revision, based on needs and resources 

that may have changed since the development of the original EOP. 

Emergency planning necessitates a coordinated team effort involving 

different levels of government and many community agencies and 

organizations. 

Emergency Planning Page 7.1 
UNIT 7: COURSE SUMMARY

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. 

Emergency Planning Page 7.2 
UNIT 7: COURSE SUMMARY

Hazard Analysis 

Hazards are conditions or situations that have the potential for causing 

harm to people or property. 

Hazard 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 hazard. 

The steps in the hazard analysis process are: 

1. Identify hazards. Develop a list of hazards that may occur in the 

community based on historical data about past events. If your 

community has an existing hazard analysis, review it and identify any 

changes that have occurred since it was developed. 

2. Profile hazards, considering the duration, seasonal pattern, and 

speed of onset. A crucial part of the hazard 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 hazards that present the highest 

risk. 

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

risk data. 

Emergency Planning Page 7.3 
UNIT 7: COURSE SUMMARY

Hazard 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 hazard. 

 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 hazard 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. 

Emergency Planning Page 7.4 
UNIT 7: COURSE SUMMARY

The Basic Plan 

The format of the EOP includes three parts: 

 The basic plan. 

 Functional annexes. 

 Hazard-specific appendices. 

The recommended format for the basic plan includes the following 

components: 

 Introduction, which includes: 

• The Promulgation document, signed by the jurisdiction’s CEO. 

• Signature page, signed by all response organizations. 

• Dated title page and 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. 

 Situation and Assumptions. The Situation characterizes the 

community, including hazards and populations. The Assumptions 

Statement 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). 

 Administration 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. 

Emergency Planning Page 7.5 
UNIT 7: COURSE SUMMARY

Annexes and Appendices 

Annexes and appendices are different in content and address different 

topics. 

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

any emergency, such as communications or evacuation. 

An appendix is a supplement to an annex that adds information about 

how to carry out the function in the face of a specific hazard. Thus, every 

annex may have several appendices, each addressing a particular 

hazard. Which hazard-specific appendices are included depends on the 

community’s hazard analysis. 

Both annexes and appendices are organized in similar fashion to the 

basic plan. 

There are eight functions that typically are addressed in annexes in every 

EOP (one function per annex): 

 Direction and Control 

 Communications 

 Warning 

 Emergency Public Information 

 Evacuation 

 Mass Care 

 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). 

Hazard-specific appendices are attached to each functional annex to 

specify how that function should be carried out in the face of a particular 

hazard. Topics addressed in hazard-specific appendices include special 

regulatory considerations, planning requirements, priorities, and unique 

hazard characteristics that require special planning. 

In addition, each annex or appendix 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). 

Emergency Planning Page 7.6 
UNIT 7: COURSE SUMMARY

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. 

Final Steps 

You have now completed IS 235 and should be ready to take the final 

exam. 

Complete the final exam in the back of the book by marking the correct 

responses. 

To submit the final exam online, go to http://training.fema.gov/EMIWeb/IS

and click on the courses link. Click on the title for this course, and scroll 

down the course description page to locate the final exam link. After you 

have selected the final exam link and the online answer sheet is open, 

transfer your answers, and complete the personal identification data 

requested. 

To submit the final exam by mail using the standard answer sheet, follow 

the instructions printed on the form. 

Emergency Planning Page 7.7 
Appendix A: Sample Plan: 

Jefferson County
APPENDIX A 

SAMPLE PLAN: 

JEFFERSON 

COUNTY

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. 

Emergency Planning Page A.1 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Record Of Changes 

Nature of 

Change Date of Change Page(s) Affected Changes Made by (Signature) 

Emergency Planning Page A.2 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. The schedule of 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 the “Basic Plan,” Section 1. Take note of your department’s/agencies’ general 

responsibilities contained within the “Basic Plan.” 

2. Look at the “Primary/Support Matrix” appended to the Basic Plan (Section 1: VI. 

Attachments-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 Section 1: II Organization and Responsibilities 

Part B of the Basic Plan 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 and support to this function. The 

county, State, and Federal agencies, who would provided 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 Tactics

The Jefferson County CEMP Is

The Document Used To

Develop Department/Agency

SOPs

Jefferson

County

CEMP

Strategy

Jefferson

County

CEMP

Strategy

Contents:

ws

Authorities

Policies

Responsibilities

Tasks

Functional Annexes

General Guidance Only:

Who

What

When

Where

How

La

Emergency Planning Page A.3 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Emergency Planning Page A.4 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.5 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

 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. 

Emergency Planning Page A.6 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. Federal Response Plan, 1992 

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. 

Emergency Planning Page A.7 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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 that 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. 

Emergency Planning Page A.8 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.9 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.10 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.11 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

 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: 

z Suspend or curtail normal business activities. 

z Recall essential off-duty employees. 

z Send nonessential employees home. 

z 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. 

z 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. 

Emergency Planning Page A.12 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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, 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. 

Emergency Planning Page A.13 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.14 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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 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 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. 

Emergency Planning Page A.15 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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, 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. 

Emergency Planning Page A.16 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.17 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

 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. 

 Through the EOC, manage and coordinate volunteers and donations. 

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. 

Emergency Planning Page A.18 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.19 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.20 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 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. 

Emergency Planning Page A.21 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

nn. 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 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. 

Emergency Planning Page A.22 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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 units 

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. 

Emergency Planning Page A.23 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

5. Federal Government 

The Federal Response Plan (FRP) 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. 

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. 

Emergency Planning Page A.24 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Jefferson County, Alabama 

Comprehensive Emergency Management Plan

Section 1: Basic Plan 

III. Concept of Operations

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. 

Emergency Planning Page A.25 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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 Federal Response Plan 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. 

Emergency Planning Page A.26 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.27 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.28 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.29 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.30 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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 One Emergency. A “level one” 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 Two Emergency. Should an incident remain unresolved, the emergency 

status will rise to a “level two” emergency. Level two 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 Three Emergency. Should the incident begin or escalate to a situation where 

nonroutine assistance is required or anticipated, a “level three” emergency will be 

declared. The EOC will activate at this level. A level three 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 Four 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. 

Emergency Planning Page A.31 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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 policy makers 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. 

Emergency Planning Page A.32 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.33 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.34 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.35 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

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. 

Emergency Planning Page A.36 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

This section of the Basic Plan contains the following information: 

A. Primary/Support Matrix 

B. Glossary of Terms, Abbreviations and Acronyms 

Emergency Planning Page A.37 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

A. Primary/Matrix 

Managing Emergency Operations Situation Reporting Damage Assessment Alert, Warning, Notification Emergency Public Information Communication Systems Resource Management Human Resources Search & Rescue Public Works Public Health Services Animal Considerations Fire Services Emergency Medical Services Law Enforcement Services Coroner/Medical ExaminerPopulation Relocation Transportation Human Services Donated Goods & Services Emergency Fiscal & Administrative 

Agencies, 

Departments 

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 

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 

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 

Emergency Planning Page A.38 
APPENDIX A: SAMPLE PLAN: JEFFERSON COUNTY

Support Matrix 

Managing Emergency Operations Situation Reporting Damage Assessment Alert, Warning, Notification Emergency Public Information Communication Systems Resource Management Human Resources Search & Rescue Public Works Public Health Services Animal Considerations Fire Services Emergency Medical Services Law Enforcement Services Coroner/Medical ExaminerPopulation Relocation Transportation Human Services Donated Goods & Services Emergency Fiscal & Administrative 

Agencies, 

Departments 

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 

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 

Red Cross S S S S S S S S S S S S S P 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 

Emergency Planning Page A.39 
Appendix B: Job Aids
APPENDIX B 

JOB AIDS

Job Aid 2.1: Planning Team Participants 

Individuals/Organizations What They Bring to the Planning Team 

Chief Elected Official (CEO) or 

designee 

 Support for the emergency planning process. 

 Policy guidance and decision making capability. 

 Authority to commit the community’s resources. 

Fire Chief or designee  Knowledge of the Incident Command System (ICS). 

 Knowledge of fire department procedures, on-scene 

safety requirements, hazardous materials response 

requirements, and search and rescue techniques. 

 Knowledge of the community’s fire-related risks. 

 Specialized personnel and equipment resources. 

Police Chief or designee  Knowledge of 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. 

 Specialized personnel and equipment resources. 

Public Works Director or designee  Knowledge of the community’s road and utility 

infrastructure. 

 Specialized personnel and equipment resources. 

EMS Director or designee  Knowledge of medical treatment requirements for a variety 

of situations. 

 Knowledge of treatment facility capabilities. 

 Specialized personnel and equipment resources. 

Hazardous Materials Coordinator  Knowledge of hazardous materials that are produced, 

stored, or transported in or through the community. 

 Knowledge of Environmental Protection Agency (EPA), 

Occupational Safety and Health Administration (OSHA), 

and Department of Transportation (DOT) requirements for 

producing, storing, and transporting hazardous materials 

and responding to hazardous materials incidents. 

Mutual Aid Partners  Specialized (or additional) personnel and equipment 

resources.

Emergency Planning Page B.1 
APPENDIX B: JOB AIDS

Job Aid 2.1: Planning Team Participants (Continued) 

Individuals/Organizations What They Bring to the Planning Team 

Department of Health Director or 

designee 

 Knowledge of community public health capabilities and 

limitations. 

 Familiarity with the key local healthcare providers. 

 Specialized personnel resources. 

DOT Director or designee  Knowledge of the community’s road infrastructure. 

 Knowledge of the area’s transportation resources. 

 Familiarity with the key local transportation providers. 

 Specialized personnel resources. 

Department of Agriculture Director or 

designee 

 Knowledge of the area’s agricultural sector and the 

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

storage, fertilizer and/or excrement runoff). 

Tax Assessor  Records of all property in the community and its value. 

Building Inspector  Knowledge of the types of construction used in the 

community. 

 Knowledge of land use and land use restrictions. 

 Records of planned development. 

School Superintendent or designee  Knowledge of school facilities. 

 Knowledge of the hazards that directly affect the schools. 

 Specialized personnel and equipment resources (e.g., 

buses). 

Voluntary Agency Directors  Knowledge of resources that can be brought to bear in an 

emergency. 

 Lists of shelters, feeding centers, and distribution centers. 

 Volunteer resources. 

Air/Seaport Managers  Knowledge of risks associated with airport or seaport 

operations (e.g., fuel storage). 

 Specialized personnel and equipment resources that 

could be used in an emergency. 

Representatives from local industry  Knowledge of hazardous materials that are produced, 

stored, and/or transported in or through the community. 

 Facility response plans (to be integrated with the 

community’s EOP). 

 Specialized personnel and equipment resources that 

could be used in an emergency. 

Emergency Planning Page A.2 
APPENDIX B: JOB AIDS

Job Aid 2.1: Planning Team Participants (Continued) 

Individuals/Organizations What They Bring to the Planning Team 

Radio Amateur Civil Emergency 

Services (RACES) Coordinator 

 List of RACES resources that can be used in an 

emergency. 

Social Services Agency 

Representatives 

 Knowledge of special needs populations. 

Veterinarians/Animal Shelter 

Representative 

 Knowledge of the special response needs required for 

animals, including livestock. 

Emergency Planning Page A.3 
APPENDIX B: JOB AIDS

Job Aid 3.1: Hazard Profile Worksheet 

Hazard: 

Potential magnitude (Percentage of the community that can be affected): 

Catastrophic: More than 50% 

Critical: 25 to 50% 

Limited: 10 to 25% 

Negligible: Less than 10% 

Frequency of Occurrence: 

 Highly likely: Near 100% probability in next year. 

 Likely: Between 10 and 100% probability in next year, or 

at least one chance in next 10 years. 

 Possible: Between 1 and 10% probability in next year, or 

at least one chance in next 100 years. 

 Unlikely: Less than 1% probability in next 100 years. 

Seasonal Pattern: 

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 F

No F

* Developing a Vulnerability Analysis is Step 4 of the hazard analysis process.

Emergency Planning Page A.4 
Appendix C: Acronym List
APPENDIX C 

ACRONYM LIST

Listed below are all of the acronyms that are used in this course. 

CEO Chief Elected Official 

DOT Department of Transportation 

EMS Emergency Medical Services 

EOC Emergency Operations Center 

EOP Emergency Operations Plan 

EPA Environmental Protection Agency 

EPI Emergency Public Information 

ICS Incident Command System 

NWS National Weather Service 

OSHA Occupational Safety and Health Administration 

RACES Radio Amateur Civil Emergency Services 

SOP Standard Operating Procedure(s) 

US&R Urban Search and Rescue 

WEM Workshop in Emergency Management

Emergency Planning Page C.1 
FINAL EXAM

1. The emergency planning process has one main purpose: 

a. Collaboration among different agencies. 

b. Assembling a multi-agency planning team. 

c. Developing and maintaining an EOP. 

d. Conducting a community risk assessment. 

2. A document describing how citizens and property will be protected in an emergency is 

called: 

a. An EOP. 

b. An SOP. 

c. An implementing instruction. 

d. A support document. 

Place the following steps of the emergency planning process in the correct order (using a for 1, 

b for 2, c for 3, d for 4) as they apply to initial basic plan development: 

3. ____ Testing the plan 

4. ____ Hazard analysis 

5. ____ Plan revision 

6. ____ EOP development 

7. Agencies such as hazardous materials responders who may not be involved in many 

incidents should be consulted much later in the planning process when specialized expertise 

is needed. 

a. True 

b. False 

8. Successful collaboration among different agencies requires that the participants chosen for 

the planning team share a common experience and culture: 

a. True 

b. False 

Put the following response priorities in the correct order (using a for 1, b for 2, c for 3): 

9. ____ Essential facilities 

10. ____ Infrastructure 

11. ____ Life safety 

Emergency Planning Page 1 
FINAL EXAM

12. A hazard analysis is used to determine: 

a. The causes of hazards that threaten a community 

b. How a community plans to respond to a given hazard 

c. How vulnerable a community is to a hazard 

d. How to carry out a specific function in the face of a specific hazard 

13. In developing a community profile, one of the factors to include is: 

a. Determining what resources the community has to respond to a disaster. 

b. Developing mutual aid agreements. 

c. Supplementing community resources with State assistance. 

d. Applying for Federal aid to supplement community resource shortfalls. 

14. The basic plan should contain enough detail to stand alone as the community’s specific 

approach to emergency response. 

a. True 

b. False 

15. The recommended EOP format includes: 

a. Hazard-specific analyses 

b. The basic plan 

c. Vulnerability studies 

d. Response operations 

16. Which part of the EOP is hazard-specific? 

a. Annex 

b. Appendix 

c. Basic plan 

d. Implementing instructions 

17. Which part of the EOP is based on function? 

a. Annex 

b. Appendix 

c. Basic plan 

d. Implementing instructions 

18. The Situation and Assumptions component of the basic plan includes: 

a. Hazards addressed by the plan 

b. Instructions for compiling situation reports 

c. Assumed resource needs for high-risk hazards 

d. Legal bases for emergency operations and activities 

Emergency Planning Page 2 
FINAL EXAM

19. A detailed appendix explains how the community will carry out a broad function such as 

warning or resource management. 

a. True 

b. False 

20. A community in California would undoubtedly include an annex that addresses earthquakes 

in its EOP. 

a. True 

b. False 

21. Implementing instructions include: 

a. A promulgation document signed by the CEO 

b. Standard Operating Procedures 

c. Identification of shared responsibilities 

d. A statement that addresses liability issues 

22. Checklists usually provide step-by-step instructions for carrying out specific responsibilities. 

a. True 

b. False 

23. Which type of implementing instruction would be most appropriate for recording calculations 

and/or observations? 

a. Information card 

b. Checklist 

c. Recordkeeping/combination form 

d. SOPs 

24. Which type of implementing instruction would be most appropriate for completing a multistep task on the job? 

a. Information card 

b. Job aid 

c. Map 

d. Recordkeeping/combination form 

25. Which type of implementing instruction would be the most appropriate for a resource list? 

a. SOPs 

b. Job aid 

c. Checklist 

d. Information card

Emergency Planning Page 3