National Response Plan

December 2004
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In Homeland Security Presidential Directive (HSPD)-5, the President directed the development of a new National

Response Plan (NRP) to align Federal coordination structures, capabilities, and resources into a unified, alldiscipline, and all-hazards approach to domestic incident management. This approach is unique and far reaching in

that it, for the first time, eliminates critical seams and ties together a complete spectrum of incident management

activities to include the prevention of, preparedness for, response to, and recovery from terrorism, major natural

disasters, and other major emergencies. The end result is vastly improved coordination among Federal, State, local,

and tribal organizations to help save lives and protect America's communities by increasing the speed, effectiveness,

and efficiency of incident management.

The NRP represents a true “national” framework in terms of both product and process. The NRP development

process included extensive vetting and coordination with Federal, State, local, and tribal agencies, nongovernmental

organizations, private-sector entities, and the first-responder and emergency management communities across the

country. The NRP incorporates best practices from a wide variety of incident management disciplines to include

fire, rescue, emergency management, law enforcement, public works, and emergency medical services. The

collective input we received from our public- and private-sector partners has been, and will continue to be,

absolutely critical to the implementation and continued refinement of the core concepts included in this

groundbreaking national plan.

The NRP is built on the template of the National Incident Management System (NIMS), which provides a

consistent doctrinal framework for incident management at all jurisdictional levels, regardless of the cause, size, or

complexity of the incident. The activation of the NRP and its coordinating structures and protocols—either

partially or fully—for specific Incidents of National Significance provides mechanisms for the coordination and

implementation of a wide variety of incident management and emergency assistance activities. Included in these

activities are Federal support to State, local, and tribal authorities; interaction with nongovernmental, private donor,

and private-sector organizations; and the coordinated, direct exercise of Federal authorities, when appropriate.

The NRP is also an essential element of the broader policy coordination and reconciliation mechanisms of the

Federal Government. The operational and resource coordinating structures described in the NRP are designed to

support existing White House policy mechanisms and decisionmaking entities during the response to a specific

threat or incident. Also, while the NRP itself creates no new authorities, it serves to unify and enhance the incident

management capabilities and resources of individual agencies and organizations acting under their own authorities

in response to a wide array of potential threats and hazards.

Implementation of the NRP and its supporting protocols will require extensive cooperation, collaboration, and

information-sharing across jurisdictions, as well as between the government and the private sector at all levels. The

Letter of Instruction included with the NRP provides specific guidance on the phased implementation of the plan.

I ask for your continued cooperation and assistance as we begin the implementation process for the NRP. I look

forward to working with you as we use this new foundational plan to improve our national incident management

capability across the board.

December 2004 National Response Plan | i

Preface

Tom Ridge

Secretary

Department of Homeland Security
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ii | National Response Plan December 2004
The National Response Plan (NRP) is an all-discipline, all-hazards plan that establishes a single, comprehensive

framework for the management of domestic incidents. It provides the structure and mechanisms for the

coordination of Federal support to State, local, and tribal incident managers and for exercising direct Federal

authorities and responsibilities. The NRP assists in the important homeland security mission of preventing terrorist

attacks within the United States; reducing the vulnerability to all natural and manmade hazards; and minimizing

the damage and assisting in the recovery from any type of incident that occurs.

By signing this letter of agreement, Federal departments and agencies and other organizations commit to:

■ Supporting NRP concepts, processes, and structures and carrying out their assigned functional responsibilities to

ensure effective and efficient incident management, including designating representatives to staff interagency

coordinating structures, as required;

■ Agreeing to the terms and conditions, as if separately signed, in the “Memorandum of Agreement: Mutual Aid for

Incidents of National Significance (non-Stafford Act),” set forth in the Financial Management Support Annex,

Attachment 3, December 2004, in the NRP (this provision is applicable only to Federal departments and agencies);

■ Providing cooperation, resources, and support to the Secretary of Homeland Security in the implementation of

the NRP, as appropriate and consistent with their own authorities and responsibilities;

■ Cooperating with appropriate Federal incident management leadership including the Principal Federal Official,

Federal Coordinating Officer, and Federal Resource Coordinator, as appropriate and consistent with their own

authorities and responsibilities, in order to enable effective and efficient incident management;

■ Modifying existing interagency and agency incident management and emergency response plans to facilitate

compliance with the NRP;

■ Forming and maintaining incident management partnerships with State, local, tribal, and regional entities, the

private sector, and nongovernmental organizations;

■ Utilizing department- and agency-specific authorities, resources, and programs to facilitate incident management

activities in accordance with the NRP; and

■ Developing, exercising, and refining headquarters and regional capabilities to ensure sustained operational

readiness in support of the NRP.

Signatory departments and agencies follow.

December 2004 National Response Plan | iii

Letter of Agreement
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iv | National Response Plan December 2004
December 2004 National Response Plan | v

Signatories

Ann M.Veneman

Secretary

Department of Agriculture

Donald L. Evans

Secretary

Department of Commerce

Donald H. Rumsfeld

Secretary

Department of Defense

Rod Paige

Secretary

Department of Education

Spencer Abraham

Secretary

Department of Energy

Tommy G.Thompson

Secretary

Department of Health and Human Services

Tom Ridge

Secretary

Department of Homeland Security

Alphonso Jackson

Secretary

Department of Housing and Urban Development
vi | National Response Plan December 2004

Gale A. Norton

Secretary

Department of the Interior

John Ashcroft

Attorney General

Department of Justice

Elaine L. Chao

Secretary

Department of Labor

Colin L. Powell

Secretary

Department of State

Norman Y. Mineta

Secretary

Department of Transportation

John W. Snow

Secretary

Department of the Treasury

Anthony J. Principi

Secretary

Department of Veterans Affairs

Porter J. Goss

Director of Central Intelligence

Central Intelligence Agency
December 2004 National Response Plan | vii

Michael O. Leavitt

Administrator

Environmental Protection Agency

Robert S. Mueller, III

Director

Federal Bureau of Investigation

Michael Powell

Chairman

Federal Communications Commission

Stephen A. Perry

Administrator

General Services Administration

Sean O'Keefe

Administrator

National Aeronautics and Space Administration

Ellen Engleman Conners

Chairman

National Transportation Safety Board

Nils J. Diaz

Chairman

Nuclear Regulatory Commission

Kay Coles James

Director

Office of Personnel Management
viii | National Response Plan December 2004

Hector V. Barreto

Administrator

Small Business Administration

Jo Anne B. Barnhart

Commissioner

Social Security Administration

Glenn L. McCullough, Jr.

Chairman

Tennessee Valley Authority

Andrew S. Natsios

Administrator

U.S. Agency for International Development

John E. Potter

Postmaster General and Chief Executive Officer

U.S. Postal Service

Marsha J. Evans

President and Chief Executive Officer

American Red Cross

David Eisner

Chief Executive Officer

Corporation for National and Community Service

S. Jane Morgan

President

National Voluntary Organizations Active in Disaster
General

The National Response Plan (NRP) is effective upon

issuance with a phased implementation process during the

first year. During the first 120 days of this implementation process, the Initial NRP (INRP), Federal Response

Plan (FRP), U.S. Government Domestic Terrorism Concept

of Operations Plan (CONPLAN), and Federal Radiological

Emergency Response Plan (FRERP) remain in effect. The

implementation phases are as follows:

■ Phase I – Transitional Period (0 to 60 days): This

60-day timeframe is intended to provide a transitional

period for departments and agencies and other

organizations to modify training, designate staffing of

NRP organizational elements, and become familiar

with NRP structures, processes, and protocols.

■ Phase II – Plan Modification (60 to 120 days):

This second 60-day timeframe is intended to 

provide departments and agencies the opportunity

to modify existing Federal interagency plans to

align with the NRP and conduct necessary training.

■ Phase III – Initial Implementation and Testing (120

days to 1 year): Four months after its issuance, the

NRP is to be fully implemented, and the INRP, FRP,

CONPLAN, and FRERP are superseded. Other existing

plans remain in effect, modified to align with the

NRP. During this timeframe, the Department of

Homeland Security (DHS) will conduct systematic

assessments of NRP coordinating structures,

processes, and protocols implemented for actual

Incidents of National Significance (defined on page 4

of the NRP), national-level homeland security

exercises, and National Special Security Events

(NSSEs). These assessments will gauge the plan’s

effectiveness in meeting specific objectives outlined in

Homeland Security Presidential Directive-5 (HSPD-5).

At the end of this period, DHS will conduct a 1-year

review to assess the implementation process and make

recommendations to the Secretary on necessary NRP

revisions. Following this initial review, the NRP will

begin a deliberate 4-year review and reissuance cycle.

The Secretary of Homeland Security may accelerate the

implementation of the NRP if warranted by circumstances.

Requirements

This section provides specific requirements or

recommendations for the Secretary of Homeland

Security; Federal departments and agencies; State, local,

and tribal governments; and private-sector and

nongovernmental organizations (NGOs) to enable full

NRP implementation.

Secretary of Homeland Security

Within 120 days of the issuance of this plan, in

coordination and consultation with other departments

and agencies, the Secretary of Homeland Security will:

■ Develop and publish detailed operational procedures

for the Homeland Security Operations Center

(HSOC), National Response Coordination Center

(NRCC), Interagency Incident Management Group

(IIMG), and Joint Field Office (JFO);

■ Identify appropriate assets and establish agreements

and procedures for their rapid deployment and

employment in accordance with the NRP

Catastrophic Incident Supplement;

■ Designate representatives to staff the HSOC, NRCC,

and IIMG; and

■ Develop appropriate training programs for HSOC,

IIMG, NRCC, Principal Federal Official (PFO), and

Federal Coordinating Officer (FCO) cadres.

Within 1 year of its effective date, the Secretary of

Homeland Secretary will conduct an interagency 

review to assess the effectiveness of the NRP, identify

improvements, and provide recommendations regarding

plan modifications and reissuance, if required.

Federal Departments and Agencies

As required by HSPD-5, Federal departments and

agencies will:

■ Provide cooperation, resources, and support to the

Secretary of Homeland Security in the

implementation of the NRP, as appropriate and

consistent with their own authorities and

responsibilities;

■ Designate representatives to staff the HSOC, NRCC,

and IIMG;

December 2004 National Response Plan | ix

Letter of Instruction

Implementation Guidance
■ Carry out responsibilities assigned in the Emergency

Support Function (ESF) Annexes to the NRP,

developing supplemental plans and procedures as

required;

■ Establish connectivity with and report incidents to

the National Joint Terrorism Task Force (NJTTF), the

HSOC, and the National Counterterrorism Center

(NCTC) as outlined in section V (page 46) of this

document; and

■ Within 120 days of the issuance of this plan, modify

existing interagency incident management and 

emergency response plans and protocols, to the

extent authorized by law, incorporating:

■ Linkages to key NRP processes and coordinating

structures (i.e., the IIMG, HSOC, NRCC, Regional

Response Coordination Center (RRCC), JFO, etc.);

■ Principles and terminology used in the National

Incident Management System (NIMS) and NRP;

■ NRP incident-reporting requirements;

■ Procedures for transitioning from localized

incidents to Incidents of National Significance; and

■ Accelerated resource activation, mobilization, and

deployment requirements outlined in the NRP

Catastrophic Incident Annex.

Modifications to existing Federal interagency plans

must be completed and reported to DHS within 120

days of the publication of the NRP. When it may not

be feasible for plan modifications to be completed

within 120 days (such as the National Oil and

Hazardous Substances Pollution Contingency Plan

(NCP)1

), agencies must commence modification within

this timeframe and provide a timeline for completion

to the Secretary of Homeland Security.

State, Local, and Tribal Governments and

Nongovernmental Organizations

State, local, and tribal governments and NGOs are

requested to:

■ Utilize established incident reporting protocols to

notify local and regional Joint Terrorism Task Forces

(JTTFs) and the HSOC, as appropriate, as outlined in

section V (page 46) of this document.

■ Coordinate with the HSOC regarding procedures for

establishing connectivity for domestic incident

management purposes. Local government procedures

should be coordinated with the respective State

government and/or emergency management agency.

■ Modify existing incident management and

emergency operations plans within 120 days (or no

later than the next major plan maintenance cycle) to

ensure proper alignment with NRP coordinating

structures, processes, and protocols.

■ Notify the Secretary of Homeland Security of any

substantial conflicts between this plan and State or

tribal government laws or regulations. This plan is

not intended to compromise existing State or tribal

government laws or corresponding incident

management or emergency response plans.

Federal Regional Organizations

Federal regional organizations will:

■ Designate representatives to the RRCC and Regional

Interagency Steering Committee (RISC) at the request

of the Secretary of Homeland Security;

■ Develop regional supplements to the NRP as

required; and

■ Update existing standard operating procedures

(SOPs) pertaining to the RRCC to align with NRP

requirements.

Private Sector

Private-sector owners and operators, particularly those

who represent critical elements of infrastructure or key

resources whose disruption may have national or major

regional impact, are encouraged (or in some cases

required under law) to develop appropriate emergency

response and business continuity plans and

information-sharing and incident-reporting protocols

that are tailored to the unique requirements of their

respective sector or industry, and that clearly map to

regional, State, and local emergency response plans and

information-sharing networks.

These plans and information-sharing and reporting

protocols should be consistent with the NRP Base Plan

and supporting annexes.

x | National Response Plan December 2004

1 The NCP is a regulation subject to notice and comment requirements. For modifications to the NCP, rulemaking

activities will be commenced within 120 days of publication of this plan.
The National Response Plan (NRP) consists of the

components depicted in Figure 1 on the following page.

The paragraphs below describe each of the components.

■ The Base Plan describes the structure and processes

comprising a national approach to domestic incident

management designed to integrate the efforts and

resources of Federal, State, local, tribal, private-sector,

and nongovernmental organizations. The Base Plan

includes planning assumptions, roles and

responsibilities, concept of operations, incident

management actions, and plan maintenance

instructions.

■ Appendixes provide other relevant, more detailed

supporting information, including terms, definitions,

acronyms, authorities, and a compendium of national

interagency plans.

■ The Emergency Support Function (ESF) Annexes

detail the missions, policies, structures, and

responsibilities of Federal agencies for coordinating

resource and programmatic support to States, tribes,

and other Federal agencies or other jurisdictions and

entities during Incidents of National Significance.

The introduction to the ESF Annexes summarizes the

functions of ESF coordinators and primary and

support agencies. The chart on page 12 provides a

summary of the scope of each ESF.

■ The Support Annexes provide guidance and describe

the functional processes and administrative

requirements necessary to ensure efficient and

effective implementation of NRP incident

management objectives. The Support Annexes are

described below.

December 2004 National Response Plan | xi

Foreword

Organization of the National Response Plan

Support Annexes

■ Financial Management provides guidance for NRP implementation to ensure that incident-related funds are

provided expeditiously and that financial management activities are conducted in accordance with established

law, policies, regulations, and standards.

■ International Coordination provides guidance for carrying out responsibilities regarding international

coordination in support of the Federal response to domestic Incidents of National Significance.

■ Logistics Management describes the framework within which the overall NRP logistics management function

operates. It also outlines logistics management responsibilities and mechanisms for integrating Federal, State,

local, and tribal resource providers.

■ Private-Sector Coordination outlines processes to ensure effective incident management coordination and

integration with the private sector, including representatives of the Nation’s Critical Infrastructure/Key

Resources (CI/KR) sectors and other industries.

■ Public Affairs describes interagency incident communications procedures designed to enable the coordination

and dissemination of timely public information during Incidents of National Significance.

■ Science and Technology provides guidance and mechanisms to ensure that all levels of government can

leverage the Nation’s science and technology resources efficiently and effectively in the management of

Incidents of National Significance.

■ Tribal Relations describes the policies, responsibilities, and concept of operations for effective coordination

and interaction with tribal governments and communities during Incidents of National Significance.

■ Volunteer and Donations Management provides guidance on volunteer and donations management functions

related to Incidents of National Significance.

■ Worker Safety and Health details processes to ensure coordinated, comprehensive efforts to identify responder

safety and health risks and implement procedures to minimize or eliminate illness or injuries during incident

management and emergency response activities.
xii | National Response Plan December 2004

Emergency Support Function Annexes

Support Annexes

Incident Annexes

Appendixes

■ Glossary of Key Terms

■ List of Acronyms

■ Authorities and References

■ Compendium of National/International Interagency Plans

■ Overview of Initial Federal Involvement Under 

the Stafford Act

■ Overview of Federal-to-Federal Support in 

Non-Stafford Act Situations

■ ESF #1 - Transportation

■ ESF #2 - Communications 

■ ESF #3 - Public Works and Engineering

■ ESF #4 - Firefighting

■ ESF #5 - Emergency Management 

■ ESF #6 - Mass Care, Housing, and Human Services 

■ ESF #7 - Resource Support 

■ ESF #8 - Public Health and Medical Services

■ ESF #9 - Urban Search and Rescue

■ ESF #10 -Oil and Hazardous Materials Response 

■ ESF #11 -Agriculture and Natural Resources 

■ ESF #12 -Energy

■ ESF #13 -Public Safety and Security

■ ESF #14 - Long-Term Community Recovery and Mitigation

■ ESF #15 -External Affairs

■ Financial Management

■ International Coordination 

■ Logistics Management

■ Private-Sector Coordination 

■ Public Affairs 

■ Science and Technology

■ Tribal Relations

■ Volunteer and Donations Management 

■ Worker Safety and Health

■ Biological Incident 

■ Catastrophic Incident 

■ Cyber Incident 

■ Food and Agriculture Incident (to be published in a

subsequent version of this plan)

■ Nuclear/Radiological Incident 

■ Oil and Hazardous Materials Incident 

■ Terrorism Incident Law Enforcement and Investigation

FIGURE 1. Organization of the National Response Plan

Base Plan
Incident Annexes

■ The Biological Incident Annex describes incident management activities related to a biological terrorism

event, pandemic, emerging infectious disease, or novel pathogen outbreak.

■ The Catastrophic Incident Annex establishes the strategy for implementing and coordinating an accelerated

national response to a catastrophic incident.

■ The Cyber Incident Annex establishes procedures for a multidisciplinary, broad-based approach to prepare

for, remediate, and recover from catastrophic cyber events impacting critical national processes and the

national economy.

■ The Food and Agriculture Incident Annex describes incident management activities related to a terrorist

attack, major disaster, or other emergency involving the Nation’s agriculture and food systems.

(To be published in a subsequent version of this plan.)

■ The Nuclear/Radiological Incident Annex describes incident management activities related to 

nuclear/radiological incidents.

■ The Oil and Hazardous Materials Incident Annex describes incident management activities related to 

certain nationally significant oil and hazardous materials pollution incidents.

■ The Terrorism Incident Law Enforcement and Investigation Annex describes law enforcement and 

criminal investigation coordinating structures and processes in response to a terrorist event.

■ The Incident Annexes address contingency or hazard

situations requiring specialized application of the NRP.

The Incident Annexes describe the missions, policies,

responsibilities, and coordination processes that govern

the interaction of public and private entities engaged in

incident management and emergency response

operations across a spectrum of potential hazards.

These annexes are typically augmented by a variety of

supporting plans and operational supplements. The

Incident Annexes are described below.

December 2004 National Response Plan | xiii
xiv | National Response Plan December 2004

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Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . i

Letter of Agreement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iii

Signatories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

Letter of Instruction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xi

I. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Purpose . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

Scope and Applicability . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3

Incident Management Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4

Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

Key Concepts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

II. Planning Assumptions and Considerations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6

III. Roles and Responsibilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

State, Local, and Tribal Governments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

Federal Government . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9

Nongovernmental and Volunteer Organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11

Private Sector . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

Citizen Involvement . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14

IV. Concept of Operations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

General . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Overall Coordination of Federal Incident Management Activities . . . . . . . . . . . . . . . . . . . . . . . . . . 15

Concurrent Implementation of Other Plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16

Organizational Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17

Principal NRP Organizational Elements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22

Emergency Response and Support Teams (Field Level) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39

Defense Support of Civil Authorities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 41

Federal Law Enforcement Assistance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

Proactive Federal Response to Catastrophic Events . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 43

U.S. Possessions and Freely Associated States . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .44

External Affairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 45

V. Incident Management Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

Actions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46

NRP Operations Under HSAS Threat Conditions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56

VI. Ongoing Plan Management and Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

Coordination . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 58

Plan Maintenance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

The NIMS Integration Center . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

The NRP and National Preparedness . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 59

NRP-Supporting Documents and Standards for Other Federal Emergency Plans . . . . . . . . . . . . 60

Table of Contents

December 2004 National Response Plan | xv
Appendixes

1. Glossary of Key Terms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 63

2. List of Acronyms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

3. Authorities and References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 78

4. Compendium of National/International Interagency Plans . . . . . . . . . . . . . . . . . . . . . . . . . . 89

5. Overview of Initial Federal Involvement Under the Stafford Act . . . . . . . . . . . . . . . . . . . . . . . 91

6. Overview of Federal-to-Federal Support in Non-Stafford Act Situations . . . . . . . . . . . . . . . . . . 94

Emergency Support Function Annexes

ESF #1 – Transportation

ESF #2 – Communications

ESF #3 – Public Works and Engineering

ESF #4 – Firefighting

ESF #5 – Emergency Management

ESF #6 – Mass Care, Housing, and Human Services

ESF #7 – Resource Support

ESF #8 – Public Health and Medical Services

ESF #9 – Urban Search and Rescue

ESF #10 – Oil and Hazardous Materials Response

ESF #11 – Agriculture and Natural Resources

ESF #12 – Energy

ESF #13 – Public Safety and Security

ESF #14 – Long-Term Community Recovery and Mitigation

ESF #15 – External Affairs

Support Annexes

Financial Management

International Coordination

Logistics Management

Private-Sector Coordination

Public Affairs

Science and Technology

Tribal Relations

Volunteer and Donations Management

Worker Safety and Health

Incident Annexes

Biological Incident

Catastrophic Incident

Cyber Incident

Food and Agriculture Incident (to be published in a subsequent version of this plan)

Nuclear/Radiological Incident

Oil and Hazardous Materials Incident

Terrorism Incident Law Enforcement and Investigation

xvi | National Response Plan December 2004
The Nation’s domestic incident management landscape

changed dramatically following the terrorist attacks of

September 11, 2001. Today’s threat environment includes

not only the traditional spectrum of manmade and

natural hazards—wildland and urban fires, floods, oil

spills, hazardous materials releases, transportation

accidents, earthquakes, hurricanes, tornadoes, pandemics,

and disruptions to the Nation’s energy and information

technology infrastructure—but also the deadly and

devastating terrorist arsenal of chemical, biological,

radiological, nuclear, and high-yield explosive weapons.

These complex and emerging 21st century threats and

hazards demand a unified and coordinated national

approach to domestic incident management. The

National Strategy for Homeland Security; Homeland

Security Act of 2002; and Homeland Security

Presidential Directive-5 (HSPD-5), Management of

Domestic Incidents, establish clear objectives for a

concerted national effort to prevent terrorist attacks

within the United States; reduce America’s vulnerability

to terrorism, major disasters, and other emergencies;

and minimize the damage and recover from attacks,

major disasters, and other emergencies that occur.

Development and Implementation of 

a National Response Plan

Achieving these homeland security objectives is a 

challenge requiring bold steps and adjustments to

established structures, processes, and protocols. An

important initiative called for in the above documents

is the development and implementation of a National

Response Plan (NRP), predicated on a new National

Incident Management System (NIMS), that aligns the

patchwork of Federal special-purpose incident

management and emergency response plans into an

effective and efficient structure. Together, the NRP and

the NIMS (published March 1, 2004) integrate the

capabilities and resources of various governmental

jurisdictions, incident management and emergency

response disciplines, nongovernmental organizations

(NGOs), and the private sector into a cohesive,

coordinated, and seamless national framework for

domestic incident management.

The NRP, using the NIMS, is an all-hazards plan that

provides the structure and mechanisms for nationallevel policy and operational coordination for domestic

incident management. Consistent with the model

provided in the NIMS, the NRP can be partially or fully

implemented in the context of a threat, anticipation of

a significant event, or the response to a significant

event. Selective implementation through the activation

of one or more of the system’s components allows

maximum flexibility in meeting the unique operational

and information-sharing requirements of the situation

at hand and enabling effective interaction between

various Federal and non-Federal entities.

The NRP incorporates relevant portions of and, upon

full implementation, supersedes the Initial National

Response Plan (INRP), Federal Response Plan (FRP),

U.S. Government Interagency Domestic Terrorism

Concept of Operations Plan (CONPLAN), and Federal

Radiological Emergency Response Plan (FRERP). The

NRP, as the core operational plan for national incident

management, also establishes national-level coordinating

structures, processes, and protocols that will be

incorporated into certain existing Federal interagency

incident- or hazard-specific plans (such as the National

Oil and Hazardous Substances Pollution Contingency

Plan (NCP)) that are designed to implement the specific

statutory authorities and responsibilities of various

departments and agencies in particular contingency

NATIONAL RESPONSE PLAN

I. Introduction

December 2004 National Response Plan | 1

The NRP

A concerted national effort to prevent terrorist attacks

within the United States; reduce America's vulnerability

to terrorism, major disasters, and other emergencies;

and minimize the damage and recover from attacks,

major disasters, and other emergencies that occur.

The NIMS 

Provides a nationwide template enabling Federal,

State, local, and tribal governments and 

private-sector and nongovernmental organizations to

work together effectively and efficiently to prevent,

prepare for, respond to, and recover from domestic

incidents regardless of cause, size, or complexity.
Purpose

The purpose of the NRP is to establish a comprehensive,

national, all-hazards approach to domestic incident

management across a spectrum of activities including

prevention, preparedness, response, and recovery.

The NRP incorporates best practices and procedures from

various incident management disciplines—homeland

security, emergency management, law enforcement,

firefighting, hazardous materials response, public works,

public health, emergency medical services, and responder

and recovery worker health and safety—and integrates

them into a unified coordinating structure.

The NRP provides the framework for Federal

interaction with State, local, and tribal governments;

the private sector; and NGOs in the context of

domestic incident prevention, preparedness, response,

and recovery activities. It describes capabilities and

resources and establishes responsibilities, operational

processes, and protocols to help protect the Nation

from terrorist attacks and other natural and manmade

hazards; save lives; protect public health, safety,

property, and the environment; and reduce adverse

psychological consequences and disruptions. Finally,

the NRP serves as the foundation for the development

of detailed supplemental plans and procedures to

effectively and efficiently implement Federal incident

management activities and assistance in the context of

specific types of incidents.

The NRP, using the NIMS, establishes mechanisms to:

■ Maximize the integration of incident-related

prevention, preparedness, response, and recovery

activities;

■ Improve coordination and integration of Federal,

State, local, tribal, regional, private-sector, and

nongovernmental organization partners;

■ Maximize efficient utilization of resources needed 

for effective incident management and Critical

Infrastructure/Key Resources (CI/KR) protection 

and restoration;

■ Improve incident management communications and

increase situational awareness across jurisdictions and

between the public and private sectors;

■ Facilitate emergency mutual aid and Federal

emergency support to State, local, and tribal

governments;

■ Facilitate Federal-to-Federal interaction and

emergency support;

■ Provide a proactive and integrated Federal response

to catastrophic events; and

■ Address linkages to other Federal incident

management and emergency response plans

developed for specific types of incidents or hazards.

scenarios. These plans are linked to the NRP in the

context of Incidents of National Significance (defined

on page 4), but remain as stand-alone documents in

that they also provide detailed protocols for responding

to routine incidents that normally are managed by

Federal agencies without the need for Department of

Homeland Security (DHS) coordination. The NRP also

incorporates other existing Federal emergency response

and incident management plans (with appropriate

modifications and revisions) as integrated components,

operational supplements, or supporting tactical plans.

Further details on NRP-supporting plans and documents

are included in section VI (page 60).

Existing Authorities

Nothing in this plan alters or impedes the ability of

Federal, State, local, or tribal departments and agencies

to carry out their specific authorities or perform their

responsibilities under all applicable laws, Executive

orders, and directives. Additionally, nothing in this

plan is intended to impact or impede the ability of any

Federal department or agency head to take an issue of

concern directly to the President, the Assistant to the

President for Homeland Security, the Assistant to the

President for National Security Affairs, or any other

member of the President’s staff.

2 | National Response Plan December 2004

Purpose 

To establish a comprehensive, national, all-hazards

approach to domestic incident management across

a spectrum of activities including prevention,

preparedness, response, and recovery.
Scope and Applicability

The NRP covers the full range of complex and

constantly changing requirements in anticipation of 

or in response to threats or acts of terrorism, major

disasters, and other emergencies. The NRP also

provides the basis to initiate long-term community

recovery and mitigation activities.

The NRP establishes interagency and multijurisdictional

mechanisms for Federal Government involvement in,

and DHS coordination of, domestic incident

management operations.

This includes coordinating structures and processes for

incidents requiring:

■ Federal support to State, local, and tribal governments;

■ Federal-to-Federal support;

■ The exercise of direct Federal authorities and

responsibilities, as appropriate under the law; and

■ Public and private-sector domestic incident

management integration.

This plan distinguishes between incidents that require

DHS coordination, termed Incidents of National

Significance, and the majority of incidents occurring

each year that are handled by responsible jurisdictions

or agencies through other established authorities and

existing plans.

In addition, the NRP:

■ Recognizes and incorporates the various

jurisdictional and functional authorities of Federal

departments and agencies; State, local, and tribal

governments; and private-sector organizations in

domestic incident management.

■ Details the specific domestic incident management

roles and responsibilities of the Secretary of

Homeland Security, Attorney General, Secretary of

Defense, Secretary of State, and other departments

and agencies involved in domestic incident

management as defined in HSPD-5 and other relevant

statutes and directives.

■ Establishes the multiagency organizational structures

and processes required to implement the authorities,

roles, and responsibilities of the Secretary of

Homeland Security as the “principal Federal official”

for domestic incident management.

This plan is applicable to all Federal departments and

agencies that may be requested to provide assistance or

conduct operations in the context of actual or potential

Incidents of National Significance. This includes the

American Red Cross, which functions as an Emergency

Support Function (ESF) primary organization in

coordinating the use of mass care resources in a

Presidentially declared disaster or emergency. The NRP

is applicable to incidents that may occur at sites under

the control of the Legislative or Judicial Branches of the

Federal Government.

Based on the criteria established in HSPD-5, Incidents

of National Significance are those high-impact events

that require a coordinated and effective response by an

appropriate combination of Federal, State, local, tribal,

private-sector, and nongovernmental entities in order

to save lives, minimize damage, and provide the basis

for long-term community recovery and mitigation

activities.

December 2004 National Response Plan | 3

NRP Scope

Covers the full range of complex and constantly

changing requirements in anticipation of or in

response to threats or acts of terrorism, major 

disasters, and other emergencies.

NRP Applicability 

The NRP applies to all Federal departments and

agencies that may be requested to provide

assistance or conduct operations in actual or

potential Incidents of National Significance. These

incidents require a coordinated response by an

appropriate combination of Federal, State, local,

tribal, private-sector, and nongovernmental entities.
This plan addresses the full spectrum of activities

related to domestic incident management, including

prevention, preparedness, response, and recovery

actions. The NRP focuses on those activities that are

directly related to an evolving incident or potential

incident rather than steady-state preparedness or

readiness activities conducted in the absence of a

specific threat or hazard.

Additionally, since Incidents of National Significance

typically result in impacts far beyond the immediate or

initial incident area, the NRP provides a framework to

enable the management of cascading impacts and

multiple incidents as well as the prevention of and

preparation for subsequent events. Examples of

incident management actions from a national

perspective include:

■ Increasing nationwide public awareness;

■ Assessing trends that point to potential terrorist activity;

■ Elevating the national Homeland Security Advisory

System (HSAS) alert condition and coordinating

protective measures across jurisdictions;

■ Increasing countermeasures such as inspections,

surveillance, security, counterintelligence, and

infrastructure protection;

■ Conducting public health surveillance and assessment

processes and, where appropriate, conducting a wide

range of prevention measures to include, but not be

limited to, immunizations;

■ Providing immediate and long-term public health

and medical response assets;

■ Coordinating Federal support to State, local, and

tribal authorities in the aftermath of an incident;

■ Providing strategies for coordination of Federal

resources required to handle subsequent events;

■ Restoring public confidence after a terrorist attack; and

■ Enabling immediate recovery activities, as well as addressing long-term consequences in the impacted area.

The NRP bases the definition of Incidents of National Significance on situations related to the following four

criteria set forth in HSPD-5:

1. A Federal department or agency acting under its own authority has requested the assistance of the Secretary of

Homeland Security.

2. The resources of State and local authorities are overwhelmed and Federal assistance has been requested by the

appropriate State and local authorities. Examples include:

■ Major disasters or emergencies as defined under the Stafford Act; and

■ Catastrophic incidents (see definition on page 43).

3. More than one Federal department or agency has become substantially involved in responding to an incident.

Examples include:

■ Credible threats, indications or warnings of imminent terrorist attack, or acts of terrorism directed

domestically against the people, property, environment, or political or legal institutions of the United States

or its territories or possessions; and

■ Threats or incidents related to high-profile, large-scale events that present high-probability targets such as

National Special Security Events (NSSEs) and other special events as determined by the Secretary of

Homeland Security, in coordination with other Federal departments and agencies.

4. The Secretary of Homeland Security has been directed to assume responsibility for managing a domestic

incident by the President.

Incident Management Activities

Incidents of National Significance

Pursuant to HSPD-5, as the principal Federal official for

domestic incident management, the Secretary of

Homeland Security declares Incidents of National

Significance (in consultation with other departments and

agencies as appropriate) and provides coordination for

Federal operations and/or resources, establishes

reporting requirements, and conducts ongoing

communications with Federal, State, local, tribal, privatesector, and nongovernmental organizations to maintain

situational awareness, analyze threats, assess national

implications of threat and operational response activities,

and coordinate threat or incident response activities.

4 | National Response Plan December 2004
Key Concepts

This section summarizes key concepts that are reflected

throughout the NRP.

■ Systematic and coordinated incident management,

including protocols for:

■ Incident reporting;

■ Coordinated action;

■ Alert and notification;

■ Mobilization of Federal resources to augment

existing Federal, State, local, and tribal capabilities;

■ Operating under differing threats or threat levels; and

■ Integration of crisis and consequence management

functions.

■ Proactive notification and deployment of Federal

resources in anticipation of or in response to

catastrophic events in coordination and collaboration

with State, local, and tribal governments and private

entities when possible.

■ Organizing interagency efforts to minimize damage,

restore impacted areas to pre-incident conditions if

feasible, and/or implement programs to mitigate

vulnerability to future events.

■ Coordinating incident communication, worker safety

and health, private-sector involvement, and other

activities that are common to the majority of

incidents (see Support Annexes).

■ Organizing ESFs to facilitate the delivery of critical

Federal resources, assets, and assistance. Federal

departments and agencies are assigned to lead or

support ESFs based on authorities, resources, and

capabilities.

■ Providing mechanisms for vertical and horizontal

coordination, communications, and informationsharing in response to threats or incidents. These

mechanisms facilitate coordination among State,

local, and tribal entities and the Federal Government,

as well as between the public and private sectors.

■ Facilitating Federal support to Federal departments

and agencies acting under the requesting

department’s or agency’s own authorities.

■ Developing detailed supplemental operations, tactical,

and hazard-specific contingency plans and

procedures.

■ Providing the basis for coordination of interagency

and intergovernmental planning, training, exercising,

assessment, coordination, and information exchange.

Authorities

Various Federal statutory authorities and policies

provide the basis for Federal actions and activities in

the context of domestic incident management. The

NRP uses the foundation provided by the Homeland

Security Act, HSPD-5, and the Robert T. Stafford

Disaster Relief and Emergency Assistance Act (Stafford

Act) to provide a comprehensive, all-hazards approach

to domestic incident management. Nothing in the

NRP alters the existing authorities of individual Federal

departments and agencies. The NRP does not convey

new authorities upon the Secretary of Homeland

Security or any other Federal official.

Rather, this plan establishes the coordinating structures,

processes, and protocols required to integrate the

specific statutory and policy authorities of various

Federal departments and agencies in a collective

framework for action to include prevention,

preparedness, response, and recovery activities.

Appendix 3 provides a summary of key statutes,

Executive orders, and Presidential directives that

provide additional authority and policy direction

relevant to domestic incident management.

The NRP may be used in conjunction with other

Federal incident management and emergency

operations plans developed under these and other

authorities as well as memorandums of understanding

(MOUs) among various Federal agencies.

December 2004 National Response Plan | 5
The NRP is based on the planning assumptions and

considerations presented in this section.

■ Incidents are typically managed at the lowest possible

geographic, organizational, and jurisdictional level.

■ Incident management activities will be initiated and

conducted using the principles contained in the NIMS.

■ The combined expertise and capabilities of

government at all levels, the private sector, and

nongovernmental organizations will be required to

prevent, prepare for, respond to, and recover from

Incidents of National Significance.

■ Incidents of National Significance require the

Secretary of Homeland Security to coordinate

operations and/or resources, and may:

■ Occur at any time with little or no warning in the

context of a general or specific threat or hazard;

■ Require significant information-sharing at the

unclassified and classified levels across multiple

jurisdictions and between the public and private

sectors;

■ Involve single or multiple geographic areas;

■ Have significant international impact and/or

require significant international informationsharing, resource coordination, and/or assistance;

■ Span the spectrum of incident management to

include prevention, preparedness, response, and

recovery;

■ Involve multiple, highly varied hazards or threats

on a local, regional, or national scale;

■ Result in numerous casualties; fatalities; displaced

people; property loss; disruption of normal lifesupport systems, essential public services, and 

basic infrastructure; and significant damage to 

the environment;

■ Impact critical infrastructures across sectors;

■ Overwhelm capabilities of State, local, and tribal

governments, and private-sector infrastructure

owners and operators;

■ Attract a sizeable influx of independent,

spontaneous volunteers and supplies;

■ Require extremely short-notice Federal asset

coordination and response timelines; and

■ Require prolonged, sustained incident management

operations and support activities.

■ Top priorities for incident management are to:

■ Save lives and protect the health and safety of the

public, responders, and recovery workers;

■ Ensure security of the homeland;

■ Prevent an imminent incident, including acts of

terrorism, from occurring;

■ Protect and restore critical infrastructure and key

resources;

■ Conduct law enforcement investigations to resolve

the incident, apprehend the perpetrators, and

collect and preserve evidence for prosecution

and/or attribution;

■ Protect property and mitigate damages and impacts to

individuals, communities, and the environment; and

■ Facilitate recovery of individuals, families,

businesses, governments, and the environment.

■ Deployment of resources and incident management

actions during an actual or potential terrorist

incident are conducted in coordination with the

Department of Justice (DOJ).

■ Departments and agencies at all levels of government

and certain NGOs, such as the American Red Cross,

may be required to deploy to Incidents of National

Significance on short notice to provide timely and

effective mutual aid and/or intergovernmental

assistance.

■ The degree of Federal involvement in incident

operations depends largely upon specific Federal

authority or jurisdiction. Other factors that may be

considered include:

■ The State, local, or tribal needs and/or requests for

external support, or ability to manage the incident;

■ The economic ability of the affected entity to

recover from the incident;

■ The type or location of the incident;

■ The severity and magnitude of the incident; and

■ The need to protect the public health or welfare or

the environment.

■ Federal departments and agencies support the

homeland security mission in accordance with national

authorities and guidance and are expected to provide:

■ Initial and/or ongoing response, when warranted,

under their own authorities and funding;

■ Alert, notification, pre-positioning, and timely

delivery of resources to enable the management of

II. Planning Assumptions & Considerations

6 | National Response Plan December 2004
potential and actual Incidents of National

Significance; and

■ Proactive support for catastrophic or potentially

catastrophic incidents using protocols for expedited

delivery of resources.

■ For Incidents of National Significance that are

Presidentially declared disasters or emergencies,

Federal support to States is delivered in accordance

with relevant provisions of the Stafford Act (see

Appendix 3, Authorities and References). (Note that

while all Presidentially declared disasters and

emergencies under the Stafford Act are considered

Incidents of National Significance, not all Incidents of

National Significance necessarily result in disaster or

emergency declarations under the Stafford Act.)

Under provisions of the Stafford Act and applicable 

regulations:

■ A Governor may request the President to declare a

major disaster or emergency if the Governor finds

that effective response to the event is beyond the

combined response capabilities of the State and

affected local governments. Based on the findings of

a joint Federal-State-local Preliminary Damage

Assessment (PDA) indicating the damages are of

sufficient severity and magnitude to warrant assistance

under the act, the President may grant a major disaster

or emergency declaration. (Note: In a particularly

fast-moving or clearly devastating disaster, the PDA

process may be deferred until after the declaration.)

■ If the President determines that an emergency exists

where the primary responsibility for response rests

with the Government of the United States, or

because the emergency involves an area or facility

for which the Federal Government exercises

exclusive or preeminent primary responsibility and

authority, the President may unilaterally direct the

provision of assistance under the act and will, if

practicable, consult with the Governor of the State.

■ DHS can use limited pre-declaration authorities to

move initial response resources (critical goods

typically needed in the immediate aftermath of a

disaster such as food, water, emergency generators,

etc.) closer to a potentially affected area.

■ Federal assistance takes many forms—including the

direct provision of goods and services, financial

assistance (through insurance, grants, loans, and

direct payments), and technical assistance—and

can come from various sources.

■ In a major disaster or emergency as defined in the

Stafford Act, the President “may direct any Federal

agency, with or without reimbursement, to utilize

its authorities and the resources granted to it under

Federal law (including personnel, equipment,

supplies, facilities, and managerial, technical, and

advisory services) in support of State and local

assistance efforts...” [sections 402(a)(1) and

502(a)(1) of the Stafford Act, 42 U.S.C. §

5170a(1) and § 5192(a)(1)].

■ In an actual or potential Incident of National

Significance that is not encompassed by the

Stafford Act, the President may instruct a Federal

department or agency, subject to any statutory

limitations on the department or agency, to utilize

the authorities and resources granted to it by

Congress. In accordance with HSPD-5, Federal

departments and agencies are expected to provide

their full and prompt cooperation, available

resources, and support, as appropriate and

consistent with their own responsibilities for

protecting national security.

■ Federal-to-Federal support refers to the circumstance

in which a Federal department or agency requests

Federal resource support under the NRP that is not

addressed by the Stafford Act or other mechanisms

(e.g., Executive orders, MOUs, memorandums of

agreement (MOAs), etc.).

This support:

■ Is coordinated by DHS using the multiagency

coordination structures established in the NRP and

in accordance with the NIMS;

■ Generally is funded by the Federal entity with

primary responsibility and statutory authority for

the incident in accordance with provisions of the

Economy Act, 31 U.S.C. 1535, unless other

statutory authorities exist;

■ Is facilitated by the interagency MOU for Mutual

Aid, and executed at the time of the incident

through interagency agreements (see the Financial

Management Support Annex for more information);

■ May include support to incident operations at sites

under the control of the Legislative or Judicial

Branches of the Federal Government; and

■ May be used to coordinate U.S. Government

support in the event of an overseas incident, if

recommended by the Department of State (DOS).

December 2004 National Response Plan | 7
Police, fire, public health and medical, emergency

management, public works, environmental response,

and other personnel are often the first to arrive and the

last to leave an incident site. In some instances, a

Federal agency in the local area may act as a first

responder, and the local assets of Federal agencies may

be used to advise or assist State or local officials in

accordance with agency authorities and procedures.

Mutual aid agreements provide mechanisms to

mobilize and employ resources from neighboring

jurisdictions to support the incident command.

When State resources and capabilities are

overwhelmed, Governors may request Federal assistance

under a Presidential disaster or emergency declaration.

Summarized below are the responsibilities of the

Governor, Local Chief Executive Officer, and Tribal

Chief Executive Officer.

Governor

As a State’s chief executive, the Governor is responsible

for the public safety and welfare of the people of that

State or territory. The Governor:

■ Is responsible for coordinating State resources to

address the full spectrum of actions to prevent,

prepare for, respond to, and recover from incidents in

an all-hazards context to include terrorism, natural

disasters, accidents, and other contingencies;

■ Under certain emergency conditions, typically has

police powers to make, amend, and rescind orders

and regulations;

■ Provides leadership and plays a key role in

communicating to the public and in helping people,

businesses, and organizations cope with the

consequences of any type of declared emergency

within State jurisdiction;

■ Encourages participation in mutual aid and

implements authorities for the State to enter into

mutual aid agreements with other States, tribes, and

territories to facilitate resource-sharing;

■ Is the Commander-in-Chief of State military forces

(National Guard when in State Active Duty or Title 32

Status and the authorized State militias); and

■ Requests Federal assistance when it becomes clear

that State or tribal capabilities will be insufficient or

have been exceeded or exhausted.

Local Chief Executive Officer

A mayor or city or county manager, as a jurisdiction’s

chief executive, is responsible for the public safety and

welfare of the people of that jurisdiction. The Local

Chief Executive Officer:

■ Is responsible for coordinating local resources to

address the full spectrum of actions to prevent,

prepare for, respond to, and recover from incidents

involving all hazards including terrorism, natural

disasters, accidents, and other contingencies;

■ Dependent upon State and local law, has

extraordinary powers to suspend local laws and

ordinances, such as to establish a curfew, direct

evacuations, and, in coordination with the local

health authority, to order a quarantine;

■ Provides leadership and plays a key role in communicating to the public, and in helping people, businesses, and organizations cope with the consequences of

any type of domestic incident within the jurisdiction;

■ Negotiates and enters into mutual aid agreements with

other jurisdictions to facilitate resource-sharing; and

■ Requests State and, if necessary, Federal assistance

through the Governor of the State when the jurisdiction’s capabilities have been exceeded or exhausted.

Tribal Chief Executive Officer

The Tribal Chief Executive Officer is responsible for the

public safety and welfare of the people of that tribe.

The Tribal Chief Executive Officer, as authorized by

tribal government:

■ Is responsible for coordinating tribal resources to

address the full spectrum of actions to prevent,

prepare for, respond to, and recover from incidents

involving all hazards including terrorism, natural

disasters, accidents, and other contingencies;

■ Has extraordinary powers to suspend tribal laws and

ordinances, such as to establish a curfew, direct

evacuations, and order a quarantine;

III. Roles and Responsibilities

This section discusses the roles and responsibilities of Federal, State, local, tribal, private-sector, and

nongovernmental organizations and citizens involved in support of domestic incident management.

State, Local, and Tribal Governments

8 | National Response Plan December 2004
Federal Government

Department of Homeland Security

The Homeland Security Act of 2002 established DHS to

prevent terrorist attacks within the United States;

reduce the vulnerability of the United States to

terrorism, natural disasters, and other emergencies; and

minimize the damage and assist in the recovery from

terrorist attacks, natural disasters, and other

emergencies. The act also designates DHS as “a focal

point regarding natural and manmade crises and

emergency planning.”

Secretary of Homeland Security

Pursuant to HSPD-5, the Secretary of Homeland Security

is responsible for coordinating Federal operations

within the United States to prepare for, respond to, and

recover from terrorist attacks, major disasters, and other

emergencies. HSPD-5 further designates the Secretary

of Homeland Security as the “principal Federal official”

for domestic incident management.

In this role, the Secretary is also responsible for

coordinating Federal resources utilized in response to or

recovery from terrorist attacks, major disasters, or other

emergencies if and when any of the following four

conditions applies:

(1) a Federal department or agency acting under its

own authority has requested DHS assistance;

(2) the resources of State and local authorities are overwhelmed and Federal assistance has been requested;

(3) more than one Federal department or agency has

become substantially involved in responding to the

incident; or

(4) the Secretary has been directed to assume incident

management responsibilities by the President.

Department of Justice 

The Attorney General is the chief law enforcement 

officer in the United States.

Attorney General

In accordance with HSPD-5 and other relevant statutes

and directives, the Attorney General has lead

responsibility for criminal investigations of terrorist

acts or terrorist threats by individuals or groups inside

the United States, or directed at U.S. citizens or

institutions abroad, where such acts are within the

Federal criminal jurisdiction of the United States, as

well as for related intelligence-collection activities

within the United States, subject to applicable laws,

Executive orders, directives, and procedures.

Generally acting through the Federal Bureau of

Investigation (FBI), the Attorney General, in cooperation

with other Federal departments and agencies engaged in

activities to protect national security, coordinates the

activities of the other members of the law enforcement

community to detect, prevent, preempt, and disrupt

terrorist attacks against the United States. This includes

actions to prevent, preempt, and disrupt specific

terrorist threats or actual incidents that are based upon

specific intelligence or law enforcement information.

Nothing in this plan derogates the Attorney General's

status or responsibilities.

Following a terrorist threat or an actual incident that

falls within the criminal jurisdiction of the United

States, the full capabilities of the United States will be

dedicated to assisting the Attorney General to identify

the perpetrators and bring them to justice, consistent

■ Provides leadership and plays a key role in

communicating to the tribal nation, and in helping

people, businesses, and organizations cope with the

consequences of any type of domestic incident

within the jurisdiction;

■ Negotiates and enters into mutual aid agreements with

other tribes/jurisdictions to facilitate resource-sharing;

■ Can request State and Federal assistance through the

Governor of the State when the tribe’s capabilities

have been exceeded or exhausted; and

■ Can elect to deal directly with the Federal Government.

(Although a State Governor must request a Presidential

disaster declaration on behalf of a tribe under the

Stafford Act, Federal agencies can work directly with

the tribe within existing authorities and resources.)

December 2004 National Response Plan | 9
with U.S. law and with authorities of other Federal

departments and agencies to protect national security.

Department of Defense (DOD)

DOD has significant resources that may be available to

support the Federal response to an Incident of National

Significance.

Secretary of Defense

The Secretary of Defense authorizes Defense Support of

Civil Authorities (DSCA) for domestic incidents as

directed by the President or when consistent with

military readiness operations and appropriate under the

circumstances and the law. The Secretary of Defense

retains command of military forces under DSCA, as

with all other situations and operations.

Concepts of “command” and “unity of command” have

distinct legal and cultural meanings for military forces and

operations. For military forces, command runs from the

President to the Secretary of Defense to the Commander of

the combatant command to the commander of the forces.

The “Unified Command” concept utilized by civil authorities is distinct from the military chain of command.

Nothing in this plan impairs or otherwise affects the

authority of the Secretary of Defense over the DOD, including the chain of command for military forces from the

President as Commander in Chief, to the Secretary of

Defense, to the commander of military forces, or military

command and control procedures. The Secretary of Defense

shall provide defense support of civil authorities for domestic incidents as directed by the President or when consistent

with military readiness and appropriate under the circumstances and the law. The Secretary of Defense shall retain

command of military forces providing civil support.

Department of State

DOS has international coordination responsibilities.

Secretary of State

The Secretary of State is responsible for coordinating

international prevention, preparedness, response, and

recovery activities relating to domestic incidents, and for

the protection of U.S. citizens and U.S. interests overseas.

Other Federal Agencies

During an Incident of National Significance, other Federal

departments or agencies may play primary, coordinating,

and/or support roles based on their authorities and

resources and the nature of the incident. In situations

where a Federal agency has jurisdictional authority and

responsibility for directing or managing a major aspect of

the response, that agency is part of the national leadership

for the incident and participates as a Senior Federal Official

(SFO) or Senior Federal Law Enforcement Official (SFLEO)

in the Joint Field Office (JFO) Coordination Group at the

field level, and as part of the Interagency Incident

Management Group (IIMG) and/or Homeland Security

Council (HSC)/National Security Council (NSC) Policy

Coordination Committees (PCC). (See section IV, page 22.)

Some Federal agencies with jurisdictional authority and

responsibility may also participate in the Unified Command

at the Incident Command Post (ICP). Federal departments

and agencies participate in the ESF structure as coordinators,

primary agencies, and/or support agencies and/or as

required to support incident management activities.

HSPD-5 directs the heads of all Federal departments and

agencies, in the context of domestic incident management,

to “provide their full and prompt cooperation, resources,

and support, as appropriate and consistent with their own

responsibilities for protecting our national security, to the

Secretary of Homeland Security, the Attorney General, the

Secretary of Defense, and the Secretary of State.”

Several Federal agencies have independent authorities to

declare disasters or emergencies. These authorities may

be exercised concurrently with or become part of a

major disaster or emergency declared under the Stafford

Act. Some examples of agencies exercising independent

authorities include the following scenarios:

■ The Secretary of Agriculture may declare a disaster 

in certain situations in which a county sustained 

production loss of 30 percent or greater in a single

major enterprise, authorizing emergency loans for

physical damages and crop loss.

10 | National Response Plan December 2004

Emergency Support Function

A grouping of government and certain private-sector

capabilities into an organizational structure to provide

support, resources, and services.
■ The Administrator of the Small Business

Administration may make a disaster declaration based

on physical damage to buildings, machinery,

equipment, inventory, homes, and other property as

well as economic injury.

■ The Secretary of Commerce may make a declaration of a

commercial fisheries failure or fishery resources disaster.

■ The Secretary of Health and Human Services may

declare a public health emergency.

■ The U.S. Army Corps of Engineers (USACE) Chief of

Engineers may issue a disaster declaration in response

to flooding and coastal storms. USACE is authorized

to undertake emergency operations and activities.

■ A Federal On-Scene Coordinator (OSC), designated

by the Environmental Protection Agency (EPA),

DHS/U.S. Coast Guard (DHS/USCG), DOD, or the

Department of Energy (DOE) under the NCP, has the

authority to direct response efforts at the scene of a

discharge or release of oil, hazardous substance,

pollutants, or contaminants, depending on the

substance and the location and source of release.

The ESF, Support, and Incident Annexes provide further

discussion of the domestic incident management roles and

responsibilities of other Federal departments and agencies.

Emergency Support Functions

The NRP applies a functional approach that groups the

capabilities of Federal departments and agencies and the

American Red Cross into ESFs to provide the planning,

support, resources, program implementation, and

emergency services that are most likely to be needed

during Incidents of National Significance. The Federal

response to actual or potential Incidents of National

Significance is typically provided through the full or

partial activation of the ESF structure as necessary. The

ESFs serve as the coordination mechanism to provide

assistance to State, local, and tribal governments or to

Federal departments and agencies conducting missions of

primary Federal responsibility. ESFs may be selectively

activated for both Stafford Act and non-Stafford Act

incidents where Federal departments or agencies request

DHS assistance or under other circumstances as defined

in HSPD-5. The ESFs provide staffing for the National

Response Coordination Center (NRCC), Regional

Response Coordination Center (RRCC), JFO, and ICP as

required by the situation at hand.

Each ESF is composed of primary and support agencies.

The NRP identifies primary agencies on the basis of

authorities, resources, and capabilities. Support agencies

are assigned based on resources and capabilities in a given

functional area. The resources provided by the ESFs reflect

the resource-typing categories identified in the NIMS. The

scope of each ESF is summarized in Figure 2 on the

following page. ESFs are expected to support one another

in carrying out their respective roles and responsibilities.

Additional discussion on roles and responsibilities of ESF

coordinators, primary agencies, and support agencies can

be found in the introduction to the ESF Annexes.

Note that not all Incidents of National Significance

result in the activation of ESFs. It is possible that an

Incident of National Significance can be adequately

addressed by DHS and other Federal agencies through

activation of certain NRP elements (e.g., Principal

Federal Official (PFO), IIMG) without the activation of

ESFs. Similarly, operational security considerations may

dictate that activation of NRP elements be kept to a

minimum, particularly in the context of certain

terrorism prevention activities.

December 2004 National Response Plan | 11

Nongovernmental and Volunteer Organizations

NGOs collaborate with first responders, governments at

all levels, and other agencies and organizations providing

relief services to sustain life, reduce physical and

emotional distress, and promote recovery of disaster

victims when assistance is not available from other

sources. For example, the American Red Cross is an NGO

that provides relief at the local level and also coordinates

the Mass Care element of ESF #6. Community-based

organizations (CBOs) receive government funding to

provide essential public health services.

The National Voluntary Organizations Active in Disaster

(NVOAD) is a consortium of more than 30 recognized

national organizations of volunteers active in disaster

relief. Such entities provide significant capabilities to

incident management and response efforts at all levels.

For example, the wildlife rescue and rehabilitation

activities conducted during a pollution emergency are

often carried out by private, nonprofit organizations

working with natural resource trustee agencies.
12 | National Response Plan December 2004

ESF #1 - Transportation ■ Federal and civil transportation support ■ Transportation safety ■ Restoration/recovery of transportation infrastructure ■ Movement restrictions ■ Damage and impact assessment

ESF #2 - Communications ■ Coordination with telecommunications industry ■ Restoration/repair of telecommunications infrastructure ■ Protection, restoration, and sustainment of national cyber and information technology resources

ESF #3 - Public Works 

and Engineering

■ Infrastructure protection and emergency repair ■ Infrastructure restoration ■ Engineering services, construction management ■ Critical infrastructure liaison 

ESF #4 - Firefighting ■ Firefighting activities on Federal lands ■ Resource support to rural and urban firefighting operations 

ESF #5 - Emergency Management ■ Coordination of incident management efforts ■ Issuance of mission assignments ■ Resource and human capital ■ Incident action planning ■ Financial management

ESF #6 - Mass Care, Housing,

and Human Services

■ Mass care ■ Disaster housing ■ Human services 

ESF #7 - Resource Support ■ Resource support (facility space, office equipment and supplies, contracting services, etc.)

ESF #8 - Public Health 

and Medical Services

■ Public health ■ Medical ■ Mental health services ■ Mortuary services

ESF #9 - Urban Search 

and Rescue

■ Life-saving assistance ■ Urban search and rescue

ESF #10 - Oil and Hazardous 

Materials Response

■ Oil and hazardous materials (chemical, biological, radiological, etc.) response ■ Environmental safety and short- and long-term cleanup

ESF #11 - Agriculture and 

Natural Resources

■ Nutrition assistance ■ Animal and plant disease/pest response ■ Food safety and security ■ Natural and cultural resources and historic properties protection and restoration

ESF #12 - Energy ■ Energy infrastructure assessment, repair, and restoration ■ Energy industry utilities coordination ■ Energy forecast

ESF #13 - Public Safety and

Security

■ Facility and resource security ■ Security planning and technical and resource assistance ■ Public safety/security support ■ Support to access, traffic, and crowd control

ESF #14 - Long-Term Community

Recovery and Mitigation

■ Social and economic community impact assessment ■ Long-term community recovery assistance to States, local governments, and the private sector ■ Mitigation analysis and program implementation

ESF #15 - External Affairs ■ Emergency public information and protective action guidance ■ Media and community relations ■ Congressional and international affairs ■ Tribal and insular affairs

FIGURE 2. Emergency Support Functions

ESF Scope
December 2004 National Response Plan | 13

Impacted Organization 

or Infrastructure

Private-sector organizations may be affected by direct or indirect consequences of 

the incident, including privately owned critical infrastructure, key resources, and those

main private-sector organizations that are significant to local, regional, and national

economic recovery from the incident. Examples of privately owned infrastructure include

transportation, telecommunications, private utilities, financial institutions, and hospitals.

Response Resource Private-sector organizations provide response resources (donated or compensated) 

during an incident—including specialized teams, equipment, and advanced technologies

—through local public-private emergency plans, mutual aid agreements, or incidentspecific requests from government and private-sector-volunteered initiatives.

Regulated and/or

Responsible Party

Owners/operators of certain regulated facilities or hazardous operations may bear

responsibilities under the law for preparing for and preventing incidents from

occurring, and responding to an incident once it occurs. For example, Federal

regulations require owners/operators of Nuclear Regulatory Commission (NRC)-

regulated nuclear facilities and activities to maintain emergency (incident) preparedness

plans, procedures, and facilities and to perform assessments, prompt notifications, and

training for a response to an incident.

State/Local Emergency

Organization Member

Private-sector organizations may serve as an active partner in local and State emergency

preparedness and response organizations and activities.

Type of Organization Role

Responsibilities: Private-sector organizations support

the NRP (voluntarily or to comply with applicable laws

and regulations) by sharing information with the

government, identifying risks, performing vulnerability

assessments, developing emergency response and

business continuity plans, enhancing their overall

readiness, implementing appropriate prevention and

protection programs, and donating or otherwise

providing goods and services through contractual

arrangement or government purchases to assist in

response to and recovery from an incident.

Certain organizations are required by existing law and

regulation to bear the cost of planning and response to

incidents, regardless of cause. In the case of an

Incident of National Significance, these private-sector

organizations are expected to mobilize and employ the

resources necessary and available in accordance with

their plans to address the consequences of incidents at

their own facilities or incidents for which they are

otherwise responsible.

Response Resources: Unless the response role is

inherently governmental (e.g., law enforcement, etc.),

private-sector organizations are encouraged to develop

and maintain capabilities to respond to and manage a

complete spectrum of incidents and emergencies. The

Federal Government maintains ongoing interaction

with the critical infrastructure and key resources

industries to provide coordination for prevention,

preparedness, response, and recovery activities. When

practical, or when required under Federal law, privatePrivate Sector

DHS and NRP primary and support agencies coordinate

with the private sector to effectively share information,

form courses of action, and incorporate available

resources to prevent, prepare for, respond to, and

recover from Incidents of National Significance.

Further, the Secretary of Homeland Security utilizes a

private-sector advisory group with broad

representation to provide advice on incident

management and emergency response issues impacting

their stakeholders.

Roles: The roles, responsibilities, and participation of

the private sector during Incidents of National

Significance vary based on the nature of the organization

and the type and impact of the incident. The roles of

private-sector organizations are summarized below.
Citizen Involvement

Strong partnerships with citizen groups and organizations

provide support for incident management prevention,

preparedness, response, recovery, and mitigation.

The U.S. Citizen Corps brings these groups together

and focuses efforts of individuals through education,

training, and volunteer service to help make

communities safer, stronger, and better prepared to

address the threats of terrorism, crime, public health

issues, and disasters of all kinds.

Local Citizen Corps Councils implement Citizen Corps

programs, which include Community Emergency

Response Teams (CERTs), Medical Reserve Corps,

Neighborhood Watch,Volunteers in Police Service, and

the affiliate programs; provide opportunities for special

skills and interests; develop targeted outreach for

special-needs groups; and organize special projects and

community events.

Citizen Corps Affiliate Programs expand the resources

and materials available to States and local communities

through partnerships with programs and organizations

that offer resources for public education, outreach, and

training; represent volunteers interested in helping to

make their communities safer; or offer volunteer

service opportunities to support first responders,

disaster relief activities, and community safety efforts.

Other programs unaffiliated with Citizen Corps also

provide organized citizen involvement opportunities in

support of Federal response to major disasters and

events of national significance. One example is the

National Animal Health Emergency Response Corps

(NAHERC), which helps protect public health by

providing a ready reserve of private and State animal

health technicians and veterinarians to combat threats

to U.S. livestock and poultry in the event of a large

outbreak of a foreign animal disease.

sector representatives should be included in planning

and exercises. The government may, in some cases,

direct private-sector response resources when they have

contractual relationships, using government funds.

Through the Defense Production Act of 1950, 64 Stat.

798 (1950), as amended, and the Homeland Security

Act, DHS has the authority to redirect production and

distribution of certain response and incident

management resources.

Functional Coordination: The primary agency(ies) 

for each ESF maintains working relations with its

associated private-sector counterparts through

partnership committees or other means (e.g., ESF #2,

Communications – telecommunications industry; ESF

#10, Oil and Hazardous Materials Response – oil and

hazardous materials industries; etc.).

14 | National Response Plan December 2004

Citizen Corps

The Citizen Corps works through a national network of

State, local, and tribal Citizen Corps Councils, which

bring together leaders from law enforcement, fire,

emergency medical and other emergency management,

volunteer organizations, local elected officials, the

private sector, and other community stakeholders.
The President leads the Nation in responding effectively

and ensuring the necessary resources are applied quickly

and efficiently to all Incidents of National Significance.

As necessary, the Assistant to the President for Homeland

Security convenes interagency meetings to coordinate

policy issues. Though White House-level coordination

mechanisms are not described in detail in the NRP, all

other Federal coordinating mechanisms and entities

described in the NRP support, and are consistent with,

White House-level interagency coordination.

During actual or potential Incidents of National

Significance, the overall coordination of Federal incident

management activities is executed through the Secretary

of Homeland Security. Other Federal departments and

agencies carry out their incident management and

emergency response authorities and responsibilities

within this overarching coordinating framework.

The Secretary of Homeland Security utilizes multiagency

structures at the headquarters, regional, and field levels

to coordinate efforts and provide appropriate support to

the incident command structure. At the Federal

headquarters level, incident information-sharing,

operational planning, and deployment of Federal

resources are coordinated by the Homeland Security

Operations Center (HSOC), and its component element,

the NRCC.

Strategic-level interagency incident management

coordination and course of action development are

facilitated by the IIMG, which also serves as an advisory

body to the Secretary of Homeland Security. Issues

beyond the Secretary's authority to resolve are referred

to the appropriate White House entity for resolution.

This section describes the Federal coordinating

structures, processes, and protocols employed to

manage Incidents of National Significance. These

coordinating structures and processes are designed to

enable execution of the responsibilities of the President

through the appropriate Federal departments and

agencies, and to integrate Federal, State, local, tribal,

NGO, and private-sector efforts into a comprehensive

national approach to domestic incident management.

A basic premise of the NRP is that incidents are

generally handled at the lowest jurisdictional level

possible. Police, fire, public health and medical,

emergency management, and other personnel are

responsible for incident management at the local level.

In some instances, a Federal agency in the local area

may act as a first responder and may provide direction

or assistance consistent with its specific statutory

authorities and responsibilities. In the vast majority of

incidents, State and local resources and interstate mutual

aid normally provide the first line of emergency

response and incident management support.

When an incident or potential incident is of such

severity, magnitude, and/or complexity that it is

considered an Incident of National Significance

according to the criteria established in this plan, the

Secretary of Homeland Security, in coordination with

other Federal departments and agencies, initiates

actions to prevent, prepare for, respond to, and recover

from the incident. These actions are taken in

conjunction with State, local, tribal, nongovernmental,

and private-sector entities as appropriate to the threat

or incident. In the context of Stafford Act disasters or

emergencies, DHS coordinates supplemental Federal

assistance when the consequences of the incident

exceed State, local, or tribal capabilities.

IV. Concept of Operations

General

December 2004 National Response Plan | 15

A basic premise of the NRP is that incidents are

generally handled at the lowest jurisdictional level

possible.

In an Incident of National Significance, the Secretary

of Homeland Security, in coordination with other

Federal departments and agencies, initiates actions

to prevent, prepare for, respond to, and recover from

the incident. These actions are taken in conjunction

with State, local, tribal, nongovernmental, and

private-sector entities.

Overall Coordination of Federal Incident Management Activities
Concurrent Implementation of Other Plans

At the regional level, interagency resource coordination

and multiagency incident support are provided by the

RRCC. In the field, the Secretary of Homeland Security

is represented by the PFO (and/or the Federal

Coordinating Officer (FCO)/Federal Resource

Coordinator (FRC) as appropriate). Overall Federal

support to the incident command structure on-scene is

coordinated through the JFO.

For terrorist incidents, the primary responsibilities for

coordinating and conducting all Federal law enforcement

and criminal investigation activities are executed by the

Attorney General acting through the FBI. During a

terrorist incident, the local FBI Special Agent-in-Charge

(SAC) coordinates these activities with other members of

the law enforcement community, and works in

conjunction with the PFO, who coordinates overall

Federal incident management activities. Notwithstanding

any other provision of the NRP, when a terrorist threat or

actual incident falls within the criminal jurisdiction of the

United States, any incident management activity by any

other Federal department or agency that could adversely

affect the Attorney General’s ability to prevent, preempt,

disrupt, and respond to such a threat or incident must be

coordinated with the Attorney General through the SFLEO

(i.e., the FBI SAC).

The framework created by these coordinating structures

is designed to accommodate the various roles the

Federal Government plays during an incident, whether

it is Federal support to (and in coordination with) State,

local, or tribal authorities; Federal-to-Federal support; or

direct implementation of Federal incident management

authorities and responsibilities when appropriate under

Federal law. This structure also encompasses the dual

roles and responsibilities of the Secretary of Homeland

Security for operational and resource coordination in

the context of domestic incident management.

16 | National Response Plan December 2004

The RRCC coordinates regional response efforts,

establishes Federal priorities, and implements local

Federal program support until a JFO is established.

The JFO is a temporary Federal facility established

locally to coordinate operational Federal assistance

activities to the affected jurisdiction(s) during

Incidents of National Significance.

The NRP is the core plan for managing domestic

incidents and details the Federal coordinating structures

and processes used during Incidents of National

Significance. Other supplemental agency and

interagency plans provide details on authorities,

response protocols, and technical guidance for

responding to and managing specific contingency

situations (such as hazardous materials spills, wildland

fires, etc.).

In many cases, Federal agencies manage localized

incidents under these plans using their own authorities

without the need for coordination by the Secretary of

Homeland Security. In the context of Incidents of

National Significance, these supplemental agency or

interagency plans may be implemented concurrently

with the NRP, but are subordinated to the overarching

core coordinating structures, processes, and protocols

detailed in the NRP. In this case, the department or

agency with primary responsibility for execution of the

supplemental agency or interagency plan is also

responsible for ensuring that all ongoing activities

conform to the processes and protocols prescribed in

the NRP. This helps enable effective and coordinated

Federal incident management operations, consistent

with individual department and agency authorities and

responsibilities. Similarly, this same principle applies to

the implementation of security plans developed to

support special security events, particularly NSSEs. A

comprehensive listing and summary of representative

national agency and interagency plans is included in

Appendix 4.
Organizational Structure

The national structure for incident management establishes

a clear progression of coordination and communication

from the local level to regional to national headquarters

level. This structure is diagramed in Figure 3 on page 19.

As illustrated in Figure 3, the local incident command

structures (namely the ICP(s) and Area Command) are

responsible for directing on-scene emergency

management and maintaining command and control of

on-scene incident operations.

The support and coordination components consist of multiagency coordination centers/emergency operations

centers (EOCs) and multiagency coordination entities. Multiagency coordination centers/EOCs provide central

locations for operational information-sharing and resource coordination in support of on-scene efforts.

Multiagency coordination entities aid in establishing

priorities among the incidents and associated resource

allocations, resolving agency policy conflicts, and

providing strategic guidance to support incident

management activities.

Figure 3. Excerpt

Multiagency

Coordination

Entities

December 2004 National Response Plan | 17

Figure 3. Excerpt

Incident Command Local Emergency

Ops Center

Incident 

Command Post

Incident 

Command Post

Area

Command 

Interagency

Incident

Management 

Group

JFO 

Coordination

Group

Figure 3. Excerpt 

EOCs/Multiagency 

Coordination 

Centers

Homeland

Security

Operations

Center

Regional 

Response

Coordination 

Center

Joint Field 

Office

State 

Emergency Ops

Center

Local 

Emergency Ops

Center

Incident 

Command Post

In accordance with NIMS processes, resource and policy

issues are addressed at the lowest organizational level

practicable. If the issues cannot be resolved at that level,

they are forwarded up to the next level for resolution.

Reflecting the NIMS construct, the NRP includes the

following command and coordination structures:

■ ICPs on-scene using the Incident Command System

(ICS)/Unified Command;

■ Area Command (if needed);

■ State, local, tribal, and private-sector EOCs;

■ JFO, which is responsible for coordinating Federal

assistance and supporting incident management

activities locally;

■ RRCC and HSOC, which serve as regional and

national-level multiagency situational awareness and

operational coordination centers;

■ IIMG, which serves as the national headquarters-level

multiagency coordination entity for domestic

incident management; and

■ HSC and other White House organizations, which

serve as the national-level multiagency coordination

entities to advise and assist the President on

homeland security and other policy issues.

The NRP organizational structure addresses both sitespecific incident management activities and the broader

regional or national issues related to the incident, such

as impacts to the rest of the country, immediate

regional or national actions required to avert or prepare

for potential subsequent events, and the management

of multiple threats or incidents (particularly those that

are non-site specific, geographically dispersed, or

evolve over a long period of time).
The role of regional coordinating structures varies

depending on the situation. Many incidents may be

coordinated by regional structures primarily using

regional assets. Larger, more complex incidents may

require direct coordination between the JFO and

national level, with regional structures continuing to

play a supporting role.

Variations of the basic structure are diagramed in the

following figures:

■ Figure 4 reflects modifications for terrorist incidents

and the role of the DOJ working through the FBI’s

Strategic Information and Operations Center (SIOC)

and the Joint Operations Center (JOC).

■ Figure 5 depicts the coordination structure for

Federal-to-Federal support when DHS is coordinating

resources to support another Federal agency in nonStafford Act situations.

Additional information about each component of these

organizational structures is presented following the

figures.

18 | National Response Plan December 2004
December 2004 National Response Plan | 19 EOCs/Multiagency Coordination Centers

■ Support and coordination■ Identifying resource shortages 

and issues

■ Gathering and providing information■ Implementing multiagency 

coordination entity decisions

Incident Command■ Directing on-scene 

emergency management

Homeland

Security

Operations

Center

The focal point for coordination of Federalsupport is the Joint Field Office. As appropriate, the JFO maintains connectivity withFederal elements in the ICP in support ofState, local, and tribal efforts.

An Area Command is established whenthe complexity of the incident and incident management span-of-controlconsiderations so dictate.

The role of regionalcoordinating structuresvaries depending on thesituation. Many incidentsmay be coordinated byregional structures usingregional assets. Larger,more complex incidents mayrequire direct coordinationbetween the JFO andnational level, with regionalcomponents continuing toplay a supporting role.

Regional 

Response

Coordination 

Center

Joint Field 

Office

Interagency

Incident

Management 

Group

JFO Coordination

Group

State Emergency

Ops Center

Local Emergency

Ops Center

Incident 

Command Post

Incident 

Command Post

Incident 

Command Post

Area

Command 

Multiagency Coordination Entity■ Strategic coordination■ Prioritization between incidents and

associated resource allocation

■ Focal point for issue resolution

Coordination Structures Command Structures

NIMS FrameworkThe structure for NRP coordination is based on the NIMS construct:ICS/Unified Command on-scene supported by an Area Command (if needed),multiagency coordination centers, and multiagency coordination entities.

Field Level Regional Level National Level

FIGURE 3. Structure for NRP coordination
20 | National Response Plan December 2004 EOCs/Multiagency Coordination Centers

■ Support and coordination■ Identifying resource shortages 

and issues

■ Gathering and providing information■ Implementing multiagency 

coordination entity decisions

Incident Command■ Directing on-scene 

emergency management

(Area Command option not depicted)

Homeland

Security

Operations

Center

Regional 

Response

Coordination 

Center

Joint Field 

Office

* Strategic

Information &

Operations

Center

* Joint

Operations 

Center

Interagency

Incident

Management 

Group

JFO Coordination

Group

State Emergency

Ops Center

Local Emergency

Ops Center

Incident 

Command Post

Multiagency Coordination Entity■ Strategic coordination■ Prioritization between incidents and

associated resource allocation

■ Focal point for issue resolution

Command Structures Coordination Structures

NIMS Framework Field Level Regional Level National Level

FIGURE 4. Structure for NRP coordination: Terrorist incident

*At the field level, the FBI Joint Operations Center coordinates all criminal

investigation and law enforcement-related activities. When the JFO isestablished, the JOC becomes a component of the JFO. At theheadquarters level, the FBI Strategic Information and Operations Centercoordinates criminal investigation and law enforcement-related activitiesand works in coordination with the HSOC and IIMG. The SIOC functions asboth a multiagency coordination center and multiagency coordination entityas defined in the NIMS.
December 2004 National Response Plan | 21 EOCs/Multiagency Coordination Centers

■ Support and coordination■ Identifying resource shortages 

and issues

■ Gathering and providing information■ Implementing multiagency 

coordination entity decisions

Incident Command■ Directing on-scene 

emergency management

(Area Command option not depicted)

Homeland

Security

Operations

Center

Regional 

Response

Coordination 

Center

Joint Field 

Office

Federal

Dept/Agency 

Emergency Ops

Center

Regional Federal

Dept/Agency 

Emergency Ops

Center

Interagency

Incident

Management 

Group

JFO Coordination

Group

State Emergency

Ops Center

Local Emergency

Ops Center

Incident 

Command Post

Multiagency Coordination Entity■ Strategic coordination■ Prioritization between incidents and

associated resource allocation

■ Focal point for issue resolution

Coordination Structures Command Structures

NIMS Framework Field Level Regional Level National LevelFIGURE 5. Structure for NRP coordination: Federal-to-Federal support

During a Federal-to-Federal support situation, theJFO provides support to the federally establishedICP (or Area Command if established).
This section discusses the major organizational

elements in the structure for Federal NRP coordination

diagramed in Figures 3 through 5. Included in the

discussion are special teams and other associated

components, to include White House-level entities.

Homeland Security Council/National

Security Council

As stated in HSPD-5, the Assistant to the President for

Homeland Security and the Assistant to the President

for National Security Affairs are responsible for

interagency policy coordination regarding domestic

and international incident management, respectively, as

directed by the President. Following an initial

assessment by the Secretary of Homeland Security,

interagency policy issues and courses of action framed

by the IIMG, particularly those of a time-sensitive

nature, those that require policy adjudication, or those

outside the authorities of the Secretary, as defined in

the Homeland Security Act, Stafford Act, and other

relevant statutes, Executive orders, and directives, are

elevated for resolution through the HSC/NSC system.

The Assistant to the President for Homeland Security

and the Assistant to the President for National Security

Affairs work together to ensure that domestic and

international incident management efforts are

seamlessly united.

Policy Coordination Committees (PCCs)

PCCs coordinate policy issues as part of the White

House process. PCCs may be convened at the request

of any member agency on an emergency basis based on

a threat, an Incident of National Significance, or a

policy issue of an urgent nature.

Interagency Incident Management Group

The IIMG is a Federal headquarters-level multiagency

coordination entity that facilitates strategic Federal

domestic incident management for Incidents of

National Significance. The Secretary of Homeland

Security activates the IIMG based on the nature,

severity, magnitude, and complexity of the threat or

incident. The Secretary of Homeland Security may

activate the IIMG for high-profile, large-scale events

that present high-probability targets, such as NSSEs,

and in heightened threat situations. The IIMG is

comprised of senior representatives from DHS

components, other Federal departments and agencies,

and NGOs, as required. (For incident-specific

activities, the IIMG replaces the Catastrophic Disaster

Response Group that served as the policy-level

multiagency coordination entity under the FRP.)

The IIMG membership is flexible and can be tailored or

task-organized to provide the appropriate subjectmatter expertise required for the specific threat or

incident at hand. When activated, the IIMG:

■ Serves as a focal point for Federal strategic incident

management planning and coordination;

■ Maintains situational awareness of threat assessments

and ongoing incident-related operations and

activities;

■ Provides decisionmaking support for threat or

incident-related prevention, preparedness, response,

and recovery efforts;

■ Synthesizes information, frames issues, and makes

recommendations to the Secretary of Homeland

Security on:

■ Actions to take in response to credible threats,

■ Changes in the national HSAS alert level,

■ Policy issues,

■ Operational courses of action, and

■ Priorities for the use or allocation of Federal

resources;

■ Provides strategic coordination and recommendations

for the application of Federal resources in

cooperation with existing agency and interagency

resource management and private-sector entities;

■ Assesses national impacts of the incident(s) as well as

those associated with the actual or proposed Federal

response;

■ Anticipates evolving Federal resource and operational

requirements according to the specifics of the

situation;

■ Maintains ongoing coordination with the PFO and

the JFO Coordination Group;

■ Coordinates with the FBI SIOC on terrorism-related

issues;

Principal NRP Organizational Elements

22 | National Response Plan December 2004
■ Facilitates interagency operational coordination and

coordination with other public and private entities

required for implementation of decisions and

directions from the President or other appropriate

White House entities; and

■ Develops strategies for implementing existing

policies and provides incident information to DHS

and the White House to facilitate policymaking. The

White House originates any new policies pertaining

to a major incident and resolves interagency policy

disputes.

IIMG Director, Deputy, or Designee

The IIMG coordinates with and provides information 

to the White House including, but not limited to:

situational awareness and operational prevention,

protection, preparedness, response, and recovery

activities, as well as policy course of action

recommendations. The IIMG Director, deputy, or

designee, in support of the Secretary of Homeland

Security, may participate in White House organization

meetings. Policy decisions made through the HSC/NSC

system are referred to the IIMG and the appropriate

departments and agencies for implementation.

The IIMG monitors policy and operational courses of

action implemented by individual departments and

agencies, monitors progress, and reports status back

through the DHS representative on a timely basis.

IIMG Staffing

As indicated below, the IIMG consists of an Executive

Staff, Core Group, and Subject-Matter Expert

Augmentation.

IIMG Executive Staff

The Executive Staff includes a Director, Deputy Director,

Operations Deputy, Information Analyst, Information

Requirements Manager, Recorder, Situation Briefer,

Resource Tracker, and Administrative Assistant. The

Secretary of Homeland Security will designate a senior

department representative to serve as the IIMG Director.

IIMG Core Group

The IIMG Core Group includes representatives from

Federal departments and agencies, DHS components,

and other organizations as required. Affected States may

be represented on the IIMG either through the DHS

Office of State and Local Government Coordination and

Preparedness (OSLGCP) or, if needed, through a State

liaison to the IIMG. At the time of activation of the

IIMG, actual IIMG membership and participation is

tailored to include departments and agencies with the

appropriate jurisdictional authority and expertise for the

incident at hand, including the following scenarios:

chemical, biological, radiological, or nuclear event; nonWMD terrorist event; cyber event; oil/hazardous

materials spill; natural disaster; mass migration event;

and other emergencies as required.

IIMG Core Group Staffing

■ Department of Agriculture

■ Department of Commerce

■ Department of Defense

■ Department of Energy

■ Department of Health and Human Services

■ Department of Homeland Security

■ Border and Transportation Security

■ Citizenship and Immigration Services

■ Congressional Liaison

■ Customs and Border Protection

■ Emergency Preparedness and Response/Federal

Emergency Management Agency

■ Immigration and Customs Enforcement

■ Information Analysis and Infrastructure Protection

■ International Affairs Office

■ Legislative Affairs

■ Office of General Counsel

■ Office of National Capital Region Coordination

■ Office of State and Local Government Coordination

and Preparedness

■ Public Affairs

■ Science and Technology

■ Special Assistant to the Secretary for the Private Sector

■ Transportation Security Administration

■ U.S. Coast Guard

■ U.S. Secret Service ■ Department of Housing and Urban Development

■ Department of the Interior

■ Department of Justice

■ Bureau of Alcohol,Tobacco, Firearms and

Explosives

■ Drug Enforcement Agency

■ Federal Bureau of Investigation

■ U.S. Marshals Service

December 2004 National Response Plan | 23
■ Department of Labor

■ Department of State

■ Department of Transportation

■ Department of the Treasury

■ Department of Veterans Affairs

■ Central Intelligence Agency

■ Environmental Protection Agency

■ General Services Administration

■ National Aeronautics and Space Administration

■ Nuclear Regulatory Commission

■ Office of Personnel Management

■ Small Business Administration

■ U.S. Postal Service

■ White House Office of Science and Technology Policy

■ American Red Cross 

Subject-Matter Expert Augmentation

In addition to the Executive Staff and Core Group, the

IIMG integrates immediately available and on-call

operational subject-matter expertise and reach-back

capability to meet the demands of the particular

incident. For some responses, pre-established subjectmatter expert groups are part of ESF, Support, or Incident

Annex planning efforts, and provide appropriate

technical advice. For example, for incidents involving

hazardous materials, the National Response Team (NRT)

can provide assistance to the IIMG. (See the Science and

Technology Support Annex for additional information.)

IIMG Procedures

Procedures governing the designation, activation, recall,

assembly, and operational interaction of IIMG members

will be developed in concert with other Federal

departments and agencies and published by the

Secretary of Homeland Security in a separate document.

Homeland Security Operations Center

The HSOC is the primary national hub for domestic

incident management operational coordination and

situational awareness. The HSOC is a standing 24/7

interagency organization fusing law enforcement,

national intelligence, emergency response, and privatesector reporting. The HSOC facilitates homeland

security information-sharing and operational

coordination with other Federal, State, local, tribal, and

nongovernmental EOCs.

HSOC roles and responsibilities include:

■ Establishing and maintaining real-time

communications links to other Federal EOCs at the

national level, as well as appropriate State, tribal,

local, regional, and nongovernmental EOCs and

relevant elements of the private sector;

■ Maintaining communications with private-sector

critical infrastructure and key resources informationsharing entities;

■ Maintaining communications with Federal incident

management officials;

■ Coordinating resources pertaining to domestic

incident management, and the protection against and

prevention of terrorists attacks;

■ Coordinating with the Terrorist Screening Center

(TSC), FBI SIOC, National Counterterrorism Center

(NCTC), and other Federal Government entities for

terrorism-related threat analysis and incident

response, consistent with applicable Executive orders;

■ Providing general domestic situational awareness,

common operational picture, and support to and

acting upon requests for information from the IIMG

and DHS leadership; and

■ Acting as the primary conduit for the White House

Situation Room and IIMG for domestic situational

awareness.

The HSOC consists of a 24/7 multiagency watch and

operational coordination center and integrated elements

of DHS Information Analysis and Infrastructure

Protection/Office of the Assistant Secretary for

Information Analysis (DHS/IAIP/OIA) and DHS

Emergency Preparedness and Response/Federal

Emergency Management Agency (DHS/EPR/FEMA).

These elements work in close coordination to address

information/intelligence analysis and response

coordination.

HSOC (DHS Headquarters facility elements)

The HSOC integrates representatives from DHS and

other Federal departments and agencies to support

steady-state threat-monitoring requirements and

situational awareness, as well as operational incident

management coordination. The organizational

structure of the HSOC is designed to integrate a full

spectrum of interagency subject-matter expertise and

reach-back capability to meet the demands of a wide

range of potential incident scenarios.

24 | National Response Plan December 2004
HSOC Representatives

The HSOC includes representatives from:

■ Department of Agriculture*

■ Department of Commerce

■ National Oceanic and Atmospheric Administration ■ Department of Defense

■ Department of Energy

■ Department of Health and Human Services

■ Department of Homeland Security

■ Border and Transportation Security

■ Customs and Border Protection

■ Emergency Preparedness and Response/Federal

Emergency Management Agency

■ Federal Protective Service

■ Immigration and Customs Enforcement

■ Information Analysis and Infrastructure Protection

■ Office of the National Capital Region Coordination

■ Office of State and Local Government Coordination

and Preparedness

■ Public Affairs

■ Science and Technology

■ Transportation Security Administration

■ U.S. Coast Guard

■ U.S. Secret Service

■ Department of the Interior

■ Department of Justice

■ Bureau of Alcohol,Tobacco, Firearms and Explosives

■ Drug Enforcement Agency

■ Federal Bureau of Investigation

■ U.S. Marshals Service

■ Department of Labor*

■ Department of State

■ Department of Transportation*

■ Federal Aviation Administration*

■ Department of Veterans Affairs

■ Central Intelligence Agency

■ Environmental Protection Agency

■ Nuclear Regulatory Commission*

■ Office of Personnel Management

■ U.S. Postal Service

■ American Red Cross*

■ State and local law enforcement

* Staffing from these entities is situation dependent.

This list represents a generic template for steady-state

staffing for DHS Headquarters elements of the HSOC.

At the time of an incident, participation may be

expanded based on the specifics of the situation.

DHS component operations centers establish and

maintain direct connectivity, or capability for

connectivity, with the HSOC on a 24/7 basis and keep

it apprised of all operational activities conducted in

support of incident management requirements.

Nothing in this plan impacts or impedes the ability of

other Federal departments and agencies to establish

their own emergency operations centers and maintain a

direct flow of information to these operations centers

from government or private-sector representatives at

the local incident site.

Intelligence/Information Analysis

In partnership with other elements of the HSOC,

DHS/IAIP/OIA is responsible for interagency intelligence

collection requirements, analysis, production, and

product dissemination for DHS. DHS/IAIP/OIA:

■ Coordinates or disseminates homeland security threat

warnings, advisory bulletins, and other information

pertinent to national incident management to

Federal, State, regional, local, and nongovernmental

EOCs and incident management officials and relevant

elements of the private sector;

■ Coordinates with the TSC, FBI SIOC, NCTC, and other

Federal Government entities for terrorism-related and

homeland security-related threat analysis and warning,

consistent with applicable Executive orders;

■ Provides direct analytical support and coordinated

Request for Information (RFI) processing with the

HSOC in support of the IIMG;

■ Provides the threat/intelligence aspects of situational

awareness and forecasting of follow-on threat

activities/incidents; and

■ Maintains real-time communications links to other

national intelligence organizations.

The FBI develops and disseminates FBI intelligence

bulletins and threat warnings to law enforcement in

coordination with DHS.

Response and Resource Coordination

The NRCC is a multiagency center that provides overall

Federal response coordination for Incidents of National

Significance and emergency management program

implementation. DHS/EPR/FEMA maintains the NRCC

as a functional component of the HSOC in support of

incident management operations.

December 2004 National Response Plan | 25
The NRCC monitors potential or developing Incidents

of National Significance and supports the efforts of

regional and field components. NRCC functions in

support of multiagency planning and coordination of

incident management operations include:

■ Monitoring the preparedness of national-level

emergency response teams and resources;

■ In coordination with RRCCs, initiating mission

assignments or reimbursable agreements to activate

other Federal departments and agencies;

■ Activating and deploying national-level entities such

as the National Disaster Medical System (NDMS),

Urban Search and Rescue Task Forces, Mobile

Emergency Response Support (MERS), and

Emergency Response Team (ERT);

■ Coordinating and sustaining the Federal response to

potential and actual Incidents of National

Significance, including coordinating the use of

Federal remote sensing/disaster assessment support;

■ Providing management of field facilities, supplies,

and equipment;

■ Coordinating operational response and resource

allocation planning with the appropriate Federal

departments and agencies, RRCCs, and the JFO;

■ Tracking and managing Federal resource allocations

(see the Financial Management Support Annex

regarding financial tracking and management during

Federal-to-Federal support situations);

■ Collecting, evaluating, and disseminating information

regarding the incident response and status of

resources; and

■ Drafting and distributing operational warnings and

orders in coordination with other elements of the

HSOC.

In addition, the NRCC resolves Federal resource

support conflicts and other implementation issues

forwarded by the JFO. Those issues that cannot be

resolved by the NRCC are referred to the IIMG.

During an incident, the NRCC operates on a 24/7 basis

or as required in coordination with other elements of

the HSOC. To support incident operations, more than

40 departments and agencies from activated ESF

primary and support agencies provide representatives

to augment the NRCC. Additional interagency

representatives may be requested based on the situation

at hand. DHS/EPR/FEMA provides management and

support staff for functions not filled by ESF personnel.

The DHS/EPR/FEMA Operations Center (FOC)

supports the NRCC with a 24-hour watch and provides

notification to departments and agencies on the

activation (or potential activation) of ESFs.

Critical Infrastructure Protection

The HSOC maintains communications and coordinates

with critical infrastructure and key resources

information-sharing entities through the National

Infrastructure Coordinating Center (NICC). The NICC

monitors the Nation’s critical infrastructure and key

resources on an ongoing basis, and conducts daily

polling of the standing information-sharing entities for

incidents and abnormalities. During an incident, the

NICC provides a coordinating vehicle to share

information across infrastructure and key resources

sectors through appropriate information-sharing entities.

Strategic Information 

and Operations Center

The FBI SIOC is the focal point and operational control

center for all Federal intelligence, law enforcement, and

investigative law enforcement activities related to

domestic terrorist incidents or credible threats,

including leading attribution investigations. The SIOC

serves as an information clearinghouse to help collect,

process, vet, and disseminate information relevant to

law enforcement and criminal investigation efforts in a

timely manner. The SIOC maintains direct connectivity

with the HSOC and IIMG. The SIOC, located at FBI

Headquarters, supports the FBI’s mission in leading

efforts of the law enforcement community to detect,

prevent, preempt, and disrupt terrorist attacks against

the Unites States.

The SIOC houses the National Joint Terrorism Task

Force (NJTTF). The mission of the NJTTF is to enhance

communications, coordination, and cooperation among

Federal, State, local, and tribal agencies representing the

intelligence, law enforcement, defense, diplomatic,

public safety, and homeland security communities by

26 | National Response Plan December 2004

The FBI SIOC is the focal point and operational control

center for all Federal intelligence, law enforcement, and

investigative law enforcement activities related to

domestic terrorist incidents or credible threats,

including leading attribution investigations.
providing a point of fusion for terrorism intelligence

and by supporting Joint Terrorism Task Forces (JTTFs)

throughout the United States.

In situations other than terrorism, the Attorney General

may coordinate Federal law enforcement activities

through another DOJ operations center, as appropriate,

in coordination with the HSOC.

National Counterterrorism Center

The NCTC serves as the primary Federal organization

for analyzing and integrating all intelligence possessed

or acquired by the U.S. Government pertaining to

terrorism and counterterrorism, excepting purely

domestic counterterrorism information. The NCTC

may, consistent with applicable law, receive, retain, and

disseminate information from any Federal, State, or

local government or other source necessary to fulfill its

responsibilities.

The NCTC also conducts strategic operational planning

for counterterrorism activities, integrating all instruments

of national power, including diplomatic, financial,

military, intelligence, homeland security, and law

enforcement activities within and among agencies. It

assigns operational responsibilities to agencies for

counterterrorism activities that are consistent with

applicable law and support strategic plans to counter

terrorism. The NCTC ensures that agencies have access to

and receive intelligence needed to accomplish their

assigned activities. It does not direct the execution of

operations.

In addition, the NCTC serves as the central and shared

knowledge bank on known and suspected terrorists and

international terror groups, as well as their goals,

strategies, capabilities, and networks of contacts and

support. The NCTC ensures that agencies, as appropriate,

have access to and receive all-source intelligence support

needed to execute their counterterrorism plans or

perform independent, alternative analysis.

Emergency Support Functions

The ESF structure provides a modular structure to

energize the precise components that can best address

the requirements of the incident. For example, a largescale natural disaster or massive terrorist event may

require the activation of all ESFs. A localized flood or

tornado might only require activation of a select

number of ESFs. Based on the requirements of the

incident, ESFs provide the interagency staff to support

operations of the NRCC, the RRCC, and the JFO.

Depending on the incident, deployed assets of the ESFs

may also participate in the staffing of the ICP.

Under the NRP, each ESF is structured to provide optimal

support of evolving incident management requirements.

ESFs may be activated for Stafford Act and non-Stafford

Act implementation of the NRP (although some

Incidents of National Significance may not require ESF

activations). ESF funding for non-Stafford Act situations

will be accomplished using NRP Federal-to-Federal

support mechanisms and will vary based on the

incident. ESF activities and involvement vary throughout

an incident from high-visibility, high-intensity activities

during the early response, to program implementation

and management during recovery, to a stage of declining

requirements and deactivation as ESFs or ESF

components complete their missions.

Regional Coordination

Some Incidents of National Significance may be

managed primarily using regional resources, with

headquarters-level monitoring. In large-magnitude,

high-visibility, and/or sensitive situations, the JFO

coordinates directly with the headquarters-level HSOC

and IIMG. In these situations, regional organizational

elements remain in support roles.

The RRCC is a standing facility operated by

DHS/EPR/FEMA that is activated to coordinate regional

response efforts, establish Federal priorities, and

implement local Federal program support until a JFO is

established in the field and/or the PFO, FCO, or FRC can

assume their NRP coordination responsibilities. The

RRCC establishes communications with the affected

State emergency management agency and the NRCC,

coordinates deployment of the Emergency Response

Team–Advance Element (ERT-A) to field locations,

assesses damage information, develops situation reports,

and issues initial mission assignments.

The DHS/EPR/FEMA Regional Director activates the

RRCC based on the level of response required. The

RRCC is led by an RRCC Director and includes

December 2004 National Response Plan | 27
DHS/EPR/FEMA staff and regional ESF representatives.

The RRCC may also include a DOD Regional Emergency

Preparedness Liaison Officer (REPLO) who assists in

coordination of requests for defense support. Financial

management activity at the RRCC is monitored and

reported by the Comptroller. (The RRCC replaces the

Regional Operations Center (ROC) in the FRP.)

Joint Field Office

The JFO is a multiagency coordination center

established locally. It provides a central location for

coordination of Federal, State, local, tribal,

nongovernmental, and private-sector organizations with

primary responsibility for threat response and incident

support. The JFO enables the effective and efficient

coordination of Federal incident-related prevention,

preparedness, response, and recovery actions.

The JFO utilizes the scalable organizational structure of

the NIMS ICS in the context of both pre-incident and

post-incident management activities. The JFO

organization adapts to the magnitude and complexity

of the situation at hand, and incorporates the NIMS

principles regarding span of control and organizational

structure: management, operations, planning, logistics,

and finance/administration. Although the JFO uses an

ICS structure, the JFO does not manage on-scene

operations. Instead, the JFO focuses on providing

support to on-scene efforts and conducting broader

support operations that may extend beyond the

incident site.

As described in the NIMS, the JFO may also incorporate

a sixth element focused on intelligence and

information. This element may be included as a

position in the Coordination Staff, a unit within the

Planning Section, a branch within the Operations

Section, or as a separate General Staff Section. The

placement of the intelligence function is determined by

the JFO Coordination Group based on the role

intelligence plays in the incident and/or the volume of

classified or highly sensitive information. Personnel

from Federal departments and agencies, other

jurisdictional entities, and private-sector and

nongovernmental organizations provide staffing for the

JFO, generally through their respective ESFs.

The JFO fully replaces the DHS/EPR/FEMA Disaster

Field Office (DFO), and accommodates all entities (or

their designated representatives) essential to incident

management, information-sharing, and the delivery of

disaster assistance and other support.

When activated to support an NSSE or other security

coordination function, the DHS/U.S. Secret Service

(USSS) Multiagency Command Center (MACC) and the

FBI JOC are collocated at the JFO when possible. Other

Federal operations centers collocate at the JFO

whenever possible. In the event that collocation is not

practical, Federal agencies are connected virtually to the

JFO and assign liaisons to the JFO to facilitate the

coordination of Federal incident management and

assistance efforts. State, local, tribal, private-sector, and

nongovernmental organizations are encouraged to

assign liaisons to the JFO to facilitate interaction,

communication, and coordination. Law enforcement

activities are managed through the JOC, which

becomes an operational branch of the JFO during

terrorist-related Incidents of National Significance

when required.

Threat situations or incidents that impact multiple

States or localities may require separate JFOs. In these

situations, one of the JFOs may be identified (typically

in the most heavily impacted area) to provide strategic

leadership and coordination for the overall incident

management effort.

Figures 6 through 9 illustrate possible JFO

organizational structures for various types of threat

scenarios and incidents. Figure 6 illustrates the

organization for natural disasters, Figure 7 shows

modifications for terrorism, Figure 8 shows

modifications for incidents involving Federal-to-Federal

support, and Figure 9 depicts the JFO organization for

an NSSE. All or portions of these organizational

structures may be stood up based on the nature and

magnitude of the threat or incident.

28 | National Response Plan December 2004
December 2004 National Response Plan | 29

Federal

Coordinating

Officer

State

Coordinating

Officer

Senior Federal

Officials

FIGURE 6. Sample JFO organization during natural disasters

External Affairs

Office of 

Inspector General

Defense Coordinating

Officer

Time Unit

Procurement Unit

Cost Unit

Compensation/

Claims Unit

Operations Section Planning Section Logistics Section Finance/Admin Section

(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s) 

Infrastructure Liaison

Others as needed

Principal Federal Official

Note: Depending on the

magnitude of the disaster,

a Principal Federal Official

may not always be designated, in which case the

Federal Coordinating

Officer will provide the

Federal lead.

The State Coordinating

Officer represents 

the State, and in some

instances, the JFO

Coordination Group may

include local and/or tribal

representatives as well

as NGO and privatesector representatives,

as appropriate.

JFO Coordination

Group

JFO Coordination

Staff

JFO Sections

Coordination and

Planning Branch

Resource

Management Branch

Supply Branch

Information 

Services Branch

Situation Unit

Resource Unit

Documentation

Technical 

Specialists

Demobilization Unit

Human 

Services Branch

Emergency 

Services Branch

Infrastructure

Support Branch

Community 

Recovery and

Mitigation Branch
JFO Organization for Terrorist Incidents

For terrorist threats or incidents, the establishment of

the FBI JOC may precede the establishment of the other

components of the JFO in time and may constitute the

initial Federal coordinating presence locally. With the

establishment of a JFO, the JOC is incorporated as a

branch within the Operations Section (as shown in

Figure 7) with appropriate consideration given to the

protection of sensitive law enforcement and

investigative information within this structure.

Utilizing the flexibility of NIMS, this JFO structure aids

in the protection of sensitive information while fully

integrating law enforcement operations with other

incident management activities, as appropriate.

30 | National Response Plan December 2004

FBI Special 

Agent-in-Charge

Federal Coordinating

Officer

State Coordinating 

Officer

Senior Federal 

Officials

FIGURE 7. Sample JFO organization for terrorist incidents

External Affairs

Office of 

Inspector General

Defense Coordinating

Officer

Operations Section Planning Section Logistics Section Finance/Admin Section

(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s) 

Infrastructure Liaison

Others as needed

Principal Federal Official

The SCO represents 

the State, and in some

instances, the JFO

Coordination Group may

include local and/or tribal

representatives as well

as NGO and privatesector representatives,

as appropriate.

(Branches and sub-units established as needed)

JFO Coordination

Group

JFO Coordination

Staff

JFO Sections

Law Enforcement

Investigative Operations

(JOC) Branch

Domestic Emergency

Support Team

Response and 

Recovery Operations

Branch
JFO Organization for Federal-to-Federal Support

Other situations for which a JFO may be established

include incidents managed by one or more Federal

agencies that request DHS assistance or events that

escalate to Incidents of National Significance, such as

an oil spill escalating to a Spill of National Significance.

Again, the JFO organization is tailored to the incident

(based on NIMS), and includes SFOs from agencies

with relevant authority/jurisdiction as members of the

JFO Coordination Group.

December 2004 National Response Plan | 31

Federal Resource

Coordinator

State/Tribal/Local

Official(s)

Senior Federal

Officials

FIGURE 8. Sample JFO organization for Federal-to-Federal support

External Affairs

Office of 

Inspector General

Defense Coordinating

Officer

Operations Section Planning Section Logistics Section Finance/Admin Section

(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s) 

Infrastructure Liaison

Others as needed

Principal Federal Official Note: An FRC is present

if ESFs are activated,

and will represent the

DHS Secretary if a PFO

is not assigned.

JFO Coordination

Group

JFO Coordination

Staff

JFO Sections

(Branches and sub-units established as needed)
JFO Organization for National Special Security Events 

PDD-62 formalized and delineated the roles and 

responsibilities of Federal agencies in the development of

security plans for NSSEs. HSPD-7 established the new

process for designating events of national and international significance as NSSEs. Designated by the Secretary

of Homeland Security, these events include summits of

world leaders, meetings of international organizations,

national political party conventions, and major national

or international sporting events, which by virtue of their

political, economic, social, or religious significance may

be targets of terrorism or other criminal activity.

For NSSEs, DHS/USSS has primary responsibility for

security design, planning, and implementation; FBI has

primary responsibility for law enforcement, intelligence,

hostage rescue, counterterrorism, and criminal

investigation; and DHS/EPR/FEMA has primary

responsibility for emergency response and recovery

planning and coordination. These agencies work

together using the principles of Unified Command, with

a pre-designated PFO facilitating interagency incident

management coordination during NSSE planning and

execution. For these situations, the JFO combines the

functions of the DHS/USSS MACC, the FBI JOC, and the

Response and Recovery Operations Branch, as illustrated

in Figure 9.

32 | National Response Plan December 2004

FIGURE 9. Sample JFO organization for National Special Security Events

External Affairs

Office of 

Inspector General

Defense Coordinating

Officer

Operations Section Planning Section Logistics Section Finance/Admin Section

(Comptroller)

Chief of Staff

Safety Coordinator

Liaison Officer(s) 

Infrastructure Liaison

Others as needed

In some instances, the

JFO Coordination Group

may include NGO and/or

private-sector representatives, as appropriate.

(Branches and sub-units established as needed)

JFO Coordination

Group

JFO Coordination

Staff

JFO Sections

Security Operations

Branch (MACC)

Law Enforcement

Investigative Operations

(JOC) Branch

Response and 

Recovery Operations

Branch

Federal

Coordinating

Officer

State

Coordinating

Officer

Senior Federal

Officials

Principal Federal Official
JFO Organization Components

The JFO organization components are described in the

following sections.

JFO Coordination Group

Utilizing the NIMS principle of Unified Command, JFO

activities are directed by a JFO Coordination Group,

which may include the PFO, SFLEO, FCO/FRC, or other

SFOs with primary jurisdictional responsibility or

functional authority for the incident.

The JFO Coordination Group also includes a limited

number of principal State, local, and tribal officials

(such as the SCO), as well as NGO and private-sector

representatives. The JFO Coordination Group functions

as a multiagency coordination entity and works jointly

to establish priorities (single or multiple incidents) and

associated resource allocation, resolve agency policy

issues, and provide strategic guidance to support

Federal incident management activities. Generally, the

PFO, in consultation with the FCO and SFLEO,

determines the composition of the JFO Coordination

Group. The exact composition of the JFO is dependent

on the nature and magnitude of the incident, and

generally includes the personnel described in the

following subsections.

The JFO Coordination Group provides strategic

guidance and resolution of any conflicts in priorities

for allocation of critical Federal resources. If policy

issue resolution cannot be achieved between JFO

Coordination Group members, issues can be raised to

the IIMG or through the appropriate agency chain of

command for consideration by higher authorities.

Unresolved resource issues are forwarded to the NRCC,

then to the IIMG if further deliberation is required.

Principal Federal Official

The PFO is personally designated by the Secretary of

Homeland Security to facilitate Federal support to the

established ICS Unified Command structure and to

coordinate overall Federal incident management and

assistance activities across the spectrum of prevention,

preparedness, response, and recovery. The PFO ensures

that incident management efforts are maximized

through effective and efficient coordination. The PFO

provides a primary point of contact and situational

awareness locally for the Secretary of Homeland

Security. The Secretary is not restricted to DHS officials

when selecting a PFO.

The PFO does not direct or replace the incident

command structure established at the incident, nor

does the PFO have directive authority over the SFLEO,

FCO, or other Federal and State officials. Other Federal

incident management officials retain their authorities as

defined in existing statutes and directives. The PFO

coordinates the activities of the SFLEO, FCO, and other

Federal officials involved in incident management

activities acting under their own authorities. The PFO

also provides a channel for media and public

communications and an interface with appropriate

jurisdictional officials pertaining to the incident. Once

formally designated, PFOs relinquish the conduct of all

normal duties and functions. PFOs may not be “dualhatted” with any other roles or responsibilities that

could detract from their overall incident management

responsibilities.

PFO Responsibilities

The specific roles and responsibilities of the PFO

include the following:

■ Representing the Secretary of Homeland Security as

the lead Federal official;

■ Ensuring overall coordination of Federal domestic

incident management and resource allocation

activities;

■ Ensuring the seamless integration of Federal activities

in support of and in coordination with State, local,

and tribal requirements;

■ Providing strategic guidance to Federal entities;

■ Facilitating interagency conflict resolution as

necessary;

December 2004 National Response Plan | 33

JFO Coordination Group

Federal

Coordinating

Officer

State

Coordinating

Officer

Senior Federal

Officials

Principal Federal Official
■ Serving as a primary, although not exclusive, point of

contact for Federal interface with State, local, and

tribal senior elected/appointed officials, the media,

and the private sector;

■ Providing real-time incident information to the

Secretary of Homeland Security through the HSOC

and the IIMG, as required;

■ Coordinating response resource needs between

multiple incidents as necessary, or as directed by the

Secretary of Homeland Security;

■ Coordinating the overall Federal strategy locally to

ensure consistency of Federal interagency

communications to the public;

■ Ensuring that adequate connectivity is maintained

between the JFO and the HSOC; local, county, State,

and regional EOCs; nongovernmental EOCs; and

relevant elements of the private sector; and

■ Participating in ongoing steady-state preparedness

efforts (as appropriate for PFOs designated in a 

“pre-incident” mode, when a threat can be ascribed

to a particular geographic area).

For an actual incident, the Secretary may designate a

local Federal official as an “initial PFO” until the

primary PFO is in place. The initial PFO is accountable

for the same responsibilities as the PFO. In certain

scenarios, a PFO may be pre-designated by the

Secretary of Homeland Security to facilitate Federal

domestic incident planning and coordination at the

local level outside the context of a specific threat or

incident. A PFO also may be designated in a preincident mode for a specific geographic area based on

threat and other considerations. The PFO may hand off

duties to the FCO or other designated Federal official as

appropriate after an event transitions to long-term

recovery and/or cleanup operations.

The Secretary of Homeland Security announces

designation of the PFO via a message from the HSOC

to other Federal, State, and local emergency operations

centers, as well as through a letter to the

Governor/mayor of the affected jurisdiction(s).

The PFO and a small staff component may deploy with

the Domestic Emergency Support Team (DEST) to

facilitate their timely arrival and enhance initial

situational awareness. The PFO and supporting staff

conform to the deployment timelines and other

guidelines established in DEST procedures including,

but not limited to, those outlined in the MOU between

DHS and the FBI regarding the DEST program.

Nothing in the NRP alters the existing DEST concept of

operation or affects the mission of the DEST to support

the FBI SAC at the scene of a weapons of mass

destruction (WMD) threat or incident.

DHS conducts a formal training program for PFOdesignates. Unless extenuating circumstances dictate

otherwise, all PFO-designates should satisfactorily

complete this training program prior to performing

PFO-related responsibilities.

Federal Coordinating Officer

The FCO manages and coordinates Federal resource

support activities related to Stafford Act disasters and

emergencies. The FCO assists the Unified Command

and/or the Area Command. The FCO works closely

with the PFO, SFLEO, and other SFOs. In Stafford Act

situations where a PFO has not been assigned, the FCO

provides overall coordination for the Federal

components of the JFO and works in partnership with

the SCO to determine and satisfy State and local

assistance requirements.

FCO Responsibilities

Roles and responsibilities of the FCO include the

following:

■ Conducting an initial appraisal of the types of

assistance most urgently needed;

■ Coordinating the timely delivery of Federal assistance

to affected State, local, and tribal governments and

disaster victims;

■ Supporting the PFO, when one is designated;

■ When delegated from the DHS/EPR/FEMA Regional

Director, serving as Disaster Recovery Manager

(DRM) to administer the financial aspects of

assistance authorized under the Stafford Act;

■ Working in partnership with the SCO (appointed by

the Governor to oversee operations for the State) and

the Governor’s Authorized Representative (GAR)

(empowered by the Governor to execute all necessary

documents for Federal assistance on behalf of the

State); and

■ Taking other such action consistent with the

authority delegated to him/her as deemed necessary

to assist local citizens and public officials in promptly

obtaining assistance to which they are entitled.

34 | National Response Plan December 2004
Federal Resource Coordinator

In non-Stafford Act situations when a Federal

department or agency acting under its own authority

has requested the assistance of the Secretary of

Homeland Security to obtain support from other

Federal departments and agencies, DHS designates an

FRC. In these situations, the FRC coordinates support

through interagency agreements and MOUs. Relying

on the same skill set, DHS may select the FRC from the

FCO cadre or other personnel with equivalent

knowledge, skills, and abilities.

The FRC is responsible for coordinating the timely

delivery of resources to the requesting agency.

Senior Federal Law Enforcement Official

The SFLEO is the senior law enforcement official from

the agency with primary jurisdictional responsibility as

directed by statute, Presidential directive, existing

Federal policies, and/or the Attorney General. The

SFLEO directs intelligence/investigative law

enforcement operations related to the incident and

supports the law enforcement component of the

Unified Command on-scene. In the event of a terrorist

incident, this official will normally be the FBI SAC.

State/Local/Tribal Official(s)

The JFO Coordination Group also includes State

representatives such as the SCO, who serves as the State

counterpart to the FCO and manages the State’s

incident management programs and activities, and the

GAR, who represents the Governor of the impacted

State. The JFO Coordination Group may also include

tribal and/or local area representatives with primary

statutory authority for incident management.

Senior Federal Officials

The JFO Coordination Group may also include officials

representing other Federal departments or agencies

with primary statutory responsibility for certain aspects

of incident management. SFOs utilize existing

authorities, expertise, and capabilities to assist in

management of the incident working in coordination

with the PFO, FCO, SFLEO, and other members of the

JFO Coordination Group. When appropriate, the JFO

Coordination Group may also include U.S. attorneys or

other senior officials or their designees from DOJ to

provide expert legal counsel.

Responsible/Regulated Party

If the source of the incident is a privately owned

facility or vessel, the JFO Coordination Group may also

include a representative of the owners/operators of the

facility or vessel.

JFO Coordination Staff

In accordance with NIMS and ICS principles, the JFO

structure normally includes a Coordination Staff. The JFO

Coordination Group determines the extent of staffing

based on the type and magnitude of the incident.

The following paragraphs provide information on typical

staff positions.

Chief of Staff and Support Staff

The JFO Coordination Staff may include a Chief of Staff

and representatives providing specialized assistance,

which may include support in the following areas:

safety, legal counsel, equal rights, security,

infrastructure liaison, and other liaisons.

■ The Safety Coordinator has the following roles:

1) ensure that the Chief of Staff and the PFO receive

coordinated, consistent, accurate, and timely safety

and health information and technical assistance;

December 2004 National Response Plan | 35

JFO Coordination Staff

External Affairs

Office of 

Inspector General

Defense Coordinating

Officer

Chief of Staff

Safety Coordinator

Liaison Officer(s) 

Infrastructure Liaison

Others as needed
2) support the Safety Officer(s) at the ICP(s) by

coordinating worker safety and health resources and

providing technical assistance as necessary; and 

3) ensure the safety of the personnel in the JFO. The

Safety Coordinator may receive technical assistance

from responding safety and health personnel by

implementing the Worker Safety and Health Support

Annex.

■ Legal Affairs serves as the primary legal advisor to

the JFO Coordination Group and may also work with

each section chief to support programmatic,

logistical, and personnel matters as required.

■ The Equal Rights Officer serves to promote a

discrimination-free workplace and equal access to

recovery programs and benefits.

■ The Security Officer is responsible for safeguarding

JFO personnel and JFO facility security. When not

assigned elsewhere, the Security Officer also is

responsible for information security and operational

security, ensuring that sensitive information of all

types (e.g., classified information, sensitive law

enforcement information, proprietary and personal

information, or export-controlled information) is

handled in a way that not only safeguards the

information but also ensures that it gets to those who

need access to it so that they can effectively and

safely conduct their missions.

■ Liaisons serve as the point of contact for assisting

and coordinating activities with various agencies and

groups, and are assigned as needed.

■ The Infrastructure Liaison, designated by 

DHS/IAIP, serves as the principal advisor to the JFO

Coordination Group regarding all national- and

regional-level CI/KR incident-related issues. The

Infrastructure Liaison:

■ Acts as liaison between the national- and regionallevel CI/KR, the private sector, and JFO activities;

■ Coordinates CI/KR and ESF issues between the JFO

Coordination Group and IAIP representatives

located at the IIMG and NRCC;

■ Provides situational awareness concerning the

affected CI/KR and provides periodic updates to

the JFO Coordination Group; and

■ Communicates information to the IAIP

representative at the IIMG, NRCC, and NICC.

External Affairs Officer

The External Affairs Officer provides support to the JFO

leadership in all functions involving communications

with external audiences. External Affairs includes

Public Affairs, Community Relations, Congressional

Affairs, State and Local Coordination,Tribal Affairs, and

International Affairs, when appropriate. Resources for

the various External Affairs Functions are coordinated

through ESF #15. (See the ESF #15 Annex for more

information.)

The External Affairs Officer also is responsible for

overseeing operations of the Federal Joint Information

Center (JIC) established to support the JFO. The

following is a description of the JIC:

■ The JIC is a physical location where public affairs

professionals from organizations involved in incident

management activities work together to provide

critical emergency information, crisis

communications, and public affairs support. The JIC

serves as a focal point for the coordination and

dissemination of information to the public and

media concerning incident prevention, preparedness,

response, recovery, and mitigation. The JIC may be

established at an on-scene location in coordination

with State and local agencies depending on the

requirements of the incident. In most cases, the JIC

is established at, or is virtually connected to, the JFO

and is coordinated by Federal and State lead Public

Information Officers. In most Incidents of National

Significance, the Federal lead will be a DHS Public

Information Officer, who works with other Federal,

State, local, tribal, NGO, and private-sector public

affairs personnel. The JFO JIC works in close

coordination with other JICs to integrate into a Joint

Information System (JIS) providing consistent,

coordinated, and timely information during an

incident. (See the NIMS for more details on the JIS.)

■ The JIC develops, coordinates, and disseminates

unified news releases. News releases are cleared

through the JFO Coordination Group to ensure

36 | National Response Plan December 2004

The JIC serves as a focal point for the coordination

and dissemination of information to the public and

media concerning incident prevention, preparedness,

response, recovery, and mitigation.
consistent messages, avoid release of conflicting

information, and prevent negative impact on

operations. This formal approval process for news

releases ensures protection of law enforcementsensitive information. Agencies may issue their own

news releases related to their policies, procedures,

programs, and capabilities; however, these should be

coordinated with the JIC.

■ The PFO is supported by a dedicated DHS Public

Affairs Director who functions as the Press Secretary,

coordinates media activities, provides strategic

communications guidance to the JIC, and serves as a

designated spokesperson when directed by the PFO

and/or DHS Public Affairs.

■ The following elements should be represented at the

JIC: (1) DHS/EPR/FEMA Public Information Officer

and staff; (2) FBI Public Information Officer and staff

(when activated in support of a terrorist incident);

(3) other Federal agency Public Information Officers,

as required; and (4) State, local, tribal, and NGO

Public Information Officers. (See the ESF #15 Annex

and the Public Affairs Support Annex for additional

information on the JIC, public outreach, and

information dissemination.)

Defense Coordinating Officer

If appointed by DOD, the DCO serves as DOD’s single

point of contact at the JFO. With few exceptions,

requests for DSCA originating at the JFO are

coordinated with and processed through the DCO. The

DCO may have a Defense Coordinating Element (DCE)

consisting of a staff and military liaison officers in

order to facilitate coordination and support to activated

ESFs. Specific responsibilities of the DCO (subject to

modification based on the situation) include processing

requirements for military support, forwarding mission

assignments to the appropriate military organizations

through DOD-designated channels, and assigning

military liaisons, as appropriate, to activated ESFs.

JFO Sections

The JFO is organized into four sections: Operations

Section, Planning Section, Logistics Section, and

Finance/Administration Section (Comptroller).

Operations Section

The Operations Section coordinates operational support to

on-scene incident management efforts. Branches may be

added or deleted as required, depending on the nature of

the incident. The Operations Section also is responsible for

coordination with other Federal command posts that may

be established to support incident management activities.

For terrorist incidents, the Operations Section includes

a Law Enforcement Investigative Branch and a Response

and Recovery Branch. For NSSEs, a third branch, the

Security Operations Branch, may be added to

coordinate protection and security efforts.

In these situations, the Operations Section Chief is

designated by mutual agreement of the JFO

Coordination Group based on the agency with greatest

jurisdictional involvement and statutory authority for

the current incident priorities. The agency providing

the Operations Section Chief may change over time as

incident priorities change. Each of the Operations

Section branches is described below.

■ Law Enforcement Investigative Operations

Branch/Joint Operations Center: The JOC Branch is

established by the SFLEO (e.g., the FBI SAC during

terrorist incidents) to coordinate and direct law

enforcement and criminal investigation activities

related to the incident.

Operations Section Branches

December 2004 National Response Plan | 37

JFO Sections

Operations

Section

Operations

Section

Planning

Section

Logistics

Section

Fin/Admin

Section

Security

Operations

Branch (MACC)

Law

Enforcement

Investigative

Operations

(JOC) Branch

Response and 

Recovery

Operations

Branch
The JOC Branch ensures management and

coordination of Federal, State, local, and tribal

investigative/law enforcement activities. The

emphasis of the JOC is on prevention as well as

intelligence collection, investigation, and prosecution

of a criminal act. This emphasis includes managing

unique tactical issues inherent to a crisis situation

(e.g., a hostage situation or terrorist threat).

When this branch is included as part of the JFO, it is

responsible for coordinating the intelligence and

information function (as described in NIMS), which

includes information and operational security, and the

collection, analysis, and distribution of all incidentrelated intelligence. Accordingly, the Intelligence Unit

within the JOC Branch serves as the interagency

fusion center for all intelligence related to an incident.

All intelligence collected on-scene and through the

investigation is gathered at the Intelligence Unit.

Additionally, intelligence collected throughout the

Intelligence Community that may directly relate to the

incident is sent to the Intelligence Unit after being

assessed and verified at the SIOC. The Intelligence

Unit gathers this intelligence, declassifies it as

necessary, and distributes to members of the JFO as

appropriate. (See the Terrorism Incident Law

Enforcement and Investigation Annex for more

information on JOC functions.)

■ Response and Recovery Operations Branch: The

Response and Recovery Operations Branch

coordinates the request and delivery of Federal

assistance and support from various special teams.

This branch is comprised of four groups: Emergency

Services, Human Services, Infrastructure Support, and

Community Recovery and Mitigation.

■ Security Operations Branch: The Security

Operations Branch coordinates protection and site

security efforts, and incorporates the functions of the

DHS/USSS MACC during NSSEs.

Planning Section

The Planning Section’s function includes the collection,

evaluation, dissemination, and use of information

regarding the threat or incident and the status of Federal

resources. The Planning Section is responsible for

preparing and documenting Federal support actions,

and developing strategic, contingency, long-term, and

other plans related to the threat or incident, as needed.

The Planning Section provides current information to

the JFO Coordination Group to ensure situational

awareness, determine cascading effects, identify

national implications, and determine specific areas of

interest requiring long-term attention. The Planning

Section also provides technical and scientific expertise.

The Planning Section is comprised of the following

units: Situation, Resource, Documentation,Technical

Specialists, and Demobilization. The Planning Section

may also include an Information and Intelligence Unit

(if not assigned elsewhere) and an HSOC representative

who aids in the development of reports for the HSOC

and IIMG.

Logistics Section

This section coordinates logistics support that includes

control and accountability for Federal supplies and

equipment; resource ordering; delivery of equipment,

supplies, and services to the JFO and other field

locations; facility location, setup, space management,

building services, and general facility operations;

transportation coordination and fleet management

services; information and technology systems services;

administrative services such as mail management and

reproduction; and customer assistance. The Logistics

Section may include Coordination and Planning,

Resource Management, Supply, and Information

Services Branches.

Finance/Administration Section (Comptroller)

The Finance/Administration Section is responsible for

the financial management, monitoring, and tracking of

all Federal costs relating to the incident and the

functioning of the JFO while adhering to all Federal

laws, acts, and regulations. The position of the

Financial/Administration Chief will be exclusively held

by a Comptroller who serves as the Senior Financial

Advisor to the team leader (e.g., FCO) and represents

the coordinating agency’s Chief Financial Officer (CFO)

as prescribed by the CFO Act of 1990.

The Financial Management Support Annex provides

guidance to ensure that funds are provided

expeditiously and that financial operations are

conducted in accordance with established law,

regulations, and standards.

38 | National Response Plan December 2004
Other Incident Facilities

State, County, and Local Operations Centers

State, county, and local EOCs represent the physical

location at which the coordination of information and

resources to support incident management activities

normally takes place. EOCs are typically organized by

major functional discipline (fire, law enforcement, medical

services, and so on); by jurisdiction (city, county, region,

and so on); or, more likely, by some combination thereof.

State, county, and local EOCs facilitate the execution of

local, State, and interstate mutual aid agreements to

support on-scene operations. During Incidents of

National Significance, the JFO works in coordination

with the State, county, and local EOCs to support

incident management efforts.

Incident Command Post

The tactical-level, on-scene incident command and management organization is located at the ICP. It is typically

comprised of designated incident management officials

and responders from Federal, State, local, and tribal 

agencies, as well as private-sector and nongovernmental

organizations. When multiple command authorities are

involved, the ICP may be led by a Unified Command,

comprised of officials who have jurisdictional authority

or functional responsibility for the incident under an

appropriate law, ordinance, or agreement. The Unified

Command provides direct, on-scene control of tactical

operations and utilizes a NIMS ICS incident management

team organization, typically including Operations,

Planning, Logistics, and Finance/Administration Sections.

The ICP is usually located at or in the immediate

vicinity of the incident site. The location is selected by

the agency having primary jurisdictional authority for

managing the incident at this level. Generally, there is

one ICP established for each incident. Depending on

the number and location of incidents, there may be

multiple ICPs managed by an Area Command.

Area Command/Unified Area Command

An Area Command is established to oversee the management

of multiple incidents that are each being handled by a separate ICS organization or to oversee the management of a very

large or complex incident that has multiple incident management teams engaged. The Area Command has the responsibility to set overall strategy and priorities, allocate critical

resources according to priorities, ensure that incidents are

properly managed, and ensure that objectives are met and

strategies followed. Area Command becomes Unified Area

Command when incidents are multijurisdictional.

Disaster Recovery Center (DRC)

When established in coordination with State and local

jurisdictions, a DRC is a satellite component of the JFO

and provides a central facility where individuals affected

by a disaster can obtain information on disaster recovery

assistance programs from various Federal, State, local,

tribal, private-sector, and voluntary organizations.

Interim Operating Facility (IOF)

The IOF is a temporary field facility used by a

DHS/EPR/FEMA-led ERT in the early stages of an

incident when the team cannot operate at the State EOC

due to space limitations or other reasons, and the JFO

is not yet established. An IOF is generally located at or

near the State EOC, or near the incident site. The IOF

remains in operation until the JFO is established.

Functions accomplished at the IOF include interaction

with State representatives and key ESF agencies,

collection and assessment of information, and initiation

of assistance programs.

December 2004 National Response Plan | 39

Emergency Response and Support Teams (Field Level)

Various teams are available to deploy during incidents

or potential incidents to assist in incident management,

set up emergency response facilities, or provide

specialized expertise and capabilities. These teams are

trained and certified to the standards published by the

NIMS Integration Center. Teams that may be utilized

during NRP operations are described below.

Deployed PFO Support Staff

The Deployed PFO Support Staff is a small interagency

team of various subject-matter experts that may deploy

or be activated with the PFO to provide initial support

staffing until a JFO is established. This team may

include representatives from various ESFs and typically
functions during the pre-incident phase or during the

initial response to conduct assessments, coordinate

security and information-sharing efforts, facilitate

public affairs activities, and provide technical support.

When the JFO is established, this team is integrated

into the JFO staff.

Emergency Response Team

The ERT is the principal interagency group that staffs

the JFO. The ERT is composed of DHS/EPR/FEMA staff

and ESF personnel. The ERT includes an advance

element, known as the ERT-A, that conducts

assessments and initiates coordination with the State

and initial deployment of Federal resources. Each

DHS/EPR/FEMA region maintains an ERT ready to

deploy in response to threats or incidents. The National

Emergency Response Team (ERT-N) deploys for largescale, high-impact events, or as required.

The ERT provides staffing for the JFO and ensures

Federal resources are available to meet Federal incident

management and State requirements identified by the

SCO. The size and composition of the ERT is scalable

depending on the scope and magnitude of the event.

Typically, the ERT organizational structure encompasses

the JFO Coordination Group, JFO Coordination Staff,

and the four JFO sections (Operations, Planning,

Logistics, and Finance/Administration).

The ERT-A deploys during the early stages of an

incident. It is headed by a team leader from

DHS/EPR/FEMA and is composed of program and

support staff and representatives from selected ESF

primary agencies. A part of the ERT-A deploys to the

State EOC or to other locations to work directly with

the State to obtain information on the impact of the

event and to identify specific State requests for Federal

incident management assistance. Other elements of the

ERT-A (including MERS personnel and equipment)

deploy directly to or near the affected area to establish

field communications, locate and establish field

facilities, and set up support activities.

The ERT-A consults and coordinates with State, local,

and/or tribal entities to determine the location of the

JFO and mobilization center(s). The ERT-A identifies or

validates the suitability of candidate sites for the

location of mobilization center(s) and the JFO. The

ERT-A conducts initial on-the-ground situational

awareness analysis to include changes in topography

caused by the incident, impacts to the physical and

social environment, and documentation of losses

avoided based on previous mitigation measures to serve

as a backdrop to the Federal support strategies.

An ERT-N may pre-deploy based on threat conditions.

The Secretary of Homeland Security determines the

need for ERT-N deployment, coordinating the plans

with the affected region and other Federal agencies.

The ERT-N includes staff from DHS/EPR/FEMA

Headquarters and regional offices as well as other

Federal agencies. (Three ERT-N teams are structured,

with one team on call every third month. A fourth

standing team is on call year-round exclusively to

manage incidents in the National Capital Region (NCR).)

40 | National Response Plan December 2004

The ERT is the principal interagency group that

staffs the JFO.

The ERT-A deploys during the early stages of an

incident to work directly with the State to obtain

information on the impact of the event and to

identify specific State requests for Federal incident

management assistance.

The ERT-N deploys for large-scale, high-impact

events, or as required.
DOD provides DSCA in response to requests for

assistance during domestic incidents to include terrorist

attacks, major disasters, and other emergencies. DSCA

refers to DOD support provided by Federal military

forces, DOD civilians and contract personnel, and DOD

agencies and components, in response to requests for

assistance. Continuous coordination with Federal, State,

local, and tribal elements before, during, and after an

event is essential for efficient and effective utilization of

DOD’s DSCA efforts. In most instances, DOD provides DSCA in response to

requests for assistance from a lead or primary agency.

However, support provided under Immediate Response

Federal Incident Response Support Team

(FIRST)

The FIRST is designed to be a quick and readily

deployable resource to support the Federal response to

Incidents of National Significance. The FIRST deploys

within 2 hours of notification, to be on-scene within

12 hours of notification. DHS/EPR/FEMA maintains

and deploys the FIRST.

The FIRST is a forward component of the ERT-A that

provides on-scene support to the local Incident

Command or Area Command structure in order to

facilitate an integrated interjurisdictional response.

After linking up with local and State officials, the team

assesses the situation and identifies the potential

requirements for Federal support, provides protective

action recommendations, identifies critical unmet

needs, and coordinates response activities with other

Federal responders. They also oversee on-scene Federal

assistance, which could include critical life-saving and

life-sustaining items.

The FIRST is not intended to supplant existing response

teams, but to bring a near-time immediate Federal

presence to the scene of an Incident of National

Significance. The FIRST is robust enough to represent a

“value-added” resource in the earliest phase of a

response operation. Upon the subsequent deployment

of an ERT, the FIRST integrates into the Operations

Section of the JFO.

Other Federal Teams

In addition, there are numerous special teams available

to support incident management and disaster response

and recovery operations. Examples include:

■ Damage assessment teams

■ Nuclear Incident Response Team (NIRT)

■ Disaster Medical Assistance Teams (DMATs)

■ HHS Secretary’s Emergency Response Team

■ DOL/OSHA’s Specialized Response Teams

■ Veterinarian Medical Assistance Teams (VMATs)

■ Disaster Mortuary Operational Response Teams

(DMORTs)

■ National Medical Response Teams (NMRTs)

■ Scientific and Technical Advisory and Response Teams

(STARTs)

■ Donations Coordination Teams

■ Urban Search and Rescue (US&R) task forces

■ US&R Incident Support Teams

■ Federal Type 1 and Type 2 Incident Management

Teams (IMTs)

■ Domestic Emergency Support Team (DEST)

■ Domestic Animal and Wildlife Emergency Response

Teams and mitigation assessment teams

Many of these additional teams and capabilities are

discussed in the annexes. Other supporting documents

provide additional listing of teams and their

capabilities, such as DHS/EPR/FEMA’s Emergency

Teams Handbook and the DHS/USCG Hazardous

Materials Response Special Teams Handbook.

December 2004 National Response Plan | 41

DSCA refers to DOD support provided by Federal

military forces, DOD civilians and contract personnel,

and DOD agencies and components, in response to

requests for assistance during domestic incidents to

include terrorist threats or attacks, major disasters,

and other emergencies.

The FIRST is a forward component of the ERT-A that

provides on-scene support to the local Incident

Command or Area Command structure.

Defense Support of Civil Authorities
Authority (described below) is authorized by DOD

directive and prior approval of the Secretary of Defense.

DSCA normally is provided when local, State, and

Federal resources are overwhelmed, provided that it

does not interfere with the Department’s military

readiness or operations. DOD typically provides DSCA

on a reimbursable basis as authorized by law.

Requesting Defense Support of 

Civil Authorities

Initial requests for assistance are made to the Office of the

Secretary of Defense, Executive Secretariat. If approved by

the Secretary of Defense, DOD designates a supported

combatant commander for the response. The supported

combatant commander determines the appropriate level

of command and control for each response and usually

directs a senior military officer to deploy to the incident

site. Under most circumstances, the senior military

officer at the incident site is the DCO. The DCO serves as

DOD’s single point of contact in the JFO.

Requests for DSCA originating at the JFO will be

coordinated and processed through the DCO with the

exception of requests for USACE support, National

Guard forces operating in State Active Duty or Title 32

status (i.e., not in Federal service), or, in some

circumstances, DOD forces in support of the FBI. These

exceptions are detailed later in this section. Specific

responsibilities of the DCO are subject to modification

by the supported combatant commander based on the

situation. In general, the DCO will:

■ Collocate with the PFO/FCO/FRC/SFLEO in the JFO;

■ Coordinate and process applicable requests for

assistance from the PFO/FCO/FRC/SFLEO or

designated representative;

■ Orchestrate the accomplishment of approved mission

assignments utilizing available resources;

■ Assign military liaison officers as appropriate to ESF

agencies at the JFO to provide technical assistance or

facilitate timely coordination; and

■ Refer problematic or contentious issues through the

appropriate military chain of command to the Office

of the Assistant Secretary of Defense for Homeland

Defense.

Based on the magnitude, type of disaster, and

anticipated level of resource involvement, the

supported combatant commander may utilize a Joint

Task Force (JTF) to consolidate and manage supporting

military activities. A JTF commander exercises

operational control of all allocated DOD resources

(excluding USACE resources, National Guard forces

operating in State Active Duty or Title 32 status, and, in

some circumstances, DOD forces in support of the

FBI). In the event that a JTF is utilized, the DCO may

continue to perform all duties set forth above.

Exceptions

Requests for DSCA originating at the JFO will be

coordinated and processed through the DCO with the

exception of requests for DOD/USACE support,

National Guard forces operating in State Active Duty or

Title 32 status, and, in some cases, DOD forces in

support of the FBI.

■ U.S. Army Corps of Engineers: USACE is a public

engineering organization within DOD providing

engineering support and services to DOD activities

around the globe as well as to the Nation’s Civil

Works flood protection and navigation infrastructure.

USACE provides support as a primary agency and

coordinating agency for ESF #3, and as a support

agency to other ESFs as specified in the annexes.

USACE performs emergency support activities under

separate authorities, to include Public Law 84-99.

■ Army and Air National Guard Forces: National

Guard forces employed under State Active Duty or

Title 32 status are providing support to the Governor

of their State and are not part of Federal military

response efforts.

■ Support to the Federal Bureau of Investigation:

Support for law enforcement and domestic

counterterrorism activities is provided in limited

circumstances consistent with applicable laws and, in

some circumstances, independent of the DCO.

Immediate Response Authority

Imminently serious conditions resulting from any civil

emergency may require immediate action to save lives,

prevent human suffering, or mitigate property damage.

When such conditions exist and time does not permit

approval from higher headquarters, local military

commanders and responsible officials from DOD

components and agencies are authorized by DOD directive

42 | National Response Plan December 2004
and pre-approval by the Secretary of Defense, subject to

any supplemental direction that may be provided by their

DOD component, to take necessary action to respond to

requests of civil authorities consistent with the Posse

Comitatus Act (18 U.S.C. § 1385). All such necessary

action is referred to as “Immediate Response.”

Export of DOD Specialized 

Capabilities and Training

In addition to direct support for incident response,

DOD possesses specialized capabilities employed in

support of Federal, State, local, and tribal government

agencies, to include their first responder communities.

Included among these specialized capabilities are test

and evaluation facilities and capabilities; education and

exercise expertise; explosive detection; technical escort;

medical services; the transfer of applicable technologies,

including those developed through DOD science and

technology programs; and the expertise of DOD

personnel. The DOD Homeland Defense Coordination

Office established at DHS Headquarters facilitates

interdepartmental cooperation and transfer of these

capabilities to the emergency responder community.

Federal Law Enforcement Assistance

Each State has jurisdiction for enforcement of State law,

using State and local resources, including the National

Guard (to the extent that the National Guard remains

under State authority and has not been called into

Federal service or ordered to active duty).

The Federal Government has jurisdiction for

enforcement of Federal law, using Federal resources.

State and local law enforcement agencies may be

requested to provide support to Federal law

enforcement during Incidents of National Significance.

Federal agencies may be requested to provide public

safety and security support during Incidents of

National Significance. The ESF #13 Annex provides

further guidance on the integration of public safety and

security resources to support the full range of incident

management functions.

Proactive Federal Response to Catastrophic Events

December 2004 National Response Plan | 43

The NRP establishes policies, procedures, and

mechanisms for proactive Federal response to

catastrophic events. A catastrophic event is any natural

or manmade incident, including terrorism, that results

in extraordinary levels of mass casualties, damage, or

disruption severely affecting the population,

infrastructure, environment, economy, national morale,

and/or government functions. A catastrophic event

could result in sustained national impacts over a

prolonged period of time; almost immediately exceeds

resources normally available to State, local, tribal, and

private-sector authorities in the impacted area; and

significantly interrupts governmental operations and

emergency services to such an extent that national

security could be threatened. All catastrophic events are

Incidents of National Significance.

Implementation of Proactive Federal

Response Protocols

Protocols for proactive Federal response are most likely

to be implemented for catastrophic events involving

chemical, biological, radiological, nuclear, or high-yield

explosive weapons of mass destruction, or largemagnitude earthquakes or other natural or technological

disasters in or near heavily populated areas.

Guiding Principles for Proactive Federal Response

Guiding principles for proactive Federal response

include the following:

■ The primary mission is to save lives; protect critical

infrastructure, property, and the environment;

contain the event; and preserve national security.
U.S. Possessions and Freely Associated States

■ Standard procedures regarding requests for assistance

may be expedited or, under extreme circumstances,

suspended in the immediate aftermath of an event of

catastrophic magnitude.

■ Identified Federal response resources will deploy and

begin necessary operations as required to commence

life-safety activities.

■ Notification and full coordination with States will occur,

but the coordination process must not delay or impede

the rapid deployment and use of critical resources.

States are urged to notify and coordinate with local

governments regarding a proactive Federal response.

■ State and local governments are encouraged to

conduct collaborative planning with the Federal

Government as a part of “steady-state” preparedness

for catastrophic incidents.

Implementation Mechanisms for Proactive

Federal Response to Catastrophic Events

The NRP Catastrophic Incident Supplement (described in the

Catastrophic Incident Annex) addresses resource and procedural implications of catastrophic events to ensure the rapid

and efficient delivery of resources and assets, including special teams, equipment, and supplies that provide critical lifesaving support and incident containment capabilities. These

assets may be so specialized or costly that they are either not

available or are in insufficient quantities in most localities.

The procedures outlined in the NRP Catastrophic

Incident Supplement are based on the following:

■ The pre-identification of Federal assets and capabilities;

■ The strategic location of pre-identified assets for

rapid deployment; and

■ The use of pre-scripted mission assignments for

Stafford Act declarations, or individual agency

authority and funding, to expedite deployment upon

notification by DHS (in accordance with procedures

established in the NRP Catastrophic Incident

Supplement) of a potential catastrophic event.

Agencies responsible for these assets will keep DHS

apprised, through the HSOC, of their ongoing status and

location until the JFO is established. Upon arrival at the

scene, Federal assets will coordinate with the Unified

Command, the SFLEO, and the JFO (or its forward

elements) when established. Demobilization processes,

including full coordination with the JFO Coordination

Group, are initiated either when the mission is

completed or when it is determined the magnitude of

the event does not warrant continued use of the asset.

44 | National Response Plan December 2004

The NRP concept of operations, in general, is applicable

to any response to Incidents of National Significance

occurring within the U.S. possessions, including the

insular areas,2 as well as in the Federated States of

Micronesia and the Republic of the Marshall Islands.3

Stafford Act assistance is available to include Puerto Rico,

the Virgin Islands, Guam, American Samoa, and the

Commonwealth of the Northern Mariana Islands, which

are included in the definition of “State” in the Stafford

Act. At present, Stafford Act assistance is also available to

the Federated States of Micronesia and the Republic of the

Marshall Islands under the Compact of Free Association.4

Nevertheless, there are unique factors involved in working

with the U.S. possessions and Freely Associated States. The

Department of the Interior (DOI), through the Office of

Insular Affairs, is responsible for coordinating relationships

with the insular areas and the Freely Associated States and

is available to serve as a resource for agencies with disaster

assistance responsibilities.

2 Insular areas include American Samoa, the Commonwealth of the Northern Mariana Islands, Guam, and the U.S.

Virgin Islands.

3 The Federated States of Micronesia and the Republic of the Marshall Islands are two of the Freely Associated States

under the Compact of Free Association. The U.S. Government does not provide disaster assistance to the Republic

of Palau, the third Freely Associated State, in accordance with the Compact of Free Association.

4 The mechanism for the provision of disaster assistance to the Federated States of Micronesia and the Republic of

the Marshall Islands has been renegotiated. Following enactment by Congress of legislation approving the new

mechanism, it is anticipated that the U.S. Agency for International Development will assume the lead role in the

provision of disaster assistance to these independent nations.
External Affairs

This section discusses the mechanisms for ensuring

accurate, consistent, and timely communications with

all of the critical external audiences—the general

public, media, congressional and governmental leaders,

and the international community. (See the Public Affairs

and ESF #15 Annexes for additional information.)

December 2004 National Response Plan | 45

Public Affairs Public Affairs activities ensure the coordinated and timely release of incident-related

prevention, preparedness, response, recovery, and mitigation information to the public.

ESF #15 provides the interagency coordination mechanisms and the resource support

for Federal JIC activities.

The Public Affairs Support Annex provides an overview of the required protocols and

processes for media relations and incident communications, including protocols for

handling sensitive information, which are further outlined in the NRP Incident

Communications Emergency Supplement (published as a separate document).

Community Relations Community Relations activities provide information on assistance programs to affected

individuals, groups, organizations, and local governments. Community Relations serves

as a direct link to these communities and works closely with program elements to

deliver messages relating to the availability of programs and resources.

Congressional Affairs Congressional Affairs provides information to the Washington, DC, and district offices of

Members of Congress and addresses incident-related questions, concerns, and problems

expressed by their constituents.

International Affairs International Affairs provides guidance for events that include cross-border issues,

coordination of foreign visitors, and response to offers of assistance from foreign

governments. (See the International Coordination Support Annex for additional

information.)

State and Local

Coordination

State and Local Coordination assists JFO leadership with direct communications,

interaction, and outreach to local and State elected officials. (See the ESF #15 Annex for

additional information.)

Tribal Affairs Tribal Affairs provides procedures to facilitate incident management programs and

resources available to tribal governments to assist them in protecting their families,

community livelihood, and cultural and environmental resources. (See the Tribal

Relations Support Annex for additional information.)

Component Description
46 | National Response Plan December 2004

V. Incident Management Actions

Actions

This section describes incident management actions ranging from initial threat notification to early coordination

efforts to assess and disrupt the threat, to preparatory

activation of the ESF structure, to deployment of Federal

resources in support of incident response and recovery

operations. These actions do not necessarily occur in

sequential order; many may be undertaken concurrently

in response to single or multiple threats or incidents.

Figure 10 depicts initial incident management actions.

In situations where it is apparent that an Incident of

National Significance may be imminent or has already

occurred, assessment and pre-incident interagency

coordination typically are compressed. In these

instances, DHS moves quickly to coordinate multiple

Federal activities to include the following: informationsharing, interagency course of action development, alert

and deployment of resources, operational coordination,

and other assistance as required, in consultation and

coordination with other Federal departments and

agencies and the affected jurisdiction(s).

Notification and Assessment

Federal, State, local, tribal, private-sector, and

nongovernmental organizations report threats, incidents,

and potential incidents using established communications

and reporting channels. The HSOC receives threat and

operational information regarding incidents or potential

incidents and makes an initial determination to initiate

the coordination of Federal information-sharing and

incident management activities.

Reporting Requirements

Federal, State, tribal, private-sector, and NGO EOCs are

either required or encouraged, as noted below, to report

incident information to the HSOC. In most situations,

incident information is reported using existing mechanisms to State or Federal operations centers, which will

in turn report the information to the HSOC. Suspicious

activity, terrorist threats, and actual incidents with a

potential or actual terrorist nexus are reported immediately to a local or regional JTTF (or the NJTTF, in the

case of Federal departments/agencies). Subsequently, the

FBI SIOC immediately reports the terrorist threat, if the

FBI deems the threat to be credible, or the actual incident to the HSOC and the NCTC. Additionally, actual

incidents, regardless of whether or not there is a terrorist

nexus, are reported immediately to the HSOC by appropriate governmental and nongovernmental entities.

■ Federal Departments and Agencies: Federal

departments and agencies are required to report

information relating to actual or potential Incidents

of National Significance to the HSOC. This

information may include:

■ Implementation of a Federal department or agency

emergency response plan;

■ Actions to prevent, respond to, or recover from an

Incident of National Significance for which a

Federal department or agency has responsibility

under law or directive;

■ Submission of requests for assistance to, or receipt

of a request from, another Federal department or

agency in the context of an Incident of National

Significance;

■ Receipt of requests for assistance from State, local, or

tribal governments; NGOs; or the private sector in the

context of an Incident of National Significance; and

■ Suspicious activities or threats with a potential

terrorist nexus (normally through the FBI SIOC to

the HSOC and the NCTC).

■ State/Tribal Governments: State and tribal

governments and emergency management agencies use

established reporting mechanisms and are encouraged to

report information relating to actual or potential

Incidents of National Significance to the HSOC, using

procedures established by DHS. (Information regarding

potential terrorist threats should be reported through the

local or regional JTTF.) This information may include:

■ Implementation of an incident management or

emergency response plan or action to prevent,

respond to, or recover from an Incident of National

Significance;

■ Announcement of emergency proclamations or

declarations made under State, local, or tribal

authority; and

■ Activation of State or tribal mutual-aid agreements

or compacts in response to incidents resulting in

emergency proclamations or declarations, or

requiring Federal assistance.
December 2004 National Response Plan | 47

■ Local Governments: Local governments communicate

information regarding actual or potential Incidents of

National Significance to the HSOC through established

reporting mechanisms in coordination with State

government officials and EOCs.

■ Private-Sector/Nongovernmental Organizations:

Private-sector and nongovernmental organizations are

encouraged to communicate information regarding

actual or potential Incidents of National Significance to

the HSOC through existing jurisdictional reporting

mechanisms, as well as established information-sharing

and analysis organizations (ISAOs).

Situational Awareness and 

Initial Incident Assessment

The HSOC maintains daily situational awareness to

identify and monitor threats or potential threats inside,

on, or approaching the borders of the United States.

Upon receipt, the HSOC passes such information to

appropriate Federal, State, local, and tribal intelligence

and law enforcement agencies as expeditiously as

possible, according to established security protocols

and in coordination with the FBI and NCTC.

FIGURE 10. Flow of initial national-level incident management actions

HSOC

HSOC coordinates with

depts. and agencies to

investigate and assess

Incident mitigated by

Federal, State, local,

and tribal agencies

Activated or deployed resources conduct

prevention, preparedness, response, and

recovery actions

Reports and Notification

From established 

reporting mechanisms, e.g.:

■ FBI SIOC

■ National Response Center

■ RRCC

■ NCTC

■ Other Federal EOCs

■ State EOCs

■ Federal agency command posts

■ ISAOs

Assessment

Further 

assessment 

needed

■ Use of other

supporting national

interagency and

agency-specific plans

Actual/Potential Incident 

of National Significance

Non-national

Incident

DHS actions may include:

■ Issuance of coordinated alerts and warnings

■ Sharing of incident information

■ Activation of NRP organizational elements

(NRCC, IIMG, JFO, etc.) and deployment of

resources
The HSOC also monitors nonterrorist hazards and

accidents, and receives reports from various operations

centers, such as the FOC regarding natural hazards

(severe storms, floods, etc.) and the National Response

Center regarding oil spills and hazardous materials

releases. When notified of a hazard or an incident with

possible national-level implications, the HSOC assesses

the situation and notifies the Secretary of Homeland

Security accordingly. Based on the information, the

Secretary of Homeland Security determines the need

for activation of NRP elements. The HSOC coordinates

with other departments and agencies regarding further

field investigation, as required.

The FBI, NCTC, and DHS/IAIP evaluate intelligence

relating to terrorist threats and other potential incidents.

All Federal, State, local, and tribal departments and

agencies must notify their local or regional FBI JTTF

regarding information associated with a threat of

terrorism or an actual terrorist incident. Additionally, the

HSOC is notified immediately in the case of an actual

incident, regardless of whether or not there is a terrorist

nexus. In the case of a threat, the local FBI JTTF notifies

the NJTTF. Federal department and agency headquarters

should notify the NJTTF or FBI SIOC with similar

information. Upon receipt of a threat of terrorism, the

FBI conducts a formal threat credibility assessment, which

may include assistance from select interagency experts. If

a threat is deemed credible, the FBI SIOC notifies the

HSOC immediately to enable subsequent NRP actions.

Dissemination of Warnings and Bulletins

Watches, warnings, and other emergency bulletins are

issued by various agencies based on their statutory

missions and authorities. For example, the National

Weather Service issues weather-related notices to warn

the public of impending storms and severe weather.

The HSOC coordinates with the NCTC,TSC, FBI,

Department of Health and Human Services (HHS), and

similar programs for terrorism-related threat analysis

and warning, and disseminates homeland security

threat warnings and advisory bulletins. The HSOC

performs this task consistent with normal steady-state

threat monitoring, assessment, research, and reporting

functions. The HSOC follows Executive orders,

directives, MOUs/MOAs, and procedures in place

between the NCTC,TSC, and DHS/IAIP.

The FBI disseminates terrorism law enforcement

bulletins and warnings to ensure that vital information

regarding terrorism reaches appropriate officials within

the U.S. counterterrorism and law enforcement

communities. This information is transmitted via secure

teletype. Each message transmitted under this system is

an alert, an advisory, or an assessment—an alert if the

terrorist threat is credible and specific, an advisory if the

threat is credible but general in both timing and target,

or an assessment to impart facts and/or threat analysis

concerning terrorism. These products are fully

coordinated with DHS prior to release.

The FOC, in coordination with the HSOC, facilitates

distribution of warnings, alerts, and bulletins to the

emergency management community using a variety of

communications systems such as:

■ National Warning System (NAWAS): NAWAS is the

primary system for emergency communications from

the Federal Government to both State and county

warning points.

■ Washington Area Warning System (WAWAS):

Although not directly tied to the NAWAS circuits,

WAWAS is a mechanism for providing emergency

communications to Washington, DC, area officials in

the event of an emergency.

■ National Emergency Alert System (National EAS):

Formerly known as the Emergency Broadcast System,

the National EAS is a nationwide network of

broadcast stations and cable systems that provide a

readily available and reliable means to communicate

emergency information to the American people.

■ State and local EAS: State and local authorities have

their own EAS which may be used to broadcast

information on major disasters or emergencies.

48 | National Response Plan December 2004

The HSOC maintains daily situational awareness to

identify and monitor threats or potential threats inside,

on, or approaching the borders of the United States.

Watches, warnings, and other emergency bulletins

are issued by various agencies based on their

statutory missions and authorities.
December 2004 National Response Plan | 49

Evolving Threats Identified at the National Level

The ongoing fusion of intelligence at the national level

may result in the detection of a potential terrorist

threat of a specific and credible nature. Unlike

incidents reported from the field, this process results in

the initiation of initial incident management actions at

the headquarters level and generates a “top-down”

response to deter, prevent, and otherwise respond to

the terrorist threat.

The HSOC, NCTC, and FBI SIOC coordinate

information regarding terrorist threats. When the FBI

or DHS/IAIP determines that a credible threat exists, it

notifies and coordinates with the HSOC, which

immediately notifies the FBI SIOC, if it has not been

already informed. The HSOC then notifies the Secretary

of Homeland Security, who may elect to activate any or

all of the NRP organizational elements, as well as

initiate the coordination of interagency policy issues

and operational courses of action through the White

House, as appropriate. The Secretary may also elect to

activate and prepare to deploy various special teams to

conduct prevention, preparedness, response, and

recovery activities.

Activation

This section discusses the early-stage efforts to activate

and deploy NRP organizational elements and Federal

resources, including special teams, emergency facilities,

and other response resources.

For actual or potential Incidents of National

Significance, the HSOC reports the situation to the

Secretary of Homeland Security and/or senior staff as

delegated by the Secretary, who then determines the

need to activate components of the NRP to conduct

further assessment of the situation, initiate interagency

coordination, share information with affected

jurisdictions and the private sector, and/or initiate

deployment of resources. Concurrently, the Secretary

also makes a determination of whether an event meets

the criteria established for a potential or actual Incident

of National Significance as defined in this plan.

When the Secretary declares an Incident of National

Significance, Federal departments and agencies are

notified by the HSOC (as operational security

considerations permit), and may be called upon to staff

the IIMG and NRCC. The affected State(s) and tribes

also are notified by the HSOC using appropriate

operational security protocols. In the pre-incident

mode, such notification may be conducted discreetly,

on a need-to-know basis, so as to preserve the

operational security and confidentiality of certain law

enforcement and investigative operations.

(Note: NRP resources, such as a PFO, may be

designated and activated in the context of a general

threat, prior to a formal Incident of National

Significance determination by the Secretary of

Homeland Security, to facilitate pre-incident

interagency and multijurisdictional coordination and

threat assessment activities.) For acts of terrorism,

information-sharing, deployment of resources, and

incident management actions during actual or potential

terrorist incidents are coordinated with DOJ.

The NRCC and RRCC deploy, track, and provide

incident-related information until the JFO is

established.

The next section describes the NRP organizational

elements that could be activated and their initial actions.

When the Secretary declares an Incident of National

Significance, Federal departments and agencies are

notified by the HSOC, and may be called upon to

staff the IIMG and NRCC.
50 | National Response Plan December 2004

Headquarters Organizational Elements

The headquarters organizational elements include the following:

Interagency Incident

Management Group

The IIMG may convene at DHS Headquarters when activated for an initial meeting.

IIMG members or alternates remain on call to meet at any time during a heightened

period of alert or during an incident or on a 24/7 basis as required by the situation at

hand. The IIMG may assign liaison officers to the FBI SIOC and/or other EOCs, as

required, and may establish communication with State Homeland Security Advisor(s)

and/or State Emergency Management Director(s) through the DHS OSLGCP

representatives to the IIMG.

National Response

Coordination Center

The NRCC begins interagency operations by coordinating initial activation, the

deployment of special teams, initiation and monitoring of mission assignments (Stafford

Act only) or other interagency requirements (non-Stafford Act), and RRCC(s) activities

as required and as permitted by operational security considerations. The NRCC, through

the FOC, informs primary agencies of the activation and provides a time to report to the

NRCC. Primary agencies may notify and activate support agencies if required.

Primary agencies determine the impact of an incident on their own capabilities and

identify, mobilize, and deploy resources under the mission assignment process or

interagency agreements to support response activities in the affected jurisdiction(s).

Formal alert and notification protocols and procedures for activation of ESFs are

included as part of the NRCC standard operating procedures, to be published separately.

Federal Emergency

Operations Centers

Agencies may activate their headquarters EOCs to provide coordination and direction to

their headquarters and regional response elements. Federal EOCs maintain ongoing

contact and coordination with the HSOC.

Strategic Information

and Operations Center

Upon determination that a terrorist threat is credible or that an act of terrorism has

occurred, FBI Headquarters initiates liaison with other Federal agencies to activate their

operations centers and provide liaison officers to the SIOC. In addition, FBI Headquarters

initiates communications with the SAC of the responsible Field Office, apprising him/her

of possible courses of action and discussing possible deployment of the DEST. The FBI

SAC establishes initial operational priorities based upon the specific circumstances of the

threat or incident. This information is then forwarded to FBI Headquarters to coordinate

identification and deployment of appropriate resources. The SIOC will notify the HSOC

immediately upon confirmation of a credible threat or terrorist nexus.

Principal Federal 

Official

The Secretary provides formal notification of the appointment of a PFO to the

Governor(s)/mayor(s) of affected State(s)/municipality(ies),Tribal Chief Executive

Officers, and Federal departments and agencies. The HSOC notifies other Federal, State,

and tribal EOCs of the PFO designation. State EOCs are expected to pass this designation

to State and local agencies and EOCs as appropriate. PFOs may be designated on a preincident basis according to available threat information, or in response to an incident in

progress. If the designation is made based upon a pre-incident threat assessment,

formal notification of the PFO designation may be made on a discreet, need-to-know

basis to preserve operational security.

Element Description
December 2004 National Response Plan | 51

Emergency 

Response Team

The RRCC initially deploys a DHS/EPR/FEMA-led ERT-A, including rapid needs assessment

personnel and appropriate ESF representatives, to State operating facilities and incident sites

to assess the impact of the situation, collect damage information, gauge immediate Federal

support requirements, and make preliminary arrangements to set up Federal field facilities.

When regional resources are overextended, or an event poses potentially significant

consequences, DHS Headquarters may deploy an ERT-N to coordinate the initial response.

The FCO/FRC heads the interagency ERT. The ERT works with the affected State and

coordinates Federal support from the JFO. The ERT may establish an IOF to serve as an

interim facility until the JFO is established. In a terrorism event, this activity will be

coordinated with the JOC. Federal agencies and other appropriate entities provide

resources to assist incident management efforts under DHS-issued mission assignments

or their own authorities.

The ERT-A/ERT-N coordinates damage assessment and selection of locations for field facilities

with the State. It also coordinates mission assignments for direct Federal assistance and procurement of goods and services with the Comptroller and RRCC. The ERT-A/ERT-N begins

the transition to a tailored Emergency Response Team and initiates establishment of the JOC.

Federal Incident

Response Support

Team

Based upon the nature of the incident, the FIRST may deploy to the scene to support State

operations. The FIRST provides technical assistance to assess the situation, identify critical

and unmet needs, provide protective action recommendations, and establish incident support

facilities. The FIRST coordinates with the ERT-A and integrates into the JFO when established.

Domestic Emergency

Support Team

The DEST may be deployed to provide technical support for management of potential or

actual terrorist incidents. Based upon a credible threat assessment, the Attorney General,

in consultation with the Secretary of Homeland Security, may request authorization

through the White House to deploy the DEST. Upon arrival at the JFO or critical

incident location, the DEST may act as a stand-alone advisory team to the FBI SAC

providing required technical assistance or recommended operational courses of action.

Other Special Teams Depending on the nature of the incident, other special teams may be deployed in

coordination with other departments and agencies. The NRP annexes include discussion

of special teams and resources.

Federal First

Responders

Some Federal agencies have statutory authority and responsibility to deploy directly as first

responders upon notification of an incident or potential incident (e.g., OSCs responding to

oil or hazardous materials incidents). These responders may arrive on-scene before there

is a determination as to whether the incident is an Incident of National Significance, but

once declared, would operate under the protocols established in the NRP.

Regional Elements

Regional resources may be activated to monitor and

assess the need for Federal incident management support.

The DHS/EPR/FEMA Regional Director deploys a liaison

to the State EOC to provide technical assistance including

advice on the Stafford Act declaration process and

available Federal assistance, and also partially or fully

activates the RRCC including, where appropriate, regional

representatives of Federal departments and agencies.

The RRCC and NRCC Logistics Sections support the

establishment of a JFO and mobilization center(s). The

RRCC coordinates Federal support of State requirements

until the FCO or FRC assumes those responsibilities. A JIC

may be established, as required, to provide a central point

for coordinating emergency public information activities.

Field Elements

The field elements include the following:

Element Description
Requests for DHS Assistance

Requests for DHS assistance can come from State

Governors requesting aid under the Stafford Act or

from Federal agencies with a need for Federal-toFederal support. Federal departments and agencies

supporting the NRP are activated and engaged using

either a mission assignment process for events

supported by Stafford Act funding, or through

interagency agreements or other direct funding sources

when implemented using other authorities.

■ Federal Support to States: DHS/EPR/FEMA processes

a Governor’s request for Presidential disaster or

emergency declarations under the direction provided

in the Stafford Act. Governors submit these requests

to DHS/EPR/FEMA indicating the extent of damage

and the types of Federal assistance required.

DHS/EPR/FEMA then forwards the Governor’s request

to the White House, simultaneously notifying the

Secretary of Homeland Security, along with a

recommended course of action.

Concurrent with a Presidential declaration of a major

disaster or emergency and official appointment of an

FCO, DHS/EPR/FEMA designates the types of

assistance to be made available and the counties

eligible to receive assistance. In large-scale or

catastrophic events, the declaration process can be

expedited. In certain emergencies involving Federal

primary responsibility, the Stafford Act allows the

President to provide emergency assistance without a

Governor’s request. Appendix 5 provides an overview

of the request process under the Stafford Act.

In a non-Stafford Act emergency, the President may

direct Federal departments and agencies to conduct

prevention, preparedness, emergency response, and

incident management activities consistent with their

authorities and responsibilities on a nonreimbursable

basis. Appendix 6 provides an overview of Federal-toFederal support in non-Stafford Act situations.

■ Federal-to-Federal Support: For some incidents for

which a Stafford Act declaration is not made and a

Federal entity is responding to an incident under its

own authorities, that entity may require additional

assistance from other Federal departments or agencies

that is not otherwise readily available to them. In

such circumstances, the affected Federal department

or agency may request DHS coordination to obtain

that assistance.

Federal agencies participating in the NRP will request

and provide Federal-to-Federal support by executing

interagency or intra-agency reimbursable agreements

(RAs), in accordance with the Economy Act (31 U.S.C.

§ 1535) or other applicable authorities. Federal

agencies providing mutual aid support may request

reimbursement from the requesting agency for eligible

expenditures. (See Financial Management Support

Annex Attachment 3, Memorandum of Understanding:

Mutual Aid for Incidents of National Significance

(Non-Stafford Act), for additional information.)

DHS will use the ESFs as the mechanism for

coordinating required support from other agencies.

When such DHS assistance is provided, the incident

becomes an Incident of National Significance, and

DHS coordinates Federal resources under the

authority provided in HSPD-5. In these situations,

DHS designates an FRC to perform the resource

coordination function (rather than an FCO as occurs

under a Stafford Act declaration).

Requests for assistance are submitted to the DHS

Executive Secretary for processing and Secretary

consideration/approval. Upon approval of the request

for assistance, the Secretary issues an operation order

to the HSOC. The HSOC, through the NRCC,

coordinates the activation of the appropriate ESFs. At

this time, the Secretary of Homeland Security also

may elect to activate the IIMG to begin monitoring

the situation and developing appropriate

recommendations and courses of action.

Pre-Incident Actions

At the national level, the HSOC facilitates interagency

information-sharing activities to enable the assessment,

prevention, or resolution of a potential incident. Based

upon guidance from the HSC/NSC (Principals,

Deputies, or PCC), DHS coordinates with appropriate

agencies as required during developing situations to

utilize agency resources and authorities to prevent an

incident, as well as to initiate appropriate preparatory

and mitigating measures to reduce vulnerabilities. If

warranted, the IIMG may recommend the activation of

additional NRP organizational elements to provide

52 | National Response Plan December 2004
December 2004 National Response Plan | 53

appropriate resources to enable more robust prevention

and/or preparedness activities.

Prevention actions related to terrorism threats and

incidents include law enforcement activities and

protective activities. All Federal law enforcement

activities are coordinated by the Attorney General,

generally acting through the FBI. Initial prevention

efforts include, but are not limited to, actions to:

■ Collect, analyze, and apply intelligence and other

information;

■ Conduct investigations to determine the full nature

and source of the threat;

■ Implement countermeasures such as surveillance and

counterintelligence;

■ Conduct security operations, including vulnerability

assessments, site security, and infrastructure protection;

■ Conduct tactical operations to prevent, interdict,

preempt, or disrupt illegal activity;

■ Conduct attribution investigations, including an assessment of the potential for future related incidents; and

■ Conduct activities to prevent terrorists, terrorist

weapons, and associated materials from entering or

moving within the United States.

The majority of initial actions in the threat or hazard

area are taken by first responders and local government

authorities, and include efforts to protect the public

and minimize damage to property and the

environment, as follows:

■ Public Health and Safety: Initial safety efforts focus on

actions to detect, prevent, or reduce the impact to public

health and safety. Such actions can include

environmental analysis, plume modeling, evacuations,

emergency sheltering, air monitoring, decontamination,

emerging infectious disease tracking, emergency

broadcasts, etc. These efforts may also include public

health education; site and public health surveillance and

testing procedures; and immunizations, prophylaxis, and

isolation or quarantine for biological threats coordinated

by HHS and State and local public health officials. (See

the ESF #8 Annex for additional information.)

■ Responder Health and Safety: The safety and health

of responders is also a priority. Actions essential to

limit their risks include full integration of deployed

health and safety assets and expertise; risk assessments

based upon timely and accurate data; and situational

awareness that considers responder and recovery

worker safety.

A comprehensive location and/or operational

response safety and health plan is key to mitigating

the hazards faced by responders. These efforts

include incident hazard identification and

characterization; implementation and monitoring of

personal protective equipment selection, use, and

decontamination; exposure sampling and analysis;

worker health and safety risk analysis; health and

safety monitoring; and development/ongoing

evolution of the site-specific safety and health plan.

(See the Worker Safety and Health Support Annex for

additional information.)

■ Property and the Environment: Responders may

also take incident mitigation actions to protect public

and private property and the environment. Such

actions may include sandbagging in anticipation of a

flood, or booming of environmentally sensitive areas

in response to a potential oil spill.

Response Actions

Once an incident occurs, the priorities shift from

prevention, preparedness, and incident mitigation to

immediate and short-term response activities to

preserve life, property, the environment, and the social,

economic, and political structure of the community. In

the context of a terrorist threat, simultaneous activities

are initiated to assess regional and national-level

impacts, as well as to assess and take appropriate action

to prevent and protect against other potential threats.

Prevention

Actions taken to avoid an incident or to intervene to

stop an incident from occurring. Prevention involves

actions taken to protect lives and property.

Response

Activities that address the short-term, direct effects

of an incident. These activities include immediate

actions to preserve life, property, and the

environment; meet basic human needs; and

maintain the social, economic, and political 

structure of the affected community.
54 | National Response Plan December 2004

Reinforcing the initial response to an incident, some

Federal agencies may operate in the ICP as Federal first

responders and participate in the Unified Command

structure. Once the JFO is established, the JFO

Coordination Group sets Federal operational priorities.

The JFO provides resources in support of the Unified

Command and incident management teams conducting

on-scene operations through the State and local EOCs.

Depending upon the scope and magnitude of the

incident, the NRCC and/or the RRCCs activate the

appropriate ESFs, as needed, to mobilize assets and the

deployment of resources to support the incident. The

NRCC and/or the RRCCs facilitate the deployment and

transportation of the ERT and other teams and specialized

capabilities such as, but not limited to, teams under the

NDMS, the HHS Secretary’s Emergency Response Team,

the Epidemic Intelligence Service, HHS behavioral health

response teams, the U.S. Public Health Service

Commissioned Corps, and Urban Search and Rescue

teams. Other response actions include the establishment

of the JFO and other field facilities and providing a wide

range of support for incident management, public health,

and other community needs.

Response actions also include immediate law

enforcement, fire, ambulance, and emergency medical

service actions; emergency flood fighting; evacuations;

transportation system detours; emergency public

information; actions taken to minimize additional

damage; urban search and rescue; the establishment of

facilities for mass care; the provision of public health and

medical services, food, ice, water, and other emergency

essentials; debris clearance; the emergency restoration of

critical infrastructure; control, containment, and removal

of environmental contamination; and protection of

responder health and safety.

During the response to a terrorist event, law

enforcement actions to collect and preserve evidence

and to apprehend perpetrators are critical. These

actions take place simultaneously with response

operations necessary to save lives and protect property,

and are closely coordinated with the law enforcement

effort to facilitate the collection of evidence without

impacting ongoing life-saving operations.

In the context of a single incident, once immediate

response missions and life-saving activities conclude,

the emphasis shifts from response to recovery

operations and, if applicable, hazard mitigation. The

JFO Planning Section develops a demobilization plan

for the release of appropriate components.

Recovery Actions

Recovery involves actions needed to help individuals and

communities return to normal when feasible. The JFO is

the central coordination point among Federal, State,

local, and tribal agencies and voluntary organizations for

delivering recovery assistance programs.

The JFO Operations Section includes the Human

Services Branch, the Infrastructure Support Branch, and

the Community Recovery and Mitigation Branch. The

Human Services and Infrastructure Support Branches of

the JFO Operations Section assess State and local

recovery needs at the outset of an incident and develop

relevant timeframes for program delivery. These

branches ensure Federal agencies that have relevant

recovery assistance programs are notified of an incident

and share relevant applicant and damage information

with all involved agencies as appropriate, ensuring that

the privacy of individuals is protected.

A brief summary of these branches is presented next.

Recovery

The development, coordination, and execution 

of service- and site-restoration plans and the

reconstitution of government operations and

services through individual, private-sector,

nongovernmental, and public assistance programs.
December 2004 National Response Plan | 55

Human Services Branch The Human Services Branch coordinates assistance programs to help individuals,

families, and businesses meet basic needs and return to self-sufficiency. This branch

also coordinates with volunteer organizations and is involved in donations

management, and coordinates the need for and location of DRCs with local and tribal

governments. Federal, State, local, tribal, voluntary, and nongovernmental organizations

staff the DRCs, as needed, with knowledgeable personnel to provide recovery and

mitigation program information, advice, counseling, and related technical assistance.

Infrastructure 

Support Branch

The Infrastructure Support Branch of the JFO coordinates “public assistance

programs” authorized by the Stafford Act to aid State and local governments and

eligible private nonprofit organizations with the cost of emergency protective services

and the repair or replacement of disaster-damaged public facilities and associated

environmental restoration.

Community Recovery 

and Mitigation Branch

The Community Recovery and Mitigation Branch works with the other Operations

branches and State and local officials to assess the long-term impacts of an Incident of

National Significance, define available resources, and facilitate the development of a

course of action to most efficiently apply available resources to restore and revitalize

the community as well as reduce the impacts from future disasters.

The above branches coordinate with one another to

identify appropriate agency assistance programs to meet

applicant needs, synchronizing assistance delivery and

encouraging incorporation of hazard mitigation

measures where possible. Hazard mitigation measures

are identified in concert with congressionally mandated,

locally developed plans. Hazard mitigation risk analysis;

technical assistance to State, local, and tribal

governments, citizens, and business; and grant assistance

are included within the mitigation framework.

Additionally, these branches work in tandem to track

overall progress of the recovery effort, particularly noting

potential program deficiencies and problem areas.

Long-term environmental recovery may include cleanup

and restoration of public facilities, businesses, and

residences; re-establishment of habitats and prevention

of subsequent damage to natural resources; protection

of cultural or archeological sites; and protection of

natural, cultural, and historical resources from

intentional damage during other recovery operations.

Mitigation Actions

Hazard mitigation involves reducing or eliminating

long-term risk to people and property from hazards and

their side effects. The JFO is the central coordination

point among Federal, State, local, and tribal agencies

and NGOs for beginning the process that leads to the

delivery of mitigation assistance programs.

The JFO’s Community Recovery and Mitigation Branch

is responsible for coordinating the delivery of all

mitigation programs within the affected area, including

hazard mitigation for:

■ Grant programs for loss reduction measures (if

available);

■ Delivery of loss reduction building-science expertise;

■ Coordination of Federal flood insurance operations

and integration of mitigation with other program

efforts;

■ Conducting flood recovery mapping to permit

expedited and accurate implementation of both

recovery and mitigation programs;

■ Predictive modeling to protect critical assets;

■ Early documentation of losses avoided due to

previous hazard mitigation measures; and

■ Community education and outreach necessary to

foster loss reduction.

Branch Description

Mitigation

Activities designed to reduce or eliminate risks to

persons or property or to lessen the actual or

potential effects or consequences of an incident.

Mitigation measures may be implemented prior to,

during, or after an incident.
56 | National Response Plan December 2004

The Community Recovery and Mitigation Branch

works with the Infrastructure and Human Services

Branches and with State, local, and tribal officials to

facilitate the development of a long-term recovery

strategy for the impacted area(s).

Demobilization

When a centralized Federal coordination presence is no

longer required in the affected area, the JFO Coordination

Group implements the demobilization plan to transfer

responsibilities and close out the JFO. After the closing of

the JFO, long-term recovery program management and

monitoring transitions to individual agencies’ regional

offices and/or headquarters, as appropriate.

Remedial Actions

DHS formally convenes interagency meetings called

“hotwashes” to identify critical issues requiring

headquarters-level attention, lessons learned, and best

practices associated with the Federal response to

Incidents of National Significance. Hotwashes typically

are conducted at major transition points over the

course of incident management operations, and include

State, local, and tribal participation as appropriate.

Identified issues are validated and promptly assigned to

appropriate organizations for remediation, in

accordance with DHS/EPR/FEMA’s Remedial Action

Management Program (RAMP). DHS/EPR/FEMA

manages the RAMP and coordinates, monitors, and

reports the status of Federal remediation actions for

issues arising from Incidents of National Significance.

After-Action Report

Following an incident, the JFO Coordination Group

submits an after-action report to DHS Headquarters

detailing operational successes, problems, and key

issues affecting incident management. The report

includes appropriate feedback from all Federal, State,

local, tribal, nongovernmental, and private-sector

partners participating in the incident. The Emergency

Support Function Leaders Group (ESFLG) and the

Regional Interagency Steering Committees (RISCs)—

the headquarters-level and regional-level interagency

NRP preparedness organizations (described in section

VI on page 58)—use information from these reports to

update plans and procedures as required.

Each Federal agency involved should keep records of its

activity to assist in preparing its own after-action report.

The DHS OSLGCP has established and maintains the

Lessons Learned Information Sharing system (formerly

Ready-Net) as the national repository for reports and

lessons learned. The NIMS Integration Center supports

and contributes to this national system.

NRP Operations Under HSAS Threat Conditions

General

The Homeland Security Advisory System, created by

HSPD-3 and administered by DHS/IAIP, is a

comprehensive and effective means for disseminating

information regarding the risk of terrorist attacks and

coordinating appropriate response measures across

jurisdictions and with the private sector. The HSAS is

composed of two separate elements: threat products

and threat condition.

■ Threat products include warning (advisories) and

nonwarning (information bulletins) products

designed to inform Federal, State, local, tribal, and

nongovernmental entities and private citizens of

threat or incident information.

■ The threat condition provides a guide to assist

government and private-sector entities in initiating a

set of standardized actions as a result of increased

terrorist threat levels within the United States, and to

inform the public on updated homeland security

requirements. The raising of the threat condition

generally is reserved for threats that are credible,

corroborated, and imminent. An elevated threat

condition can be applied nationally or by region, by

industry sector, or to a specific target.

During an increase in threat condition, DHS may notify,

activate, and deploy NRP organizational elements in an

effort to enhance the Nation’s ability to prevent,

prepare for, or respond to an attack. The decision to

mobilize NRP organizational elements is based on the
December 2004 National Response Plan | 57

Green (low), Blue (guarded),

Yellow (elevated)

Under Threat Conditions Green through Yellow, the HSOC maintains direct

connectivity with the NCTC and the FBI SIOC regarding the terrorist threat and

maintains situational awareness through the continued monitoring of reported

incidents.

Orange (high) When threat conditions warrant, DHS activates the IIMG to review the threat

information, coordinate interagency activity, and recommend additional

precautions needed to prevent, prepare for, or respond to an attack. If the threat

is elevated regionally or locally, DHS considers designating a PFO and activating

emergency response teams and appropriate RRCC(s) to coordinate with

regional, State, and private-sector entities and notify (or activate) regional

resources (such as the ERT) as appropriate.

Red (severe) When threat conditions warrant, DHS fully activates the NRCC, activates the

RRCCs in the designated threat locations, implements Continuity of Operations

plans, and places other appropriate assets on the highest alert status. If the

threat is elevated regionally or locally, the IIMG provides recommendations for

the deployment of special teams to the area and establishment of a JFO. In the

absence of a JFO, special teams deployed in response to a terrorist threat operate

in coordination with the FBI JOC.

nature and severity of the threat. In response to a

heightened nationwide risk of attack, DHS may activate

the national-level elements and place certain special

teams on standby. For geographic-specific threats,

DHS, in consultation with DOJ, may activate regional

elements and deploy national coordinating elements

and special teams to the affected area.

Procedures/Guidelines

Procedures/guidelines for threat conditions are

described below.

Threat Conditions Procedures/Guidelines
58 | National Response Plan December 2004

VI. Ongoing Plan Management 

and Maintenance

Coordination

The Federal Government uses the “preparedness

organization” concept described in the NIMS for the

ongoing management and maintenance of the NRP.

These organizations typically include all agencies with a

role in incident management and provide a forum for

coordination of policy, planning, training, equipping,

and other preparedness requirements.

Federal Headquarters Level

The HSC Domestic Threat Reduction and Incident

Management (DTRIM) PCC and the ESFLG are the

primary Federal-level organizations for coordinating

interagency policy related to the ongoing management

and maintenance of the NRP and related activities. In

providing sustained management and oversight of the

NRP, these organizations will comply with

preparedness guidelines and standards as identified in

HSPD-5 and HSPD-8.

■ Domestic Threat Reduction and Incident

Management Policy Coordination Committee: The

DTRIM PCC serves as the senior interagency policy

oversight group for the NRP and related issues,

providing an interagency forum for review of NRPrelated plans, policy guidance, and issue resolution.

(The DTRIM PCC replaces the FRP Catastrophic

Disaster Response Group (CDRG) for ongoing

management and maintenance of the NRP in these

areas.)

■ Emergency Support Function Leaders Group: The

ESFLG serves as the senior interagency planning

oversight group for operational issues related to the

NRP and its ongoing management and maintenance.

The ESFLG is comprised of representatives from each

ESF as well as those organizations responsible for

maintaining the NRP Support and Incident Annexes.

The ESFLG provides a forum for developing

supporting plans and procedures, as well as crosscoordination of functions. The ESFLG meets at least

quarterly. In addition, coordinators of the ESF,

Support, and Incident Annexes will meet annually, as

a minimum, to review and update plans and

procedures, incorporate lessons learned and best

practices, and ensure functional coordination and

continuous improvement of all NRP elements. DHS

will develop a charter for the ESFLG further outlining

its roles and responsibilities in this area.

■ Other Federal Preparedness Organizations: Other

existing interagency preparedness organizations

generally are integrated through the ESF structure.

For example, the National Response Team works in

coordination with ESF #10 (Oil and Hazardous

Materials Response) planning efforts.

Federal Regional Level

At the Federal regional level, the RISCs are responsible

for multiagency coordination under the NRP on a

steady-state basis. The RISCs support the national-level

groups by coordinating issues and solutions that are

unique to the regions. RISCs also coordinate

preparedness efforts with other regional-level

preparedness organizations (such as the Regional

Response Teams (RRTs) that coordinate regional ESF

#10 efforts). At a minimum, the RISC is comprised of

representatives from each State in the region and,

where appropriate, regional-level representatives from

ESF primary and support agencies. RISCs meet at least

quarterly and provide an operational-level forum for

regional planning, interagency information-sharing,

and coordination. Each RISC includes an executivelevel committee that meets at least twice yearly to

provide executive-level guidance and oversight. DHS

will publish a charter for the RISCs further describing

their roles and responsibilities.

State and Local Levels

At the State and local levels, various preparedness

organizations provide multiagency coordination

functions.
December 2004 National Response Plan | 59

The NIMS Integration Center

In accordance with the NIMS, the NIMS Integration

Center is responsible for facilitating the development and

adoption of national-level standards, guidelines, and

protocols related to the NIMS. DHS/EPR/FEMA will

consult with the NIMS Integration Center in the

management and maintenance of the NRP as appropriate.

Plan Maintenance

DHS/EPR/FEMA, in close coordination with the DHS

Office of the Secretary, is the executive agent for NRP

management and maintenance. The NRP will be updated

periodically as required to incorporate new Presidential

directives, legislative changes, and procedural changes

based on lessons learned from exercises and actual events.

This section establishes procedures for interim changes

and full updates of the NRP.

■ Types of Changes. Changes include additions of new

or supplementary material and deletions. No

proposed change should contradict or override

authorities or other plans contained in statute,

Executive order, or regulation.

■ Coordination and Approval. Any department or

agency with assigned responsibilities under the NRP

may propose a change to the plan. DHS is responsible

for coordinating all proposed modifications to the

NRP with primary and support agencies and other

stakeholders, as required. DHS will coordinate review

and approval for proposed modifications through the

ESFLG and HSC as required.

■ Notice of Change. After coordination has been

accomplished, including receipt of the necessary

signed approval supporting the final change language,

DHS will issue an official Notice of Change.

The notice will specify the date, number, subject,

purpose, background, and action required, and provide

the change language on one or more numbered and

dated insert pages that will replace the modified pages

in the NRP. Once published, the modifications will be

considered part of the NRP for operational purposes

pending a formal revision and reissuance of the entire

document. Interim changes can be further modified or

updated using the above process.

■ Distribution. DHS will distribute Notices of Change

to all participating agencies, DHS Headquarters and

regional offices, and State emergency management

offices. Notices of Change to other organizations

will be provided upon request.

■ Reissuance of the NRP. Working toward continuous

improvement, DHS is responsible for coordinating full

reviews and updates of the NRP every 4 years, or more

frequently if the Secretary deems necessary. The review

and update will consider lessons learned and best practices identified during exercises and responses to actual

events, and incorporate new information technologies.

DHS will distribute revised NRP documents to the HSC

for the purpose of interagency review and concurrence.

The NRP will be updated periodically as required to

incorporate new Presidential directives, legislative

changes, and procedural changes based on lessons

learned from exercises and actual events.

The NRP and National Preparedness

The NRP provides a key aspect of Federal department

and agency compliance with HSPD-8, National

Preparedness. HSPD-8 directs the Secretary of

Homeland Security to coordinate efforts to measure

and improve national preparedness. For more

information on national preparedness, please refer to

the National Preparedness Goal. Preparedness tasks

related to the NRP and associated supplements are

summarized below:

■ DHS develops a national domestic all-hazards

preparedness goal, in coordination with other Federal
60 | National Response Plan December 2004

departments and agencies, and in consultation with

State and local governments. The goal establishes a

National Preparedness Assessment and Reporting

System, which produces an annual status report to the

President regarding the Nation’s level of preparedness.

■ Appropriate Federal departments and agencies undertake actions to support the national preparedness goal,

including adoption of quantifiable performance measurements in the areas of training, planning, equipment,

and exercises for Federal preparedness. Performance

measures are submitted to DHS for the National

Preparedness Assessment and Reporting System.

■ The annual report to the President includes, but is

not limited to, information on the readiness of

Federal civil response assets. Appropriate Federal

departments and agencies are required to maintain

specialized Federal assets, such as teams, stockpiles,

and caches, at levels consistent with the national

preparedness goal and to make them available for

response activities as established in the NRP.

■ DHS develops and maintains a Federal response

capability inventory, in coordination with other

appropriate Federal departments and agencies, that

includes the performance parameters of the

capability, the timeframe within which the capability

can be brought to bear to an incident, and the

readiness of such capability to manage domestic

incidents. Owners (respective agencies) of Federal

response capabilities are responsible for providing

DHS with updated information to ensure that the

inventory is current.

■ DHS, in coordination with other appropriate Federal

departments and agencies and in consultation with

State and local governments, maintains a

comprehensive National Training Program, a National

Exercise Program, and a National Lessons Learned

Information Sharing System (formerly Ready-Net) to

meet the national preparedness goal. These programs

and systems use the NIMS and include requirements

to support the NRP as appropriate.

NRP-Supporting Documents and Standards 

for Other Federal Emergency Plans

The NRP, as the core plan for domestic incident

management, provides the structures and processes for

coordinating incident management activities for

terrorist attacks, natural disasters, and other

emergencies that meet the criteria established for

Incidents of National Significance. Following the

guidance provided in HSPD-5, the NRP incorporates

existing Federal emergency and incident management

plans (with appropriate modifications and revisions) as

integrated components of the NRP, as supplements, or

as supporting operational plans.

Accordingly, Federal departments and agencies must

incorporate key NRP concepts and procedures for

working with NRP organizational elements when

developing or updating incident management and

emergency response plans. When an agency develops a

national interagency plan that involves events within

the scope of Incidents of National Significance, these

plans are coordinated with DHS to ensure consistency

with the NRP, and are incorporated into the NRP, either

by reference or as a whole. DHS/EPR/FEMA will

maintain a complete set of all current national

interagency plans and provide ready public access to

those plans via website or other appropriate means.

Incident management and emergency response plans

must include, to the extent authorized by law:

■ Principles and terminology of the NIMS;

■ Reporting requirements of the NRP;

■ Linkages to key NRP organizational elements (such as

the IIMG, NRCC, RRCC, JFO, etc.); and

■ Procedures for transitioning from localized incidents

to Incidents of National Significance.

The broader range of NRP-supporting documents

includes strategic, operational, tactical, and incidentspecific or hazard-specific contingency plans and

procedures. Strategic plans are developed by

headquarters-level entities based on long-range goals,

objectives, and priorities. Operational-level plans

merge the on-scene tactical concerns with overall
December 2004 National Response Plan | 61

National Incident

Management System

The NIMS provides a core set of doctrine, concepts, terminology, and

organizational processes to enable effective, efficient, and collaborative incident

management at all levels.

National Interagency Plans National interagency plans are based either on statutory or regulatory authorities,

and/or specific contingencies and types of incidents. These plans provide protocols

for managing the preponderance of incidents that are likely to occur at all levels of

government and that normally can be managed without the need for DHS

coordination. These plans can be implemented independently or concurrently 

with the NRP.

When the NRP is activated, these interagency plans are incorporated as supporting

and/or operational plans. Examples of national interagency plans that are

incorporated into the NRP as supporting and/or operational plans include:

■ National Oil and Hazardous Substances Pollution Contingency Plan;

■ Mass Migration Emergency Plan;

■ National Search and Rescue Plan;

■ National Infrastructure Protection Plan; and

■ National Maritime Security Plan.

For purposes of full incorporation into the NRP, these plans will be referred to as

NRP supplements for the specific contingency or mission area that constitutes the

main focus of such plans. The comprehensive listing of national interagency plans

included as Appendix 4 provides a brief description of each of these plans.

Agency-Specific Plans Agency-specific plans are created to manage single hazards or contingencies under

the purview of the responsible department or agency. An example of an agencyspecific plan is the NRC’s Incident Response Plan.

Operational Supplements Operational supplements typically are detailed plans relating to specific incidents or

events. Operational supplements routinely are developed to support NSSEs.

Regional Plans Regional plans typically are operational supplements to national plans and provide

region-specific procedures and guidance. Examples of regional plans include

regional contingency plans (RCPs) mandated by the NCP to organize oil and

hazardous substance contamination response.

strategic objectives. Tactical plans include detailed,

specific actions and descriptions of resources required

to manage an actual or potential incident. Contingency

plans are based on specific scenarios and planning

assumptions related to a geographic area or the

projected impacts of an individual hazard. The

following is a brief description of NRP-related

documents:

Document Description
62 | National Response Plan December 2004

State/Local/Tribal

Emergency Operations 

Plans

State/local/tribal emergency operations plans are created to address a variety of

hazards. Examples include:

■ State emergency operations plans designed to support State emergency

management functions.

■ Area contingency plans designed to prevent, prepare for, respond to, and recover

from oil and hazardous substance incidents. These plans are developed at the

direction of Federal OSCs in consultation with organizations at the State,

regional, local, and tribal levels.

■ Local emergency operations plans created at the municipal level to complement

State emergency operations plans.

State/Local/Tribal

Multihazard Mitigation 

Plans

State/local/tribal multihazard mitigation plans are developed by States, territories,

tribes, and local communities to provide a framework for understanding

vulnerability to and risk from hazards, and identifying the pre-disaster and postdisaster mitigation measures to reduce the risk from those hazards. Multihazard

mitigation planning requirements were established by Congress through the

Stafford Act, as amended by the Disaster Mitigation Act of 2000.

Private-Sector Plans Private-sector plans are developed by privately owned companies/corporations.

Some planning efforts are mandated by statute (e.g., nuclear power plant

operations), while others are developed to ensure business continuity.

Volunteer and

Nongovernmental

Organization Plans

Volunteer and nongovernmental organization plans are plans created to support

local, State, regional, and Federal emergency preparedness, response, and recovery

operations. Plans include a continuous process of assessment, evaluation, and

preparation to ensure that the necessary authorities, organization, resources,

coordination, and operation procedures exist to provide effective delivery of

services to disaster clients as well as provide integration into planning efforts at all

government levels.

International Plans International plans between the Federal Government and foreign countries

typically deal with natural disasters, mass-casualty incidents, pollution incidents,

terrorism, or public health emergencies.

Procedures Procedures provide operational guidance for use by emergency teams and other

personnel involved in conducting or supporting incident management operations.

These documents fall into five basic categories:

■ Overviews that provide a brief concept summary of an incident management

function, team, or capability;

■ Standard operating procedures (SOPs), standard operating guidelines (SOGs), or

operations manuals that provide a complete reference document, detailing the

procedures for performing a single function (i.e., SOP/SOG) or a number of

interdependent functions (i.e., operations manual);

■ Field operations guides (FOGs) or handbooks that are produced as a durable

pocket or desk guide, containing essential tactical information needed to

perform specific assignments or functions;

■ Point of contact (POC) lists; and

■ Job aids such as checklists or other tools for job performance or job training.

Document Description
For the purposes of the NRP, the following terms and

definitions apply.

Accountable Property. Property that: 1) has an

acquisition cost that is $15,000 or more; 2) has a

unique, identifiable serial number (e.g., computer or

telecommunications equipment); and 3) is considered

“sensitive” (i.e., easily pilferable), such as cellular

phones, pagers, and laptop computers.

Agency. A division of government with a specific

function offering a particular kind of assistance. In

ICS, agencies are defined either as jurisdictional (having

statutory responsibility for incident management) or as

assisting or cooperating (providing resources or other

assistance).

Agency Representative. A person assigned by a

primary, assisting, or cooperating Federal, State, local,

or tribal government agency or private entity that has

been delegated authority to make decisions affecting

that agency’s or organization’s participation in incident

management activities following appropriate

consultation with the leadership of that agency.

Area Command (Unified Area Command). An

organization established (1) to oversee the management of

multiple incidents that are each being handled by an ICS

organization or (2) to oversee the management of large or

multiple incidents to which several Incident Management

Teams have been assigned. Area Command has the

responsibility to set overall strategy and priorities, allocate

critical resources according to priorities, ensure that

incidents are properly managed, and ensure that objectives

are met and strategies followed. Area Command becomes

Unified Area Command when incidents are

multijurisdictional. Area Command may be established at

an EOC facility or at some location other than an ICP.

Available Resources. Resources assigned to an

incident, checked in, and available for use, normally

located in a Staging Area.

Awareness. The continual process of collecting,

analyzing, and disseminating intelligence, information,

and knowledge to allow organizations and individuals

to anticipate requirements and to react effectively.

Casualty. Any person who is declared dead or is

missing, ill, or injured.

Catastrophic Incident. Any natural or manmade

incident, including terrorism, that results in

extraordinary levels of mass casualties, damage, or

disruption severely affecting the population,

infrastructure, environment, economy, national morale,

and/or government functions. A catastrophic event

could result in sustained national impacts over a

prolonged period of time; almost immediately exceeds

resources normally available to State, local, tribal, and

private-sector authorities in the impacted area; and

significantly interrupts governmental operations and

emergency services to such an extent that national

security could be threatened. All catastrophic events are

Incidents of National Significance.

Chain of Command. A series of command, control,

executive, or management positions in hierarchical

order of authority.

Civil Transportation Capacity. The total quantity of

privately owned transportation services, equipment,

facilities, and systems from all transportation modes

nationally or in a prescribed area or region.

Coastal Zone. As defined by the NCP, means all U.S.

waters subject to tide, U.S. waters of the Great Lakes,

specified ports and harbors on inland rivers, waters of

the contiguous zone, other water of the high seas

subject to the NCP, and the land surface or land

substrata, ground waters, and ambient air proximal to

those waters. The term “coastal zone” delineates an

area of Federal responsibility for response action.

Precise boundaries are determined by EPA/USCG

agreements and identified in RCPs.

Command Staff. In an incident management

organization, the Command Staff consists of the

Incident Command and the special staff positions of

Public Information Officer, Safety Officer, Liaison

Officer, and other positions as required, who report

directly to the Incident Commander. They may have an

assistant or assistants, as needed.

December 2004 National Response Plan | 63

Appendix 1

Glossary of Key Terms
Common Operating Picture (COP). A broad view of

the overall situation as reflected by situation reports,

aerial photography, and other information or

intelligence.

Community Recovery. In the context of the NRP and

its annexes, the process of assessing the effects of an

Incident of National Significance, defining resources,

and developing and implementing a course of action to

restore and revitalize the socioeconomic and physical

structure of a community.

Consequence Management. Predominantly an

emergency management function and included

measures to protect public health and safety, restore

essential government services, and provide emergency

relief to governments, businesses, and individuals

affected by the consequences of terrorism. The

requirements of consequence management and crisis

management are combined in the NRP. See also Crisis

Management.

Contiguous Zone. The zone of the high seas, established

by the United States under Article 24 of the Convention

on the Territorial Sea and Contiguous Zone, that is

contiguous to the territorial sea and that extends 9 miles

seaward from the outer limit of the territorial sea.

Credible Threat. A potential terrorist threat that, based

on a threat assessment, is credible and likely to involve

WMD.

Crisis Management. Predominantly a law enforcement

function and included measures to identify, acquire,

and plan the use of resources needed to anticipate,

prevent, and/or resolve a threat or act of terrorism.

The requirements of consequence management and

crisis management are combined in the NRP. See also

Consequence Management.

Critical Infrastructures. Systems and assets, whether

physical or virtual, so vital to the United States that the

incapacity or destruction of such systems and assets

would have a debilitating impact on security, national

economic security, national public health or safety, or

any combination of those matters.

Cultural Resources. Cultural resources include historic

and prehistoric structures, archeological sites, cultural

landscapes, and museum collections.

Cyber. Pertaining to computers and their support

systems, such as servers, routers, and switches, that

support critical infrastructure.

Defense Support of Civil Authorities (DSCA). Refers

to DOD support, including Federal military forces, DOD

civilians and DOD contractor personnel, and DOD

agencies and components, for domestic emergencies

and for designated law enforcement and other activities.

Deputy. A fully qualified individual who, in the

absence of a superior, could be delegated the authority

to manage a functional operation or perform a specific

task. In some cases, a deputy could act as relief for a

superior and therefore must be fully qualified in the

position. Deputies can be assigned to the Incident

Commander, General Staff, and Branch Directors.

Disaster. See Major Disaster.

Disaster Recovery Center (DRC). A facility established

in a centralized location within or near the disaster area

at which disaster victims (individuals, families, or

businesses) apply for disaster aid.

District Response Group. Established in each

DHS/USCG District, the District Response Group is

primarily responsible for providing the OSC technical

assistance, personnel, and equipment during responses

typically involving marine zones.

Emergency. As defined by the Stafford Act, an

emergency is “any occasion or instance for which, in

the determination of the President, Federal assistance is

needed to supplement State and local efforts and

capabilities to save lives and to protect property and

public health and safety, or to lessen or avert the threat

of a catastrophe in any part of the United States.”

Emergency Operations Center (EOC). The physical

location at which the coordination of information and

resources to support domestic incident management

activities normally takes place. An EOC may be a

temporary facility or may be located in a more central

or permanently established facility, perhaps at a higher

level of organization within a jurisdiction. EOCs may

be organized by major functional disciplines (e.g., fire,

law enforcement, and medical services), by jurisdiction

(e.g., Federal, State, regional, county, city, tribal), or by

some combination thereof.

64 | National Response Plan December 2004
Emergency Operations Plan (EOP). The “steady-state”

plan maintained by various jurisdictional levels for

managing a wide variety of potential hazards.

Emergency Public Information. Information that is

disseminated primarily in anticipation of an emergency

or during an emergency. In addition to providing

situational information to the public, it also frequently

provides directive actions required to be taken by the

general public.

Emergency Response Provider. Includes Federal, State,

local, and tribal emergency public safety, law

enforcement, emergency response, emergency medical

(including hospital emergency facilities), and related

personnel, agencies, and authorities. (See section 2(6),

Homeland Security Act of 2002, Public Law 107-296,

116 Stat. 2135 (2002).) Also known as “emergency

responder.”

Emergency Support Function (ESF). A grouping of

government and certain private-sector capabilities into

an organizational structure to provide the support,

resources, program implementation, and services that

are most likely to be needed to save lives, protect

property and the environment, restore essential services

and critical infrastructure, and help victims and

communities return to normal, when feasible,

following domestic incidents. The ESFs serve as the

primary operational-level mechanism to provide

assistance to State, local, and tribal governments or to

Federal departments and agencies conducting missions

of primary Federal responsibility.

Emerging Infectious Diseases. New or recurring

infectious diseases of people, domestic animals, and/or

wildlife, including identification, etiology, pathogenesis,

zoonotic potential, and ecological impact.

Environment. Natural and cultural resources and

historic properties as those terms are defined in this

glossary and in relevant laws.

Environmental Response Team. Established by EPA,

the Environmental Response Team includes expertise in

biology, chemistry, hydrology, geology, and

engineering. The Environmental Response Team

provides technical advice and assistance to the OSC for

both planning and response to discharges and releases

of oil and hazardous substances into the environment.

Evacuation. Organized, phased, and supervised

withdrawal, dispersal, or removal of civilians from

dangerous or potentially dangerous areas, and their

reception and care in safe areas.

Facility Management. Facility selection and

acquisition, building services, information systems,

communications, safety and health, and physical

security.

Federal. Of or pertaining to the Federal Government

of the United States of America.

Federal Coordinating Officer (FCO). The Federal

officer who is appointed to manage Federal resource

support activities related to Stafford Act disasters and

emergencies. The FCO is responsible for coordinating

the timely delivery of Federal disaster assistance

resources and programs to the affected State and local

governments, individual victims, and the private sector.

Federal Emergency Communications Coordinator

(FECC). That person, assigned by GSA, who functions

as the principal Federal manager for emergency

telecommunications requirements in major disasters,

emergencies, and extraordinary situations, when

requested by the FCO or FRC.

Federal On-Scene Coordinator (FOSC or OSC). The

Federal official predesignated by the EPA or the USCG

to coordinate responses under subpart D of the NCP, or

the government official designated to coordinate and

direct removal actions under subpart E of the NCP.

Federal Resource Coordinator (FRC). The Federal

official appointed to manage Federal resource support

activities related to non-Stafford Act incidents. The FRC

is responsible for coordinating support from other

Federal departments and agencies using interagency

agreements and MOUs.

First Responder. Local and nongovernmental police,

fire, and emergency personnel who in the early stages

of an incident are responsible for the protection and

preservation of life, property, evidence, and the

environment, including emergency response providers

as defined in section 2 of the Homeland Security Act of

2002 (6 U.S.C. 101), as well as emergency

management, public health, clinical care, public works,

and other skilled support personnel (such as

December 2004 National Response Plan | 65
66 | National Response Plan December 2004

equipment operators) who provide immediate support

services during prevention, response, and recovery

operations. First responders may include personnel

from Federal, State, local, tribal, or nongovernmental

organizations.

Food and Nutrition Service (FNS) Disaster Task Force.

The Food Security Act of 1985 (Public Law 99-198)

requires the Secretary of Agriculture to establish a

Disaster Task Force to assist States in implementing and

operating various disaster food programs. The FNS

Disaster Task Force coordinates the overall FNS response

to disasters and emergencies. It operates under the

general direction of the Administrator of FNS.

Hazard. Something that is potentially dangerous or

harmful, often the root cause of an unwanted outcome.

Hazard Mitigation. Any cost-effective measure which

will reduce the potential for damage to a facility from a

disaster event.

Hazardous Material. For the purposes of ESF #1,

hazardous material is a substance or material, including

a hazardous substance, that has been determined by the

Secretary of Transportation to be capable of posing an

unreasonable risk to health, safety, and property when

transported in commerce, and which has been so

designated (see 49 CFR 171.8). For the purposes of

ESF #10 and the Oil and Hazardous Materials Incident

Annex, the term is intended to mean hazardous

substances, pollutants, and contaminants as defined by

the NCP.

Hazardous Substance. As defined by the NCP, any

substance designated pursuant to section 311(b)(2)(A)

of the Clean Water Act; any element, compound,

mixture, solution, or substance designated pursuant to

section 102 of the Comprehensive Environmental

Response, Compensation, and Liability Act (CERCLA);

any hazardous waste having the characteristics

identified under or listed pursuant to section 3001 of

the Solid Waste Disposal Act (but not including any

waste the regulation of which under the Solid Waste

Disposal Act (42 U.S.C. § 6901 et seq.) has been

suspended by act of Congress); any toxic pollutant

listed under section 307(a) of the Clean Water Act; any

hazardous air pollutant listed under section 112 of the

Clean Air Act (42 U.S.C. § 7521 et seq.); and any

imminently hazardous chemical substance or mixture

with respect to which the EPA Administrator has taken

action pursuant to section 7 of the Toxic Substances

Control Act (15 U.S.C. § 2601 et seq.).

Historic Property. Any prehistoric or historic district,

site, building, structure, or object included in or

eligible for inclusion in the National Register of

Historic Places, including artifacts, records, and remains

which are related to such district, site, building,

structure, or object [16 U.S.C. § 470(w)(5)].

Incident. An occurrence or event, natural or humancaused, that requires an emergency response to protect

life or property. Incidents can, for example, include

major disasters, emergencies, terrorist attacks, terrorist

threats, wildland and urban fires, floods, hazardous

materials spills, nuclear accidents, aircraft accidents,

earthquakes, hurricanes, tornadoes, tropical storms,

war-related disasters, public health and medical

emergencies, and other occurrences requiring an

emergency response.

Incident Action Plan. An oral or written plan

containing general objectives reflecting the overall

strategy for managing an incident. It may include the

identification of operational resources and assignments.

It may also include attachments that provide direction

and important information for management of the

incident during one or more operational periods.

Incident Command Post (ICP). The field location at

which the primary tactical-level, on-scene incident

command functions are performed. The ICP may be

collocated with the incident base or other incident

facilities and is normally identified by a green rotating

or flashing light.

Incident Command System (ICS). A standardized onscene emergency management construct specifically

designed to provide for the adoption of an integrated

organizational structure that reflects the complexity and

demands of single or multiple incidents, without being

hindered by jurisdictional boundaries. ICS is the

combination of facilities, equipment, personnel,

procedures, and communications operating with a

common organizational structure, designed to aid in

the management of resources during incidents. ICS is

used for all kinds of emergencies and is applicable to

small as well as large and complex incidents. ICS is

used by various jurisdictions and functional agencies,
both public and private, or organized field-level

incident management operations.

Incident Commander (IC). The individual responsible

for all incident activities, including the development of

strategies and tactics and the ordering and release of

resources. The IC has overall authority and

responsibility for conducting incident operations and is

responsible for the management of all incident

operations at the incident site. (See page 10 for

discussion on DOD forces.)

Incident Management Team (IMT). The Incident

Commander and appropriate Command and General

Staff personnel assigned to an incident.

Incident Mitigation. Actions taken during an incident

designed to minimize impacts or contain the damages

to property or the environment.

Incident of National Significance. Based on criteria

established in HSPD-5 (paragraph 4), an actual or

potential high-impact event that requires a coordinated

and effective response by and appropriate combination

of Federal, State, local, tribal, nongovernmental, and/or

private-sector entities in order to save lives and

minimize damage, and provide the basis for long-term

community recovery and mitigation activities.

Information Officer. See Public Information Officer.

Infrastructure. The manmade physical systems, assets,

projects, and structures, publicly and/or privately

owned, that are used by or provide benefit to the

public. Examples of infrastructure include utilities,

bridges, levees, drinking water systems, electrical

systems, communications systems, dams, sewage

systems, and roads.

Infrastructure Liaison. Assigned by DHS/IAIP, the

Infrastructure Liaison serves as the principal advisor to

the JFO Coordination Group regarding all national- and

regional-level critical infrastructure and key resources

incident-related issues.

Initial Actions. The actions taken by those responders

first to arrive at an incident site.

Initial Response. Resources initially committed to an

incident.

Initial Response Resources (IRR). Disaster support

commodities that may be pre-staged, in anticipation of

a catastrophic event, at a Federal facility close to a

disaster area for immediate application through an NRP

ESF operation. The initial response resources are

provided to victims and all levels of government

responders immediately after a disaster occurs. They are

designed to augment State and local capabilities.

DHS/EPR/FEMA Logistics Division stores and maintains

critically needed initial response commodities for

victims and responders and pre-positions supplies and

equipment when required. The initial response

resources include supplies (baby food, baby formula,

blankets, cots, diapers, meals ready-to-eat, plastic

sheeting, tents, and water) and equipment (emergency

generators, industrial ice-makers, mobile kitchen kits,

portable potties with service, portable showers, and

refrigerated vans).

In-Kind Donations. Donations other than cash

(usually materials or professional services) for disaster

survivors.

Inland Zone. As defined in the NCP, the environment

inland of the coastal zone excluding the Great Lakes

and specified ports and harbors on the inland rivers.

The term “coastal zone” delineates an area of Federal

responsibility for response action. Precise boundaries

are determined by EPA/USCG agreements and

identified in RCPs.

Insular Areas. Non-State possessions of the United

States. The insular areas include Guam, the

Commonwealth of the Northern Mariana Islands

(CNMI), American Samoa, the U.S.Virgin Islands, and

the former World War II Trust Territories now known as

the Federated States of Micronesia and the Republic of

the Marshall Islands. These last two entities, known as

Freely Associated States (FAS), are still connected with

the United States through the Compact of Free

Association.

Interagency Modeling and Atmospheric Assessment

Center (IMAAC). An interagency center responsible

for production, coordination, and dissemination of

consequence predictions for an airborne hazardous

material release. The IMAAC generates the single

Federal prediction of atmospheric dispersions and their

consequences utilizing the best available resources from

the Federal Government.

December 2004 National Response Plan | 67
Joint Field Office (JFO). A temporary Federal facility

established locally to provide a central point for Federal,

State, local, and tribal executives with responsibility for

incident oversight, direction, and/or assistance to

effectively coordinate protection, prevention,

preparedness, response, and recovery actions. The JFO

will combine the traditional functions of the JOC, the

FEMA DFO, and the JIC within a single Federal facility.

Joint Information Center (JIC). A facility established

to coordinate all incident-related public information

activities. It is the central point of contact for all news

media at the scene of the incident. Public information

officials from all participating agencies should collocate

at the JIC.

Joint Information System (JIS). Integrates incident

information and public affairs into a cohesive

organization designed to provide consistent,

coordinated, timely information during a crisis or

incident operations. The mission of the JIS is to

provide a structure and system for developing and

delivering coordinated interagency messages;

developing, recommending, and executing public

information plans and strategies on behalf of the IC;

advising the IC concerning public affairs issues that

could affect a response effort; and controlling rumors

and inaccurate information that could undermine

public confidence in the emergency response effort.

Joint Operations Center (JOC). The JOC is the focal

point for all Federal investigative law enforcement

activities during a terrorist or potential terrorist

incident or any other significant criminal incident, and

is managed by the SFLEO. The JOC becomes a

component of the JFO when the NRP is activated.

Jurisdiction. A range or sphere of authority. Public

agencies have jurisdiction at an incident related to their

legal responsibilities and authorities. Jurisdictional

authority at an incident can be political or geographical

(e.g., city, county, tribal, State, or Federal boundary

lines) or functional (e.g., law enforcement, public

health).

Liaison Officer. A member of the Command Staff

responsible for coordinating with representatives from

cooperating and assisting agencies.

Local Government. A county, municipality, city, town,

township, local public authority, school district, special

district, intrastate district, council of governments

(regardless of whether the council of governments is

incorporated as a nonprofit corporation under State

law), regional or interstate government entity, or agency

or instrumentality of a local government; an Indian

tribe or authorized tribal organization or, in Alaska, a

Native Village or Alaska Regional Native Corporation; or

a rural community, unincorporated town or village, or

other public entity. (As defined in section 2(10) of the

Homeland Security Act of 2002, Public Law 107-296,

116 Stat. 2135, et seq. (2002).)

Long-Range Management Plan. Used by the FCO and

management team to address internal staffing,

organization, and team requirements.

Major Disaster. As defined by the Stafford Act, any

natural catastrophe (including any hurricane, tornado,

storm, high water, wind-driven water, tidal wave,

tsunami, earthquake, volcanic eruption, landslide,

mudslide, snowstorm, or drought) or, regardless of

cause, any fire, flood, or explosion, in any part of the

United States, which in the determination of the

President causes damage of sufficient severity and

magnitude to warrant major disaster assistance under

this act to supplement the efforts and available

resources of States, local governments, and disaster

relief organizations in alleviating the damage, loss,

hardship, or suffering caused thereby.

Materiel Management. Requisitioning and sourcing

(requirements processing); acquisition, asset visibility

(resource tracking), receipt, storage, and handling;

security and accountability; inventory, deployment,

issue, and distribution; and recovery, reuse, and

disposition.

Mission Assignment. The vehicle used by

DHS/EPR/FEMA to support Federal operations in a

Stafford Act major disaster or emergency declaration. It

orders immediate, short-term emergency response

assistance when an applicable State or local government

is overwhelmed by the event and lacks the capability to

perform, or contract for, the necessary work.

Mitigation. Activities designed to reduce or eliminate

risks to persons or property or to lessen the actual or

potential effects or consequences of an incident.

68 | National Response Plan December 2004
Mitigation measures may be implemented prior to,

during, or after an incident. Mitigation measures are

often developed in accordance with lessons learned from

prior incidents. Mitigation involves ongoing actions to

reduce exposure to, probability of, or potential loss from

hazards. Measures may include zoning and building

codes, floodplain buyouts, and analysis of hazard-related

data to determine where it is safe to build or locate

temporary facilities. Mitigation can include efforts to

educate governments, businesses, and the public on

measures they can take to reduce loss and injury.

Mobilization. The process and procedures used by all

organizations—Federal, State, local, and tribal—for

activating, assembling, and transporting all resources that

have been requested to respond to or support an incident.

Mobilization Center. An off-site temporary facility at

which response personnel and equipment are received

from the Point of Arrival and are pre-positioned for

deployment to an incident logistics base, to a local

Staging Area, or directly to an incident site, as required.

A mobilization center also provides temporary support

services, such as food and billeting, for response

personnel prior to their assignment, release, or

reassignment and serves as a place to out-process

following demobilization while awaiting transportation.

Multiagency Command Center (MACC). An

interagency coordination center established by

DHS/USSS during NSSEs as a component of the JFO.

The MACC serves as the focal point for interagency

security planning and coordination, including the

coordination of all NSSE-related information from

other intra-agency centers (e.g., police command posts,

Secret Service security rooms) and other interagency

centers (e.g., intelligence operations centers, joint

information centers).

Multiagency Coordination Entity. Functions within a

broader multiagency coordination system. It may

establish priorities among incidents and associated

resource allocations, deconflict agency policies, and

provide strategic guidance and direction to support

incident management activities.

Multiagency Coordination System. Provides the

architecture to support coordination for incident

prioritization, critical resource allocation,

communications systems integration, and information

coordination. The components of multiagency

coordination systems include facilities, equipment,

EOCs, specific multiagency coordination entities,

personnel, procedures, and communications. The

systems assist agencies and organizations to fully

integrate the subsystems of NIMS.

Multijurisdictional Incident. An incident requiring

action from multiple agencies that each have jurisdiction

to manage certain aspects of an incident. In ICS, these

incidents will be managed under Unified Command.

Mutual Aid Agreement. Written agreement between

agencies, organizations, and/or jurisdictions that they will

assist one another on request by furnishing personnel,

equipment, and/or expertise in a specified manner.

National. Of a nationwide character, including the

Federal, State, local, and tribal aspects of governance

and policy.

National Coordinating Center for Telecommunications.

A joint telecommunications industry–Federal

Government operation established to assist in the

initiation, coordination, restoration, and reconstitution

of NS/EP telecommunications services and facilities.

National Counterterrorism Center (NCTC). The NCTC

serves as the primary Federal organization for analyzing

and integrating all intelligence possessed or acquired by

the U.S. Government pertaining to terrorism and

counterterrorism, excepting purely domestic

counterterrorism information. The NCTC may, consistent

with applicable law, receive, retain, and disseminate

information from any Federal, State, or local government

or other source necessary to fulfill its responsibilities.

National Disaster Medical System (NDMS). A

coordinated partnership between DHS, HHS, DOD, and

the Department of Veterans Affairs established for the

purpose of responding to the needs of victims of a

public health emergency. NDMS provides medical

response assets and the movement of patients to health

care facilities where definitive medical care is received

when required.

National Incident Management System (NIMS). A

system mandated by HSPD-5 that provides a consistent,

nationwide approach for Federal, State, local, and tribal

governments; the private sector; and NGOs to work

December 2004 National Response Plan | 69
70 | National Response Plan December 2004

effectively and efficiently together to prepare for,

respond to, and recover from domestic incidents,

regardless of cause, size, or complexity. To provide for

interoperability and compatibility among Federal, State,

local, and tribal capabilities, the NIMS includes a core

set of concepts, principles, and terminology. HSPD-5

identifies these as the ICS; multiagency coordination

systems; training; identification and management of

resources (including systems for classifying types of

resources); qualification and certification; and the

collection, tracking, and reporting of incident

information and incident resources.

National Infrastructure Coordinating Center (NICC).

Managed by the DHS Information Analysis and

Infrastructure Protection Directorate, the NICC

monitors the Nation’s critical infrastructure and key

resources on an ongoing basis. In the event of an

incident, the NICC provides a coordinating vehicle to

share information with critical infrastructure and key

resources information-sharing entities.

National Interagency Coordination Center (NICC).

The organization responsible for coordinating allocation

of resources to one or more coordination centers or

major fires within the Nation. Located in Boise, ID.

National Interagency Fire Center (NIFC). A facility

located in Boise, ID, that is jointly operated by several

Federal agencies and is dedicated to coordination,

logistical support, and improved weather services in

support of fire management operations throughout the

United States.

Natural Resources. Natural resources include land,

fish, wildlife, domesticated animals, plants, biota, and

water. Water means salt and fresh water, surface and

ground water, including water used for drinking,

irrigation, aquaculture, and recreational purposes, as

well as in its capacity as fish and wildlife habitat,

including coral reef ecosystems as defined in 16 U.S.C.

64501. Land means soil, surface and subsurface

minerals, and other terrestrial features.

National Response Center. A national communications

center for activities related to oil and hazardous substance

response actions. The National Response Center, located

at DHS/USCG Headquarters in Washington, DC, receives

and relays notices of oil and hazardous substances releases

to the appropriate Federal OSC.

National Response System. Pursuant to the NCP, the

mechanism for coordinating response actions by all

levels of government (40 CFR § 300.21) for oil and

hazardous substances spills and releases.

National Response Team (NRT). The NRT, comprised

of the 16 Federal agencies with major environmental

and public health responsibilities, is the primary

vehicle for coordinating Federal agency activities under

the NCP. The NRT carries out national planning and

response coordination and is the head of a highly

organized Federal oil and hazardous substance

emergency response network. EPA serves as the NRT

Chair, and DHS/USCG serves as Vice Chair.

National Security and Emergency Preparedness (NS/EP)

Telecommunications. NS/EP telecommunications

services are those used to maintain a state of readiness or

to respond to and manage any event or crisis (local,

national, or international) that causes or could cause

injury or harm to the population or damage to or loss of

property, or could degrade or threaten the NS/EP posture

of the United States.

National Special Security Event (NSSE). A designated

event that, by virtue of its political, economic, social, or

religious significance, may be the target of terrorism or

other criminal activity.

National Strike Force. The National Strike Force

consists of three strike teams established by DHS/USCG

on the Pacific, Atlantic, and Gulf coasts. The strike

teams can provide advice and technical assistance for

oil and hazardous substances removal, communications

support, special equipment, and services.

Nongovernmental Organization (NGO). A nonprofit

entity that is based on interests of its members,

individuals, or institutions and that is not created by a

government, but may work cooperatively with

government. Such organizations serve a public

purpose, not a private benefit. Examples of NGOs

include faith-based charity organizations and the

American Red Cross.

Nuclear Incident Response Team (NIRT). Created by

the Homeland Security Act to provide DHS with a

nuclear/radiological response capability. When

activated, the NIRT consists of specialized Federal

response teams drawn from DOE and/or EPA. These
teams may become DHS operational assets providing

technical expertise and equipment when activated

during a crisis or in response to a nuclear/radiological

incident as part of the DHS Federal response.

On-Scene Coordinator (OSC). See Federal On-Scene

Coordinator.

Pollutant or Contaminant. As defined in the NCP,

includes, but is not limited to, any element, substance,

compound, or mixture, including disease-causing

agents, which after release into the environment and

upon exposure, ingestion, inhalation, or assimilation

into any organism, either directly from the

environment or indirectly by ingestion through food

chains, will or may reasonably be anticipated to cause

death, disease, behavioral abnormalities, cancer, genetic

mutation, physiological malfunctions, or physical

deformations in such organisms or their offspring.

Preparedness. The range of deliberate, critical tasks

and activities necessary to build, sustain, and improve

the operational capability to prevent, protect against,

respond to, and recover from domestic incidents.

Preparedness is a continuous process involving efforts

at all levels of government and between government

and private-sector and nongovernmental organizations

to identify threats, determine vulnerabilities, and

identify required resources.

Prevention. Actions taken to avoid an incident or to

intervene to stop an incident from occurring.

Prevention involves actions taken to protect lives and

property. It involves applying intelligence and other

information to a range of activities that may include

such countermeasures as deterrence operations;

heightened inspections; improved surveillance and

security operations; investigations to determine the full

nature and source of the threat; public health and

agricultural surveillance and testing processes;

immunizations, isolation, or quarantine; and, as

appropriate, specific law enforcement operations aimed

at deterring, preempting, interdicting, or disrupting

illegal activity and apprehending potential perpetrators

and bringing them to justice.

Principal Federal Official (PFO). The Federal official

designated by the Secretary of Homeland Security to

act as his/her representative locally to oversee,

coordinate, and execute the Secretary’s incident

management responsibilities under HSPD-5 for

Incidents of National Significance.

Private Sector. Organizations and entities that are not

part of any governmental structure. Includes for-profit

and not-for-profit organizations, formal and informal

structures, commerce and industry, private emergency

response organizations, and private voluntary

organizations.

Public Assistance Program. The program administered

by FEMA that provides supplemental Federal disaster

grant assistance for debris removal and disposal,

emergency protective measures, and the repair,

replacement, or restoration of disaster-damaged,

publicly owned facilities and the facilities of certain

private nonprofit organizations.

Public Health. Protection, safety, improvement, and

interconnections of health and disease prevention

among people, domestic animals and wildlife.

Public Information Officer (PIO). A member of the

Command Staff responsible for interfacing with the

public and media or with other agencies with incidentrelated information requirements.

Public Works. Work, construction, physical facilities,

and services provided by governments for the benefit

and use of the public.

Radiological Emergency Response Teams (RERTs).

Teams provided by EPA’s Office of Radiation and

Indoor Air to support and respond to incidents or sites

containing radiological hazards. These teams provide

expertise in radiation monitoring, radionuclide

analyses, radiation health physics, and risk assessment.

RERTs can provide both mobile and fixed laboratory

support during a response.

Recovery. The development, coordination, and

execution of service- and site-restoration plans for

impacted communities and the reconstitution of

government operations and services through

individual, private-sector, nongovernmental, and public

assistance programs that: identify needs and define

resources; provide housing and promote restoration;

address long-term care and treatment of affected

December 2004 National Response Plan | 71
persons; implement additional measures for

community restoration; incorporate mitigation

measures and techniques, as feasible; evaluate the

incident to identify lessons learned; and develop

initiatives to mitigate the effects of future incidents.

Regional Emergency Transportation Coordinator

(RETCO). A senior-level executive from a DOT

operating administration who is predesignated by DOT

order to serve as the regional representative of the

Secretary of Transportation for emergency

transportation preparedness and response, including

oversight of ESF #1. Depending upon the nature and

extent of the disaster or major incident, the Secretary

may designate another official in this capacity.

Regional Response Teams (RRTs). Regional

counterparts to the National Response Team, the RRTs

comprise regional representatives of the Federal

agencies on the NRT and representatives of each State

within the region. The RRTs serve as planning and

preparedness bodies before a response, and provide

coordination and advice to the Federal OSC during

response actions.

Resources. Personnel and major items of equipment,

supplies, and facilities available or potentially available

for assignment to incident operations and for which

status is maintained. Resources are described by kind

and type and may be used in operational support or

supervisory capacities at an incident or at an EOC.

Response. Activities that address the short-term, direct

effects of an incident. Response includes immediate

actions to save lives, protect property, and meet basic

human needs. Response also includes the execution of

emergency operations plans and of incident mitigation

activities designed to limit the loss of life, personal

injury, property damage, and other unfavorable

outcomes. As indicated by the situation, response

activities include: applying intelligence and other

information to lessen the effects or consequences of an

incident; increased security operations; continuing

investigations into the nature and source of the threat;

ongoing public health and agricultural surveillance and

testing processes; immunizations, isolation, or

quarantine; and specific law enforcement operations

aimed at preempting, interdicting, or disrupting illegal

activity, and apprehending actual perpetrators and

bringing them to justice.

Senior Federal Official (SFO). An individual representing

a Federal department or agency with primary statutory

responsibility for incident management. SFOs utilize

existing authorities, expertise, and capabilities to aid in

management of the incident working in coordination

with other members of the JFO Coordination Group.

Shared Resources (SHARES) High Frequency Radio

Program. SHARES provides a single, interagency

emergency message handling system by bringing

together existing HF radio resources of Federal, State,

and industry organizations when normal

communications are destroyed or unavailable for the

transmission of NS/EP information.

Situation Assessment. The evaluation and

interpretation of information gathered from a variety

of sources (including weather information and

forecasts, computerized models, GIS data mapping,

remote sensing sources, ground surveys, etc.) that,

when communicated to emergency managers and

decisionmakers, can provide a basis for incident

management decisionmaking.

State. Any State of the United States, the District of

Columbia, the Commonwealth of Puerto Rico, the U.S.

Virgin Islands, Guam, American Samoa, the

Commonwealth of the Northern Mariana Islands, and

any possession of the United States. (As defined in

section 2(14) of the Homeland Security Act of 2002,

Public Law 107-296, 116 Stat. 2135, et seq. (2002).)

Strategic. Strategic elements of incident management

are characterized by continuous, long-term, high-level

planning by organizations headed by elected or other

senior officials. These elements involve the adoption of

long-range goals and objectives, the setting of

priorities, the establishment of budgets and other fiscal

decisions, policy development, and the application of

measures of performance or effectiveness.

Strategic Plan. A plan that addresses long-term issues

such as impact of weather forecasts, time-phased

resource requirements, and problems such as

permanent housing for displaced disaster victims,

environmental pollution, and infrastructure restoration.

Subject-Matter Expert (SME). An individual who is a

technical expert in a specific area or in performing a

specialized job, task, or skill.

72 | National Response Plan December 2004
Supervisor of Salvage and Diving (SUPSALV). A

salvage, search, and recovery operation established by

the Department of Navy. SUPSALV has extensive

experience to support response activities, including

specialized salvage, firefighting, and petroleum, oil, and

lubricants offloading. SUPSALV, when available, will

provide equipment for training exercises to support

national and regional contingency planning.

Telecommunications. The transmission, emission, or

reception of voice and/or data through any medium by

wire, radio, other electrical electromagnetic, or optical

means. Telecommunications includes all aspects of

transmitting information.

Telecommunications Service Priority (TSP) Program.

The NS/EP TSP Program is the regulatory,

administrative, and operational program authorizing

and providing for priority treatment (i.e., provisioning

and restoration) of NS/EP telecommunications services.

As such, it establishes the framework for NS/EP

telecommunications service vendors to provide, restore,

or otherwise act on a priority basis to ensure effective

NS/EP telecommunications services.

Terrorism. Any activity that (1) involves an act that (a)

is dangerous to human life or potentially destructive of

critical infrastructure or key resources; and (b) is a

violation of the criminal laws of the United States or of

any State or other subdivision of the United States; and

(2) appears to be intended (a) to intimidate or coerce a

civilian population; (b) to influence the policy of a

government by intimidation or coercion; or (c) to

affect the conduct of a government by mass

destruction, assassination, or kidnapping.

Threat. An indication of possible violence, harm, or

danger.

Transportation Management. Transportation

prioritizing, ordering, sourcing, and acquisition; timephasing plans; fleet management; and movement

coordination and tracking.

Tribe. Any Indian tribe, band, nation, or other

organized group or community, including any Alaskan

Native Village as defined in or established pursuant to

the Alaskan Native Claims Settlement Act (85 Stat. 688)

[43 U.S.C.A. and 1601 et seq.], that is recognized as

eligible for the special programs and services provided

by the United States to Indians because of their status

as Indians.

Unaffiliated Volunteer. An individual who is not

formally associated with a recognized voluntary

disaster relief organization; also known as a

“spontaneous” or “emergent” volunteer.

Unified Command. An application of ICS used when

there is more than one agency with incident

jurisdiction or when incidents cross political

jurisdictions. Agencies work together through the

designated members of the Unified Command to

establish their designated Incident Commanders at a

single ICP and to establish a common set of objectives

and strategies and a single Incident Action Plan. (See

page 10 for discussion on DOD forces.)

United States. The term “United States,” when used in a

geographic sense, means any State of the United States,

the District of Columbia, the Commonwealth of Puerto

Rico, the U.S.Virgin Islands, Guam, American Samoa, the

Commonwealth of the Northern Mariana Islands, any

possession of the United States, and any waters within

the jurisdiction of the United States. (As defined in

section 2(16) of the Homeland Security Act of 2002,

Public Law 107-296, 116 Stat. 2135, et seq. (2002).)

Unsolicited Goods. Donated items offered by and/or

sent to the incident area by the public, the private

sector, or other source, that have not been requested by

government or nonprofit disaster relief coordinators.

Urban Search and Rescue. Operational activities that

include locating, extricating, and providing on-site

medical treatment to victims trapped in collapsed

structures.

Volunteer. Any individual accepted to perform services

by an agency that has authority to accept volunteer

services when the individual performs services without

promise, expectation, or receipt of compensation for

services performed. (See, for example, 16 U.S.C. §

742f(c) and 29 CFR § 553.101.)

Volunteer and Donations Coordination Center.

Facility from which the Volunteer and Donations

Coordination Team operates. It is best situated in or

close by the State EOC for coordination purposes.

Requirements may include space for a phone bank,

December 2004 National Response Plan | 73
74 | National Response Plan December 2004

meeting space, and space for a team of specialists to

review and process offers.

Weapon of Mass Destruction (WMD). As defined in

Title 18, U.S.C. § 2332a: (1) any explosive, incendiary,

or poison gas, bomb, grenade, rocket having a

propellant charge of more than 4 ounces, or missile

having an explosive or incendiary charge of more than

one-quarter ounce, or mine or similar device; (2) any

weapon that is designed or intended to cause death or

serious bodily injury through the release,

dissemination, or impact of toxic or poisonous

chemicals or their precursors; (3) any weapon

involving a disease organism; or (4) any weapon that is

designed to release radiation or radioactivity at a level

dangerous to human life.

Wireless Priority Service (WPS). WPS allows

authorized NS/EP personnel to gain priority access to

the next available wireless radio channel to initiate calls

during an emergency when carrier channels may be

congested.
December 2004 National Response Plan | 75

Appendix 2

List of Acronyms

APHIS Animal and Plant Health 

Inspection Service

CBO Community-Based Organization

CDRG Catastrophic Disaster Response Group

CERCLA Comprehensive Environmental Response,

Compensation, and Liability Act

CERT Community Emergency Response Team

CFO Chief Financial Officer

CI/KR Critical Infrastructure/Key Resources

CMC Crisis Management Coordinator

CNMI Commonwealth of the Northern

Mariana Islands

CONPLAN U.S. Government Interagency Domestic

Terrorism Concept of Operations Plan

CSG Counterterrorism Security Group

DCE Defense Coordinating Element

DCO Defense Coordinating Officer

DEST Domestic Emergency Support Team

DFO Disaster Field Office

DHS Department of Homeland Security

DMAT Disaster Medical Assistance Team

DMORT Disaster Mortuary Operational

Response Team

DOC Department of Commerce

DOD Department of Defense

DOE Department of Energy

DOI Department of the Interior

DOJ Department of Justice

DOL Department of Labor

DOS Department of State

DOT Department of Transportation

DPA Defense Production Act

DRC Disaster Recovery Center

DRM Disaster Recovery Manager

DSCA Defense Support of Civil Authorities

DTRIM Domestic Threat Reduction and

Incident Management

EAS Emergency Assistance Personnel or

Emergency Alert System

EOC Emergency Operations Center

EPA Environmental Protection Agency

EPCRA Emergency Planning and 

Community Right-to-Know Act

EPLO Emergency Preparedness Liaison Officer

EPR Emergency Preparedness and Response

ERL Environmental Research Laboratories

ERT Environmental Response Team (EPA)

ERT-A Emergency Response Team—

Advance Element

ERT-N National Emergency Response Team

ESF Emergency Support Function

ESFLG Emergency Support Function 

Leaders Group

EST Emergency Support Team

FAS Freely Associated States

FBI Federal Bureau of Investigation

FCO Federal Coordinating Officer

FEMA Federal Emergency Management Agency

FIRST Federal Incident Response Support Team

FMC Federal Mobilization Center

FNS Food and Nutrition Service

FOC FEMA Operations Center

FOG Field Operations Guide

FRC Federal Resource Coordinator

FRERP Federal Radiological 

Emergency Response Plan

FRP Federal Response Plan
GAR Governor’s Authorized Representative

GIS Geographical Information System

GSA General Services Administration

HHS Department of Health 

and Human Services

HQ Headquarters

HSAS Homeland Security Advisory System

HSC Homeland Security Council

HSOC Homeland Security Operations Center

HSPD Homeland Security Presidential Directive

IAIP Information Analysis and 

Infrastructure Protection

IC Incident Command

ICP Incident Command Post

ICS Incident Command System

IIMG Interagency Incident Management Group

IMT Incident Management Team

INRP Initial National Response Plan

IOF Interim Operating Facility

ISAO Information-Sharing and 

Analysis Organization

JFO Joint Field Office

JIC Joint Information Center

JIS Joint Information System

JOC Joint Operations Center

JTF Joint Task Force

JTTF Joint Terrorism Task Force

MAC Entity Multiagency Coordinating Entity

MACC Multiagency Command Center

MERS Mobile Emergency Response Support

MOA Memorandum of Agreement

MOU Memorandum of Understanding

NAHERC National Animal Health 

Emergency Response Corps

NASA National Aeronautics 

and Space Administration

NAWAS National Warning System

NCP National Oil and Hazardous Substances

Pollution Contingency Plan

NCR National Capital Region

NCS National Communications System

NCTC National Counterterrorism Center

NDMS National Disaster Medical System

NEP National Exercise Program

NGO Nongovernmental Organization

NICC National Infrastructure 

Coordinating Center

NICC National Interagency 

Coordination Center

NIMS National Incident Management System

NIPP National Infrastructure Protection Plan

NIRT Nuclear Incident Response Team

NJTTF National Joint Terrorism Task Force

NMRT National Medical Response Team

NOAA National Oceanic and 

Atmospheric Administration

NRC Nuclear Regulatory Commission

NRCC National Response Coordination Center

NRCS Natural Resources Conservation Service

NRP National Response Plan

NRT National Response Team

NSC National Security Council

NSP National Search and Rescue Plan

NSSE National Special Security Event

NVOAD National Voluntary Organizations

Active in Disaster

NWCG National Wildland Coordinating Group

OIA Office of the Assistant Secretary for

Information Analysis

OSC On-Scene Coordinator

76 | National Response Plan December 2004
OSHA Occupational Safety 

and Health Administration

OSLGCP Office of State and Local Government

Coordination and Preparedness

PCC Policy Coordination Committee

PDA Preliminary Damage Assessment

PDD Presidential Decision Directive

PFO Principal Federal Official

POC Point of Contact

RA Reimbursable Agreement

RAMP Remedial Action Management Program

RCP Regional Contingency Plan

RCRA Resource Conservation and Recovery Act

REPLO Regional Emergency 

Preparedness Liaison Officer

RFI Request for Information

RISC Regional Interagency 

Steering Committee

RRCC Regional Response Coordination Center

RRT Regional Response Team

ROC Regional Operations Center

SAC Special Agent-in-Charge

SAR Search and Rescue

SCC Secretary’s Command Center (HHS)

SCO State Coordinating Officer

SFLEO Senior Federal Law Enforcement Official

SFO Senior Federal Official

SIOC Strategic Information 

and Operations Center

SOG Standard Operating Guideline

SOP Standard Operating Procedure

START Scientific and Technical Advisory 

and Response Team

TSA Transportation Security Administration

TSC Terrorist Screening Center

US&R Urban Search and Rescue

USACE U.S. Army Corps of Engineers

USCG U.S. Coast Guard

USDA U.S. Department of Agriculture

USSS U.S. Secret Service

VMAT Veterinarian Medical Assistance Team 

WAWAS Washington Area Warning System

WMD Weapons of Mass Destruction

December 2004 National Response Plan | 77
The principal authorities that guide the structure,

development, and implementation of the NRP are statutes,

Executive orders, and Presidential directives. Congress has

provided the broad statutory authority necessary for the

NRP, and the President has issued Executive orders and

Presidential directives to supply authority and policy

direction to departments and agencies of the Executive

Branch. Among the major statutes, orders, and directives

relevant to the NRP are those summarized below.

A. Statutes and Regulations

1. The Homeland Security Act of 2002, Pub. Law 107-

296, 116 Stat. 2135 (2002) (codified predominantly

at 6 U.S.C. §§ 101-557 and in other scattered

sections of the U.S.C.), established the Department of

Homeland Security with the mandate and legal

authority to protect the American people from the

continuing threat of terrorism. In the act, Congress

assigned DHS the primary missions to:

■ Prevent terrorist attacks within the United States;

■ Reduce the vulnerability of the United States to

terrorism at home;

■ Minimize the damage and assist in the recovery

from terrorist attacks that occur; and

■ Act as the focal point regarding natural and

manmade crises and emergency planning.

The Homeland Security Act gives the Secretary of

Homeland Security full authority and control over the

Department and the duties and activities performed

by its personnel, and it vests the Secretary with the

broad authority necessary to fulfill the Department’s

statutory mission to protect the American homeland.

This statutory authority, combined with the

President’s direction in HSPD-5, supports the NRP’s

unified, effective approach to domestic prevention,

preparedness, response, and recovery activities.

Responsibilities in the Homeland Security Act of

particular relevance to the development and

execution of the NRP include the following:

a. Preparedness of the United States for acts of

terrorism. Executed through the DHS OSLGCP,

this responsibility includes coordinating

preparedness efforts at the Federal level, and

working with State, local, tribal, parish, and

private-sector emergency response providers on

matters pertaining to combating terrorism.

b.Response to terrorist attacks, major disasters, and

other emergencies. Executed through the

Directorate of Emergency Preparedness and

Response, this responsibility includes:

■ Consolidating existing Federal emergency

response plans into a single, coordinated

national response plan;

■ Building a comprehensive national incident

management system to respond to such attacks

and disasters;

■ Ensuring the effectiveness of emergency

response providers to terrorist attacks, major

disasters, and other emergencies;

■ Providing the Federal Government’s response

to terrorist attacks, major disasters, and

emergencies, including managing such

response; and

■ Coordinating Federal response resources in the

event of a terrorist attack, major disaster, or

emergency.

c. Coordination of homeland security programs

with State and local government personnel,

agencies, and authorities and with the private

sector. Executed through the DHS OSLGCP and

the Private Sector Office, this responsibility

includes:

■ Coordinating to ensure adequate planning,

training, and exercise activities;

■ Coordinating and consolidating appropriate

Federal Government communications and

systems of communications; and

■ Distributing or coordinating the distribution of

warnings and information.

d.Risk analysis and risk management. DHS/IAIP

has primary authority for threat and event risk

analysis and risk management within DHS,

although other DHS organizations—such as the

U.S. Secret Service, the OSLGCP, and the Border

and Transportation Security Directorate—also

engage in risk management. DHS/IAIP

responsibilities include:

Appendix 3

Authorities and References

78 | National Response Plan December 2004
■ Analyzing and integrating information from all

available sources to identify, assess, detect, and

understand terrorist threats against the United

States;

■ Carrying out comprehensive assessments of the

vulnerabilities of the key resources and critical

infrastructure, including risk assessments to

determine the risks posed by particular types

of terrorist attacks within the United States;

■ Identifying priorities for and recommending

protective and support measures for such

infrastructure by all concerned;

■ Developing a comprehensive national plan (the

National Infrastructure Protection Plan (NIPP))

for securing critical infrastructure and key

resources, such as telecommunications and

power; and

■ Conducting risk assessments and vulnerability

assessments after other agencies have

conducted those studies and ranked top items

based on those studies.

e. Preventing the entry of terrorists and the

instruments of terrorism into the United States.

Executed through the Border and Transportation

Security Directorate, this responsibility includes:

■ Securing the borders, territorial waters, ports,

terminals, waterways, and air, land, and sea

transportation systems of the United States; and

■ Carrying out immigration enforcement

functions.

2. The Robert T. Stafford Disaster Relief and Emergency

Assistance Act, 93 Pub. L. No. 288, 88 Stat. 143

(1974) (codified as amended at 42 U.S.C. §§ 5121-

5206, and scattered sections of 12 U.S.C., 16 U.S.C.,

20 U.S.C., 26 U.S.C., 38 U.S.C. (2002)), establishes the

programs and processes for the Federal Government

to provide disaster and emergency assistance to States,

local governments, tribal nations, individuals, and

qualified private nonprofit organizations. The

provisions of the Stafford Act cover all hazards

including natural disasters and terrorist events.

Relevant provisions of the Stafford Act include a

process for Governors to request Federal disaster and

emergency assistance from the President. The

President may declare a major disaster or emergency:

■ If an event is beyond the combined response

capabilities of the State and affected local

governments; and

■ If, based on the findings of a joint Federal-Statelocal PDA, the damages are of sufficient severity

and magnitude to warrant assistance under the

act. (Note: In a particularly fast-moving or

clearly devastating disaster, DHS/EPR/FEMA may

defer the PDA process until after the declaration.)

a. If an emergency involves a subject area for which

the Federal Government exercises exclusive or

preeminent responsibility and authority, the

President may unilaterally direct the provision of

emergency assistance under the Stafford Act. The

Governor of the affected State will be consulted

if practicable.

b.DHS/EPR/FEMA can pre-deploy personnel and

equipment in advance of an imminent Stafford

Act declaration to reduce immediate threats to

life, property, and public health and safety, and to

improve the timeliness of disaster response.

c. During the immediate aftermath of an incident

which may ultimately qualify for assistance under

the Stafford Act, the Governor of the State in which

such incident occurred may request the President

to direct the Secretary of Defense to utilize the

resources of the DOD for the purpose of

performing on public and private lands any

emergency work that is made necessary by such

incident and that is essential for the preservation of

life and property. If the President determines that

such work is essential for the preservation of life

and property, the President shall grant such request

to the extent the President determines practical.

Such emergency work may only be carried out for

a period not to exceed 10 days.

d.The Stafford Act directs appointment of an FCO

by the President. The FCO is designated by the

DHS Under Secretary for Emergency Preparedness

and Response to coordinate the delivery of

Federal assistance to the affected State, local, and

tribal governments and disaster victims.

e. Federal agencies must avoid duplicating resources

and benefits for disaster victims. Disaster victims

are responsible for repayment of Federal assistance

duplicated by private insurance, or other Federal

programs, or when they have been otherwise

compensated for their disaster-related losses.

December 2004 National Response Plan | 79
f. All authorities under the Stafford Act granted to the

Secretary of Homeland Security in the Homeland

Security Act have been redelegated to the Under

Secretary of EPR through Delegation No. 9001.

3. The Public Health Security and Bioterrorism

Preparedness and Response Act of 2002, Pub. L. No.

107-188, 116 Stat. 294 (2002) (codified in

scattered sections of 7 U.S.C., 18 U.S.C., 21 U.S.C.,

29 U.S.C., 38 U.S.C., 42 U.S.C., and 47 U.S.C.

(2002)), is designed to improve the ability of the

United States to prevent, prepare for, and respond to

bioterrorism and other public health emergencies.

Key provisions of the act, 42 U.S.C. § 247d and §

300hh among others, address the development of a

national preparedness plan by HHS designed to

provide effective assistance to State and local

governments in the event of bioterrorism or other

public health emergencies; operation of the National

Disaster Medical System to mobilize and address

public health emergencies; grant programs for the

education and training of public health professionals

and improving State, local, and hospital preparedness

for and response to bioterrorism and other public

health emergencies; streamlining and clarifying

communicable disease quarantine provisions;

enhancing controls on dangerous biological agents

and toxins; and protecting the safety and security of

food and drug supplies.

4. The Defense Production Act of 1950, 64 Stat. 798

(1950) (codified as amended by the Defense

Production Act Reauthorization of 2003, Pub. L.

108-195, 117 Stat. 2892 (2003) at 50 U.S.C. app.

§§ 2061-2170 (2002)), is the primary authority

to ensure the timely availability of resources for

national defense and civil emergency preparedness

and response. Among other things, the DPA

authorizes the President to demand that companies

accept and give priority to government contracts

that the President “deems necessary or appropriate

to promote the national defense.” The DPA defines

“national defense” to include critical infrastructure

protection and restoration, as well as activities

authorized by the emergency preparedness sections

of the Stafford Act. Consequently, DPA authorities

are available for activities and measures undertaken

in preparation for, during, or following a natural

disaster or accidental or man-caused event. The

Department of Commerce has redelegated DPA

authority under Executive Order 12919, National

Defense Industrial Resource Preparedness, June 7,

1994, as amended, to the Secretary of Homeland

Security to place and, upon application, to

authorize State and local governments to place

priority-rated contracts in support of Federal, State,

and local emergency preparedness activities.

5. The Economy Act, 31 U.S.C. §§ 1535-1536

(2002), authorizes Federal agencies to provide

goods or services on a reimbursable basis to other

Federal agencies when more specific statutory

authority to do so does not exist.

6. The Posse Comitatus Act, 18 U.S.C. § 1385 (2002),

prohibits the use of the Army or the Air Force for

law enforcement purposes, except as otherwise

authorized by the Constitution or statute. This

prohibition applies to Navy and Marine Corps

personnel as a matter of DOD policy. The primary

prohibition of the Posse Comitatus Act is against

direct involvement by active duty military personnel

(to include Reservists on active duty and National

Guard personnel in Federal service) in traditional

law enforcement activities (to include interdiction

of vehicle, vessel, aircraft, or other similar activity;

directing traffic; search or seizure; an arrest,

apprehension, stop and frisk, or similar activity).

(Note exception under the Insurrection Statutes.)

Exceptions to the Posse Comitatus Act are found in

10 U.S.C. §§ 331-335 (2002) and other statutes.

7. The National Emergencies Act, 50 U.S.C. §§ 1601-

1651 (2003), establishes procedures for Presidential

declaration and termination of national emergencies.

The act requires the President to identify the specific

provision of law under which he or she will act in

dealing with a declared national emergency and

contains a sunset provision requiring the President

to renew a declaration of national emergency to

prevent its automatic expiration. The Presidential

declaration of a national emergency under the act is

a prerequisite to exercising any special or

extraordinary powers authorized by statute for use

in the event of national emergency.

8. The Comprehensive Environmental Response,

Compensation, and Liability Act, 42 U.S.C. §§

9601-9675 (2002), and the Federal Water

Pollution Control Act (Clean Water Act), 33 U.S.C.

80 | National Response Plan December 2004
§§ 1251-1387 (2002), established broad Federal

authority to respond to releases or threats of

releases of hazardous substances and pollutants or

contaminants that may present an imminent and

substantial danger to public health or welfare and

to discharges of oil. The National Oil and

Hazardous Substances Pollution Contingency

Plan, 40 CFR Part 300 (2003), was developed to

ensure coordinated and integrated response by

departments and agencies of the Federal

Government to prevent, minimize, or mitigate a

threat to public health or welfare posed by

discharges of oil and releases of hazardous

substances, pollutants, and contaminants.

9. The Cooperative Forestry Assistance Act of 1978, 16

U.S.C. §§ 2101-2114 (2002), authorizes the Secretary

of Agriculture to assist in the prevention and control

of rural fires, and to provide prompt assistance

whenever a rural fire emergency overwhelms, or

threatens to overwhelm, the firefighting capabilities of

the affected State or rural area.

10. The Communications Act of 1934, 47 U.S.C. §§

151-615b (2002), provides the authority to grant

special temporary authority on an expedited basis

to operate radio frequency devices. It would serve

as the basis for obtaining a temporary permit to

establish a radio station to be run by a Federal

agency and broadcast public service

announcements during the immediate aftermath of

an emergency or major disaster. 47 U.S.C. § 606

(2002) provides the authority for the NCS to

engage in emergency response, restoration, and

recovery of the telecommunications infrastructure.

11. The Insurrection Act, 10 U.S.C. §§ 331-335

(2002). Recognizing that the primary responsibility

for protecting life and property and maintaining law

and order in the civilian community is vested in

State and local governments, the Insurrection

Statutes authorize the President to direct the armed

forces to enforce the law to suppress insurrections

and domestic violence. Military forces may be used

to restore order, prevent looting, and engage in

other law enforcement activities.

12. The Defense Against Weapons of Mass Destruction

Act, 50 U.S.C. §§ 2301-2368 (2003), is intended to

enhance the capability of the Federal Government to

prevent and respond to terrorist incidents involving

WMD. Congress has directed that DOD provide

certain expert advice to Federal, State, and local

agencies with regard to WMD, to include domestic

terrorism rapid response teams, training in emergency

response to the use or threat of use of WMD, and a

program of testing and improving the response of

civil agencies to biological and chemical emergencies.

13. Emergencies Involving Chemical or Biological

Weapons. Pursuant to 10 U.S.C. § 382 (2002), in

response to an emergency involving biological or

chemical WMD that is beyond the capabilities of

civilian authorities to handle, the Attorney General

may request DOD assistance directly. Assistance that

may be provided includes identifying, monitoring,

containing, disabling, and disposing of the weapon.

Direct law enforcement assistance—such as conducting an arrest, searching or seizing evidence of criminal violations, or direct participation in the collection

of intelligence for law enforcement purposes—is not

authorized unless such assistance is necessary for the

immediate protection of human life and civilian law

enforcement officials are not capable of taking the

action, and the action is otherwise authorized.

14. Emergencies Involving Nuclear Materials. In

emergencies involving nuclear materials, 18 U.S.C. §

831(e)(2002) authorizes the Attorney General to

request DOD law enforcement assistance—including

the authority to arrest and conduct searches, without

violating the Posse Comitatus Act—when both the

Attorney General and Secretary of Defense agree that

an “emergency situation” exists and the Secretary of

Defense determines that the requested assistance will

not impede military readiness. An emergency

situation is defined as a circumstance that poses a

serious threat to the United States in which (1)

enforcement of the law would be seriously impaired

if the assistance were not provided, and (2) civilian

law enforcement personnel are not capable of

enforcing the law. In addition, the statute authorizes

DOD personnel to engage in “such other activity as

is incident to the enforcement of this section, or to

the protection of persons or property from conduct

that violates this section.”

15. Volunteer Services. There are statutory exceptions

to the general statutory prohibition against accepting

voluntary services under 31 U.S.C. § 1342 (2002)

December 2004 National Response Plan | 81
that can be used to accept the assistance of volunteer

workers. Such services may be accepted in

“emergencies involving the safety of human life or

the protection of property.” Additionally, provisions

of the Stafford Act, 42 U.S.C. §§ 5152(a), 5170a(2)

(2002), authorize the President to, with their

consent, use the personnel of private disaster relief

organizations and to coordinate their activities.

Under the Congressional Charter of 1905, 36

U.S.C. §§ 300101-300111 (2002), the American

Red Cross and its chapters are a single national

corporation. The Charter mandates that the

American Red Cross maintain a system of domestic

and international disaster relief. The American Red

Cross qualifies as a nonprofit organization under

section 501(c)(3) of the Internal Revenue code.

16. The Public Health Service Act, 42 U.S.C. §§ 201 et

seq. Among other things, this act provides that the

Secretary of HHS may declare a public health

emergency under certain circumstances (see 42 U.S.C.

§ 247d), and that the Secretary is authorized to

develop and take such action as may be necessary to

implement a plan under which the personnel,

equipment, medical supplies, and other resources of

the Department may be effectively used to control

epidemics of any disease or condition and to meet

other health emergencies and problems. (See 42

U.S.C. § 243.) The Public Health Service Act

authorizes the Secretary to declare a public health

emergency (42 U.S.C. 247d) and to prepare for and

respond to public health emergencies (42 U.S.C.

300hh). The Secretary is further empowered to

extend temporary assistance to States or localities to

meet health emergencies. During an emergency

proclaimed by the President, the President has broad

authority to direct the services of the Public Health

Service (42 U.S.C. § 217). Under that section, the

President is authorized to “utilize the [Public Health]

Service to such extent and in such manner as shall in

his judgment promote the public interest.”

Additionally, under 42 U.S.C. § 264, the Secretary is

authorized to make and enforce quarantine regulations

“necessary to prevent the introduction, transmission,

or spread of communicable diseases” from foreign

countries into the States or possessions, or from one

State or possession to another. The diseases for which

a person may be subject to quarantine must be

specified by the President through an Executive order.

17. The Veterans Affairs Emergency Preparedness Act of

2002, Pub. L. No. 107-287, 116 Stat. 2024 (2002)

(amending and codifying various sections of 38

U.S.C.). 38 U.S.C. § 1785 (2003), if funded, directs

the VA and DOD to develop training programs for

current health-care personnel and those

emergency/medical personnel in training in the

containment of nuclear, biological, and chemical

attacks and treatment of casualties. It authorizes the

Secretary of Veterans Affairs to furnish hospital care

and medical services to individuals responding to,

involved in, or otherwise affected by a disaster or

emergency during and immediately following a

disaster or emergency declared by the President

under the Robert T. Stafford Disaster Relief and

Emergency Assistance Act, or a disaster or emergency

in which the NDMS is activated.

18. The Atomic Energy Act of 1954, 42 U.S.C. §§ 2011-

2297 (2003), and the Energy Reorganization Act of

1974, 5 U.S.C. §§ 5313-5316, 42 U.S.C. §§ 5801-

5891 (2002), provide the statutory authority for

both the DOE and the NRC, and the foundation for

NRC regulation of the Nation’s civilian use of

byproduct, source, and special nuclear materials to

ensure adequate protection of public health and

safety, to promote the common defense and security,

and to protect the environment.

19. The Price-Anderson Amendments Act of 1988, Pub.

L. No. 100-408, 102 Stat. 1066 (1988) (amending

the Atomic Energy Act of 1954 and codified at 42

U.S.C. §§ 2014, 2210, 2273, 2282a (2003)),

provides for indemnification of governments and

individuals affected by nuclear incidents.

20. Furnishing of Health-Care Services to Members of

the Armed Forces during a War or National

Emergency, 38 U.S.C. § 8111A (2002). During and

immediately following a period of war, or a period

of national emergency declared by the President or

the Congress that involves the use of the Armed

Forces in armed conflict, the Secretary of Veterans

Affairs may furnish hospital care, nursing home care,

and medical services to members of the Armed

Forces on active duty. The Secretary may give a

higher priority to the furnishing of care and services

to active duty Armed Forces than others in medical

facilities for the Department with the exception of

veterans with service-connected disabilities.

82 | National Response Plan December 2004
21. The Resource Conservation and Recovery Act of

1976, 42 U.S.C. §§ 6901-6986 (2002), which was

passed as an amendment of the Solid Waste Disposal

Act of 1965, Pub. L. 89-272, 79 Stat. 997 (1965),

gave the EPA the authority to control hazardous waste

from “cradle to grave.” This includes the generation,

transportation, treatment, storage, and disposal of

hazardous waste. RCRA also set forth a framework

for the management of nonhazardous wastes.

22. The Occupational Safety and Health Act, 29 U.S.C.

§§ 651-678 (2002), among other things, assures

safe and healthful working conditions for working

men and women by authorizing enforcement of the

standards developed under the act; by assisting and

encouraging the States in their efforts to assure safe

and healthful working conditions; and by providing

for research, information, education, and training in

the field of occupational safety and health.

23. The Maritime Transportation Security Act, Pub. L.

No. 107-295, 116 Stat. 2064 (2002) (codified at 46

U.S.C. §§ 70102-70117 and scattered sections of the

U.S.C.), requires sectors of the maritime industry to

implement measures designed to protect America’s

ports and waterways from a terrorist attack.

24. Flood Control and Coastal Emergencies, 33 U.S.C. §

701n (2002) (commonly referred to as Public Law

84-99), authorizes the USACE an emergency fund

for preparation for emergency response to natural

disasters, flood fighting and rescue operations,

rehabilitation of flood control and hurricane

protection structures, temporary restoration of

essential public facilities and services, advance

protective measures, and provision of emergency

supplies of water. The USACE receives funding for

such activities under this authority from the Energy

and Water Development Appropriation.

25. The Oil Pollution Act of 1990, Pub. L. No. 101-

380, 104 Stat. 484 (1990) (codified as amended at

33 U.S.C. §§ 1203, 1223, 1321, 2701-2761 and

various other sections of the U.S.C. (2002)),

improves the Nation’s ability to prevent and

respond to oil spills by establishing provisions that

expand the Federal Government’s ability and

provides the money and personnel necessary to

respond to oil spills. The act also created the

national Oil Spill Liability Trust Fund.

26. The Clean Air Act, 42 U.S.C. §§ 7401-7671q

(2002) and 40 CFR § 80.73 (2003). The EPA may

temporarily permit a refiner, importer, or blender

to distribute nonconforming gasoline in

appropriate extreme or unusual circumstances

(e.g., an Act of God) that could not have been

avoided. EPA may seek DOE’s advice on fuel supply

situations when deciding whether to grant a

request to distribute nonconforming gasoline.

27. The Public Utilities Regulatory Policies Act of 1978,

Pub. L. No. 95-617, 92 Stat. 3117 (1978) (codified

at scattered sections of 15 U.S.C., 16 U.S.C., 30 U.S.C.,

42 U.S.C., 43 U.S.C. (2002)), and the Powerplant

and Industrial Fuel Use Act of 1978, Pub. L. No. 95-

620, 92 Stat. 3289 (1978) (codified as amended at

42 U.S.C. §§ 8301-8484 (2002)). The President has

authority to prohibit any powerplant or major fuelburning installation from using natural gas or

petroleum as a primary fuel during an emergency.

28. The Federal Power Act, 16 U.S.C. §§ 791a-828c,

824a(c) (2002), 10 CFR § 205.370 (2003). The

Secretary of Energy has authority in an emergency to

order temporary interconnections of facilities and/or

the generation and delivery of electric power.

29. The Department of Energy Organization Act, Pub.

L. No. 95-91, 91 Stat. 567 (1977) (codified

predominantly at 42 U.S.C. §§ 7101-7385o

(2002)), and the Federal Power Act, 16 U.S.C. §§

791a-828c (2002), 10 CFR §§ 205.350, 205.353

(2003). DOE has authority to obtain current

information regarding emergency situations on the

electric supply systems in the United States.

30. The Department of Energy Organization Act, Pub.

L. No. 95-91, 91 Stat. 567 (1977) (codified

predominantly at 42 U.S.C. §§ 7101-7385o

(2002)), 10 CFR §§ 205.350, 205.353 (2003), and

the Federal Energy Administration Act of 1974, 15

U.S.C. §§ 761-790h (2002). DOE and the National

Association of State Energy Officials (NASEO) have

agreed that DOE will develop, maintain, and

distribute a contact list of State and Federal

individuals responsible for energy market assessment

and energy emergency responses, and that the States

will participate in the effort by providing timely

assessments of energy markets to DOE and other

States in the event of an energy supply disruption.

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84 | National Response Plan December 2004

31. The Energy Policy and Conservation Act, 42 U.S.C.

§§ 6201-6422 (2002), as amended by the Energy

Policy Act of 1992, Pub. L. No. 102-486, 106 Stat.

2776 (1992) (as amended and codified in

scattered sections of the U.S.C.). The President may,

in an emergency, order Federal buildings to close

and/or conserve energy.

32. Transportation of Hazardous Material, 49 U.S.C.

§§ 5101-5127 (2002). Improves the regulatory

and enforcement authority of the Secretary of

Transportation to provide adequate protection

against the risks to life and property inherent in the

transportation of hazardous material in commerce.

33. The Ports and Waterways Safety Act of 1978, Pub.

L. No. 95-474, 92 Stat. 1471 (1978) (amending

Pub. L. No. 92-340 and codified at 33 U.S.C. §§

1222-1232 and 46 U.S.C. §§ 214, 391a (2002)).

The Secretary of Homeland Security has authority

to establish vessel traffic systems for ports, harbors,

and other navigable waterways, and to control

vessel traffic in areas determined to be hazardous

(e.g., due to vessel congestion). In such emergency

situations, DOE may be asked to advise the U.S.

Coast Guard on “priority” vessel movements to

expedite delivery of needed energy supplies.

34. The Energy Policy and Conservation Act, 42 U.S.C.

§§ 6231-6247 (2002). DOE is authorized to

create and maintain a Strategic Petroleum Reserve

(SPR) and the President is authorized to order a

drawdown of the Reserve in emergency

circumstances defined in the act.

35. The Energy Policy and Conservation Act, 42 U.S.C.

§§ 6250c (2002). DOE is authorized to create and

maintain a Northeast Home Heating Oil Reserve

and the President is authorized to order a

drawdown of the reserve in emergency

circumstances defined in the act.

36. The Natural Gas Policy Act of 1978, 15 U.S.C. §§

3301-3432 (2002). DOE can order any interstate

pipeline or local distribution company served by

an interstate pipeline to allocate natural gas in

order to assist in meeting the needs of highpriority consumers during a natural gas emergency.

37. The Powerplant and Industrial Fuel Use Act of

1978, 42 U.S.C. §§ 8301-8484 (2002). The

President has authority to allocate coal (and require

the transportation of coal) for the use of any

powerplant or major fuel-burning installation

during an energy emergency.

38. The Low Income Home Energy Assistance Act of

1981, 42 U.S.C. §§ 8621-8629 (2002). HHS has

discretionary funds available for distribution under

the Low Income Home Energy Assistance Program

(LIHEAP), according to the criteria that relate to

the type of emergency that precipitates their need.

DOE may advise HHS on the fuel supply situation

for such emergency funding.

39. The Small Business Act, 15 U.S.C. §§ 631-651e

(2002). The mission of the Small Business

Administration is to maintain and strengthen the

Nation’s economy by aiding, counseling, assisting, and

protecting the interests of small businesses and by

helping families and businesses recover from incidents

such as major disasters, emergencies, and catastrophes.

40. The Immigration Emergency Fund (IEF) was

created by section 404(b)(1) of the Immigration and

Nationality Act. The IEF can be drawn upon to

increase INS’s enforcement activities, and to

reimburse States and localities in providing assistance

as requested by the Secretary of the DHS in meeting

an immigration emergency declared by the President.

41. The Animal Health Protection Act of 2002,

7 U.S.C. 8310, consolidates all of the animal quarantine

and related laws and replaces them with one flexible

statutory framework. This act allows APHIS Veterinary

Services to act swiftly and decisively to protect U.S.

animal health from a foreign pest or disease.

42. 28 CFR § 0.85 designates the FBI as the agency

with primary responsibility for investigating all

crimes for which it has primary or concurrent

jurisdiction and which involve terrorist activities or

acts in preparation of terrorist activities within the

statutory jurisdiction of the United States. This

would include the collection, coordination, analysis,

management, and dissemination of intelligence and

criminal information as appropriate.
December 2004 National Response Plan | 85

B. Executive Orders

1. Executive Order 12148, 44 Fed. Reg. 43239

(1979), as amended by Exec. Order 13286, 68 Fed.

Reg. 10619 (2003), designates DHS as the primary

agency for coordination of Federal disaster relief,

emergency assistance, and emergency preparedness.

The order also delegates the President’s relief and

assistance functions under the Stafford Act to the

Secretary of Homeland Security, with the exception

of the declaration of a major disaster or emergency.

2. Executive Order 12656, 53 Fed. Reg. 47491

(1988), Assignment of Emergency Preparedness

Responsibilities, as amended by Exec. Order 13286,

68 Fed. Reg. 10619 (2003), assigns lead and

support responsibilities to each of the Federal

agencies for national security emergency

preparedness. The amendment designates DHS as

the principal agency for coordinating programs and

plans among all Federal departments and agencies.

3. Executive Order 13354, 69 Fed. Reg. 53589

(2004), National Counterterrorism Center,

establishes policy to enhance the interchange of

terrorism information among agencies and creates

the National Counterterrorism Center to serve as

the primary Federal organization in the U.S.

Government for analyzing and integrating all

intelligence information posed by the United States

pertaining to terrorism and counterterrorism.

4. Executive Order 13356, 69 Fed. Reg. 53599 (2004),

Strengthening the Sharing of Terrorism Information to

Protect Americans, requires the Director of Central

Intelligence, in consultation with the Attorney General

and the other intelligence agency heads, to develop

common standards for the sharing of terrorism information by agencies within the Intelligence Community

with 1) other agencies within the Intelligence

Community, 2) other agencies having counterterrorism

functions, and 3) through or in coordination with the

Department of Homeland Security, appropriate authorities of State and local governments.

5. Executive Order 12580, 52 Fed. Reg. 2923

(1987), Superfund Implementation, as amended by

numerous Executive orders, delegates to a number

of Federal departments and agencies the authority

and responsibility to implement certain provisions

of CERCLA. The policy and procedures for

implementing these provisions are spelled out in

the NCP and are overseen by the NRT.

6. Executive Order 12382, 47 Fed. Reg. 40531 (1982),

as amended by numerous Executive orders, President’s

National Security Telecommunications Advisory

Committee (NSTAC). This order provides the President

with technical information and advice on national

security telecommunications policy. Up to 30 members from the telecommunications and information

technology industries may hold seats on the NSTAC.

7. Executive Order 12472, 49 Fed. Reg. 13471 (1984),

Assignment of National Security and Emergency

Preparedness Telecommunications Functions, as

amended by Exec. Order 13286, 68 Fed. Reg. 10619

(2003). This order consolidated several directives

covering NSEP telecommunications into a

comprehensive document explaining the assignment

of responsibilities to Federal agencies for

coordinating the planning and provision of NSEP

telecommunications. The fundamental NSEP

objective is to ensure that the Federal Government

has telecommunications services that will function

under all conditions, including emergency situations.

8. Executive Order 12742, 56 Fed. Reg. 1079 (1991),

National Security Industrial Responsiveness, as

amended by Exec. Order 13286, 68 Fed. Reg. 10619

(2003). This order states that the United States must

have the capability to rapidly mobilize its resources

in the interest of national security. Therefore, to

achieve prompt delivery of articles, products, and

materials to meet national security requirements, the

Government may place orders and require priority

performance of these orders.

9. Executive Order 13284, 68 Fed. Reg. 4075 (2003),

Amendment of Executive Orders, and Other Actions,

in Connection With the Establishment of the

Department of Homeland Security. This order

amended previous Executive orders in order to make

provisions for the establishment of DHS.

10. Executive Order 13286, 68 Fed. Reg. 10619

(2003), Amendment of Executive Orders, and Other

Actions, in Connection With the Transfer of Certain

Functions to the Secretary of Homeland Security.

This order reflects the transfer of certain functions
to, and other responsibilities vested in, the Secretary

of Homeland Security, as well as the transfer of

certain agencies and agency components to DHS,

and the delegation of appropriate responsibilities to

the Secretary of Homeland Security.

11. Executive Order 12333, 46 Fed. Reg. 59941

(1981), United States Intelligence Activities,

designates DOE as part of the Intelligence

Community. It further defines counterintelligence as

information gathered and activities conducted to

protect against espionage, sabotage, or assassinations

conducted for or on behalf of foreign powers,

organizations or persons, or international terrorist

activities. This order specifically excludes personnel,

physical, document, or communications security

programs from the definition of counterintelligence.

12. Executive Order 12919, 59 Fed. Reg. 29625 (1994),

National Defense Industrial Resources Preparedness,

as amended by Exec. Order 13286, 68 Fed. Reg.

10619 (2003). This order delegates authorities and

addresses national defense industrial resource policies

and programs under the Defense Production Act of

1950, as amended, except for the amendments to

Title III of the act in the Energy Security Act of 1980

and telecommunication authorities under Exec.

Order 12472, 49 Fed. Reg. 13471 (1984).

13. Executive Order 12777, 56 Fed. Reg. 54757

(1991), Implementation of Section 311 of the

Federal Water Pollution Control Act of October 18,

1972, as amended, and the Oil Pollution Act of

1990, as amended by Exec. Order 13286, 68 Fed.

Reg. 10619 (2003). Implemented section 311 of

the FWPCA as amended by OPA 90.

14. Executive Order 13295, 68 Fed. Reg. 17255 (2003),

Revised List of Quarantinable Communicable

Diseases. Specifies certain communicable diseases for

regulations providing for the apprehension,

detention, or conditional release of individuals to

prevent the introduction, transmission, or spread of

suspected communicable diseases.

15. Executive Order 12196, 45 Fed. Reg. 12769

(1980), Occupational Safety and Health Programs

for Federal Employees. This order sets the OSHA

program guidelines for all agencies in the Executive

Branch except military personnel and uniquely

military equipment, systems, and operations.

C. Presidential Directives

1. Presidential Decision Directive 39: U.S. Policy on

Counterterrorism, June 21, 1995, establishes policy

to reduce the Nation’s vulnerability to terrorism,

deter and respond to terrorism, and strengthen

capabilities to detect, prevent, defeat, and manage

the consequences of terrorist use of WMD; and

assigns agency responsibilities.

2. Presidential Decision Directive 62: Combating

Terrorism, May 22, 1998, reinforces the missions

of Federal departments and agencies charged with

roles in defeating terrorism.

3. Homeland Security Presidential Directive-1:

Organization and Operation of the Homeland

Security Council, Oct. 29, 2001. This directive

establishes policies for the creation of the HSC,

which shall ensure the coordination of all

homeland security-related activities among

executive departments and agencies and promote

the effective development and implementation of

all homeland security policies.

4. Homeland Security Presidential Directive-2:

Combating Terrorism Through Immigration Policies,

Oct. 29, 2001. This directive mandates that, by

November 1, 2001, the Attorney General shall

create the Foreign Terrorist Tracking Task Force, with

assistance from the Secretary of State, the Director

of Central Intelligence, and other officers of the

Government, as appropriate. The Task Force shall

ensure that, to the maximum extent permitted by

law, Federal agencies coordinate programs to

accomplish the following: 1) deny entry into the

United States of aliens associated with, suspected of

being engaged in, or supporting terrorist activity;

and 2) locate, detain, prosecute, or deport any such

aliens already present in the United States.

5. Homeland Security Presidential Directive-3:

Homeland Security Advisory System, Mar. 11, 2002.

This directive establishes policy for the creation of a

Homeland Security Advisory System, which shall

provide a comprehensive and effective means to

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December 2004 National Response Plan | 87

disseminate information regarding the risk of

terrorist acts to Federal, State, and local authorities

and to the American people. Such a system would

provide warnings in the form of a set of graduated

“Threat Conditions” that would increase as the risk

of the threat increases. At each Threat Condition,

Federal departments and agencies would implement

a corresponding set of “Protective Measures” to

further reduce vulnerability or increase response

capability during a period of heightened alert.

6. Homeland Security Presidential Directive-4:

National Strategy to Combat Weapons of Mass

Destruction, Dec. 2002. Sets forth the National

Strategy to Combat Weapons of Mass Destruction

based on three principal pillars: (1)

Counterproliferation to Combat WMD Use, (2)

Strengthened Nonproliferation to Combat WMD

Proliferation, and (3) Consequence Management to

Respond to WMD Use. The three pillars of the U.S.

national strategy to combat WMD are seamless

elements of a comprehensive approach. Serving to

integrate the pillars are four cross-cutting enabling

functions that need to be pursued on a priority

basis: intelligence collection and analysis on WMD,

delivery systems, and related technologies; research

and development to improve our ability to address

evolving threats; bilateral and multilateral

cooperation; and targeted strategies against hostile

states and terrorists.

7. Homeland Security Presidential Directive-5:

Management of Domestic Incidents, February 28,

2003, is intended to enhance the ability of the

United States to manage domestic incidents by

establishing a single, comprehensive national

incident management system. In HSPD-5 the

President designates the Secretary of Homeland

Security as the PFO for domestic incident

management and empowers the Secretary to

coordinate Federal resources used in response to or

recovery from terrorist attacks, major disasters, or

other emergencies in specific cases. The directive

assigns specific responsibilities to the Attorney

General, Secretary of Defense, Secretary of State, and

the Assistants to the President for Homeland Security

and National Security Affairs, and directs the heads

of all Federal departments and agencies to provide

their “full and prompt cooperation, resources, and

support,” as appropriate and consistent with their

own responsibilities for protecting national security,

to the Secretary of Homeland Security, Attorney

General, Secretary of Defense, and Secretary of State

in the exercise of leadership responsibilities and

missions assigned in HSPD-5. The directive also

notes that it does not alter, or impede the ability to

carry out, the authorities of Federal departments and

agencies to perform their responsibilities under law.

8. Homeland Security Presidential Directive-6:

Integration and Use of Screening Information, Sept.

16, 2003. In order to protect against terrorism, this

directive establishes the national policy to: (1)

develop, integrate, and maintain thorough, accurate,

and current information about individuals known or

appropriately suspected to be or have been engaged

in conduct constituting, in preparation for, in aid of,

or related to terrorism (Terrorist Information); and

(2) use that information as appropriate and to the

full extent permitted by law to support (a) Federal,

State, local, territorial, tribal, foreign-government,

and private-sector screening processes, and (b)

diplomatic, military, intelligence, law enforcement,

immigration, visa, and protective processes.

9. Homeland Security Presidential Directive-7:

Critical Infrastructure Identification, Prioritization,

and Protection, Dec. 17, 2003. This directive

establishes a national policy for Federal

departments and agencies to identify and prioritize

U.S. critical infrastructure and key resources and to

protect them from terrorist attacks.

10. Homeland Security Presidential Directive-8:

National Preparedness, Dec. 17, 2003. This directive

establishes policies to strengthen the preparedness of

the United States to prevent and respond to threatened

or actual domestic terrorist attacks, major disasters,

and other emergencies by requiring a national

domestic all-hazards preparedness goal, establishing

mechanisms for improved delivery of Federal preparedness assistance to State and local governments,

and outlining actions to strengthen preparedness

capabilities of Federal, State, and local entities.

11. Homeland Security Presidential Directive-9:

Defense of United States Agriculture and Food, Jan.

30, 2004. This directive establishes a national

policy to defend the agriculture and food system
against terrorist attacks, major disasters, and other

emergencies.

12. Homeland Security Presidential Directive-10:

Biodefense for the 21st Century, April 28, 2004.

This directive provides a comprehensive framework

for the Nation’s biodefense and, among other

things, delineates the roles and responsibilities of

Federal agencies and departments in continuing

their important work in this area.

13. National Security Directive 42: National Policy for

the Security of National Security Telecommunications

and Information Systems, July 5, 1990. This directive

establishes initial objectives of policies, and an

organizational structure to guide the conduct of

activities to secure national security systems from

exploitation; establishes a mechanism for policy

development and dissemination; and assigns

responsibilities for implementation.

88 | National Response Plan December 2004
December 2004 National Response Plan | 89

Appendix 4

Compendium of National/International Interagency Plans

Canada-United States Joint

Inland Pollution Contingency Plan

Maintained by EPA and the Government of Canada, the Canada-United States Joint

Inland Pollution Contingency Plan establishes a cooperative strategy for preparing

for and responding to accidental and unauthorized releases of hazardous

substances along the shared inland border. The plan is applicable to situations

where a release causes or could cause damage to the environment along the

border and poses a threat to public health, property, or welfare. The plan also may

be activated when only one country is affected by an incident, but requires

assistance from the other country. The plan is supported by five regional annexes.

Canada-United States Joint

Marine Contingency Plan

Maintained by DHS/USCG and the Government of Canada, the Canada-United

States Joint Marine Contingency Plan (JCP) provides for a coordinated system

for planning, preparedness, and responding to harmful substance incidents in

the contiguous waters of Canada and the United States. This plan is supported

by five geographic annexes. The annexes supplement the JCP and provide the

basic information necessary to execute an efficient and effective response in

the contiguous waters.

Department of Defense Civil

Disturbance Plan

Maintained by DOD, this plan provides policy and responsibilities governing

the planning and response by DOD components for military assistance to

Federal, State, and local government (including government of U.S.

territories) and their law enforcement agencies for civil disturbances.

Federal Family Assistance Plan

for Aviation Disasters

Maintained by the National Transportation Safety Board, the purpose of this

plan is to coordinate Federal assistance to victims and family members after

aviation disasters. The plan pertains to any domestic or foreign commercial

aviation crash that occurs within the United States or its territories,

possessions, and territorial seas.

Health and Medical Services

Support Plan for the Federal

Response to Acts of C/B

Terrorism

Maintained by HHS, this plan provides a coordinated Federal response for

urgent public health and medical care needs resulting from chemical or

biological terrorist threats or acts in the United States. This plan serves as a

supporting document to ESF #8 - Public Health and Medical Services.

Joint Contingency Plan

Between the United Mexican

States and the United States

of America Regarding Pollution

of the Marine Environment by

Discharges of Hydrocarbons or

Other Hazardous Substances

Maintained by DHS/USCG and the Government of Mexico, the MEXUS Plan

establishes guidelines for coordinating bilateral responses to pollution

incidents that occur in, or threaten, coastal waters or areas of the border

zones between Mexico and the United States that could affect or threaten the

marine environment of both parties. The MEXUS Plan outlines the joint

response system and identifies agencies from both Mexico and the United

States that will provide varying levels of support during a pollution incident.

Joint Contingency Plan of the

United States of America and

the Russian Federation on

Combating Pollution in the

Bering and Chukchi Seas

Maintained by DHS/USCG and the Russian Federation, this plan and its

operational appendixes provide for coordinated and combined responses to

pollution incidents in the Bering and Chukchi Seas and augments pertinent

national, State, republic, regional, and local plans of the two Nations. This

plan was updated and signed in March 2001.

Plan Description
90 | National Response Plan December 2004

National Emergency

Response to a

Highly Contagious

Animal Disease

Maintained by USDA/APHIS, this plan provides the procedures and structures to detect,

control, and eradicate a highly contagious disease as quickly as possible to return the United

States to a contamination-free status. The plan coordinates actions by Federal, State, and local

officials in response to a suspected or actual foreign animal disease/emerging disease incident.

Highly contagious diseases are those diseases rapidly spreading from animal to animal as well

as herd to herd. Transmission can occur via direct and indirect modes; has above normal

morbidity/mortality per unit time; and could be based on species or production.

National Oil and

Hazardous

Substances

Pollution

Contingency Plan

Maintained by the EPA in coordination with the NRT, the NCP provides the organizational

structure and procedures for preparing for and responding to discharges of oil and releases of

hazardous substances, pollutants, and contaminants. To achieve this objective, the NCP

establishes the NRT, RRTs, and local Area Committees to coordinate planning and preparedness

efforts. Federal OSCs coordinate response activities at the incident site. The NCP applies to oil

discharges into or on the navigable waters of the United States (including adjoining shorelines

and into the exclusive economic zone) and to releases into the environment of hazardous

substances, and pollutants or contaminants that may present an imminent and substantial

danger to public health or welfare.

National Plan for

Telecommunications

Support in 

Non-Wartime

Emergencies

Maintained by the Office of Science and Technology Policy, the National Plan for

Telecommunications Support in Non-Wartime Emergencies provides procedures for planning

and using national telecommunications assets and resources in support of non-wartime

emergencies, including those covered by the Disaster Relief Act of 1974, in Presidentially

declared emergencies and major disasters, extraordinary situations, and other emergencies.

National Search and

Rescue Plan

The National Search and Rescue Plan (NSP) is maintained by the National Search and Rescue

Commission. The NSP provides an overall plan for the interagency coordination of civil search

and rescue (SAR) operations to help the United States satisfy its humanitarian, national, and

international SAR-related obligations. The plan assigns coordination and response responsibilities

to DHS/USCG for aeronautical and maritime SAR within oceanic SAR regions for which the

United States has primary responsibility. This plan covers maritime, aeronautical, and land civil

SAR operations; delivery of survivors to a place of safety; and the saving of property when it can

be done in conjunction with the saving of lives. The NSP is solely intended to provide internal

guidance to all signatory Federal agencies. The plan is not intended to conflict with SAR

responsibilities in international instruments to which the United States is or may become a party.

U.S. Department of

Health and Human

Services Concept of

Operations Plan

(CONOPS) for Public

Health and Medical

Emergencies

Maintained by HHS, this plan establishes a framework for the management of public health

and medical emergencies and events that require assistance from HHS. This plan covers all

events and activities (e.g., preparedness, response, recovery, etc.) deemed by the Secretary of

HHS, or his/her designee, to require a coordinated Departmental response. HHS has

primary responsibility for public health and medical emergency planning, preparations,

response, and recovery in which one or more of the following apply: local, State, or tribal

resources are insufficient to address all of the public health needs; the resources of State,

local, or tribal public health and/or medical authorities are overwhelmed and HHS

assistance has been requested by the appropriate health authorities; or a Federal department

or agency acting under its own authority has requested the assistance of HHS. Public

health and medical emergencies addressed by this plan include those resulting from natural

and man-made disasters, terrorist threats, infectious disease outbreaks and pandemics, and

any other circumstance that creates an actual or potential public health or medical

emergency where Federal assistance may be necessary.

Plan Description
1. The Department of Homeland Security Homeland

Security Operations Center (DHS HSOC)

continually monitors potential major disasters and

emergencies. When advance warning is possible,

DHS may deploy and may request other Federal

agencies to deploy liaison officers and personnel to

a State Emergency Operations Center (EOC) to

assess the emerging situation. An RRCC may be

activated, fully or partially. Facilities, such as

mobilization centers, may be established to

accommodate personnel, equipment, and supplies.

2. Immediately after an incident, local jurisdictions

respond using available resources and notify State

response elements. As information emerges, they

also assess the situation and the need for State

assistance. The State reviews the situation,

mobilizes State resources, and informs the

DHS/EPR/FEMA Regional Office of actions taken.

The Governor activates the State emergency

operations plan, proclaims or declares a state of

emergency, and requests a State/DHS joint

Preliminary Damage Assessment (PDA) to

determine if sufficient damage has occurred to

justify a request for a Presidential declaration of a

major disaster or emergency. Based upon the

results of the PDA, the Governor may request a

Presidential declaration and defines the kind of

Federal assistance needed. At this point, an initial

assessment is also conducted of losses avoided

based on previous mitigation efforts.

3. After the major disaster or emergency declaration, an

RRCC, staffed by regional personnel, coordinates

initial regional and field activities such as deployment

of an ERT-A. The ERT-A assesses the impact of the

event, gauges immediate State needs, and makes

preliminary arrangements to set up operational field

facilities. (If regional resources appear to be

overwhelmed or if the event has potentially significant

consequences, DHS may deploy an ERT-N.)

4. Depending on the scope and impact of the event,

the NRCC, comprised of Emergency Support

Function (ESF) representatives and DHS/EPR/FEMA

support staff, carries out initial activation and

mission assignment operations and supports the

RRCC from DHS/EPR/FEMA.

5. A Federal Coordinating Officer (FCO), appointed by

the Secretary of Homeland Security on behalf of the

President, coordinates Federal support activities. The

FCO works with the State Coordinating Officer

(SCO) to identify requirements. A Principal Federal

Official (PFO) also may be designated as the

Secretary’s representative to coordinate overall

Federal interagency incident management efforts.

6. The ERT works with the affected State and conducts

field operations from the JFO. ESF primary

agencies assess the situation and identify

requirements and help States respond effectively.

Federal agencies provide resources under

DHS/EPR/FEMA mission assignment or their own

authority.

7. The IIMG convenes when needed to provide

strategic-level coordination and frame courses of

action regarding various operational and policy

issues. The HSOC supports the IIMG and

coordinates with the JFO.

8. Teleregistration activates a toll-free telephone

number individuals can call to apply for disaster

assistance. A toll-free disaster helpline is established

to answer common questions. One or more DRCs

may be opened where individuals can obtain

information about disaster assistance, advice, and

counsel. Individual applicants are processed at the

DHS/EPR/FEMA National Processing Center.

Inspectors verify losses and provide documentation

used to determine the types of disaster assistance to

be granted to individuals and families.

December 2004 National Response Plan | 91

Appendix 5

Overview of Initial Federal Involvement Under the Stafford Act

This overview illustrates actions Federal agencies likely will take to assist State and local governments that are

overwhelmed by a major disaster or emergency. Key operational components that could be activated include the

Interagency Incident Management Group (IIMG), National Response Coordination Center (NRCC), Regional

Response Coordination Center (RRCC), Emergency Response Team–Advance Element (ERT-A), National Emergency

Response Team (ERT-N), Joint Field Office (JFO), and Disaster Recovery Center (DRC).
92 | National Response Plan December 2004

9. As immediate response priorities are met, recovery

activities begin. Federal and State agencies assisting

with recovery and mitigation activities convene to

discuss State needs.

10. Public Assistance Applicant Briefings are conducted

for local government officials and certain private

nonprofit organizations to inform them of available

assistance and how to apply. Applicants must first file

a Request for Public Assistance. Eligible applicants

will be notified and will define each project on a

Project Worksheet, which details the scope of damage

and a cost estimate for repair to a pre-disaster

condition. The Project Worksheet is used as the basis

for obligating funds to the State for eligible projects.

11. Throughout response and recovery, mitigation staff

at the JFO examine ways to maximize mitigation

measures in accordance with State hazard

mitigation administrative plans. Grounded in the

local risk, and with State priorities and mitigation

plans in place, DHS/EPR/FEMA and State officials

contact local officials to identify potential projects

and suggest which ones should be included in an

early implementation strategy. The strategy focuses

on viable opportunities to provide funds, technical

assistance, and staff support to incorporate

mitigation into the overall community recovery, to

include the repair and replacement of damaged or

destroyed housing and infrastructure.

12. As the need for full-time interagency coordination

at the JFO ceases, the ERT plans for selective release

of Federal resources, demobilization, and closeout.

Federal agencies then work directly with their

grantees from their regional or HQ offices to

administer and monitor individual recovery

programs, support, and technical services.
December 2004 National Response Plan | 93

Federal 

Assistance

Incident

Occurs

Homeland 

Security Ops Center

Monitors threats & 

potential incidents

NRP Resources

May deploy in advance 

of imminent 

danger

FIGURE 11. Overview of initial Federal involvement under the Stafford Act

Activates

Joint Field Office

Provides coordination 

of Federal resources

Delivers

Activates

Emergency 

Response Team 

or other elements

Deployed as 

necessary

DHS and others

Implement National 

Response Plan

Activates

President

Declares major disaster 

or emergency

Alerts

Requests 

aid from

Preliminary

Damage

Assessment 

& requests

Presidential

declaration

Reports

to May convene

Interagency 

Incident 

Management Group

Frames operational

courses of action

Secretary, DHS

Reviews situation,

assesses need for disaster

declaration & activation 

of NRP elements

Homeland 

Security Ops Center

Evaluates situation

Governor

Activates State EOC

Mayor/County

Executive

Activates local EOC

Local First

Responders

Arrive first at scene

Recommends
1. Federal departments and agencies routinely manage

the response to incidents that do not rise to the

level of an Incident of National Significance. When

a Federal entity with primary responsibility and

statutory authority for handling an incident

requires assistance beyond its normal operations

(for an incident that is not determined to be an

Incident of National Significance), that agency may

request DHS coordination of Federal multiagency

assistance to support incident management efforts.

DHS coordinates assistance using the multiagency

coordination structures in the National Response

Plan (NRP). Generally, the requesting agency

provides funding for the incident in accordance

with provisions of the Economy Act, unless other

statutory authorities exist.

2. To initiate Federal-to-Federal support, requests for

assistance are submitted to the DHS Executive

Secretary (via the Homeland Security Operations

Center (HSOC)) for consideration and approval.

Requests should include a summary of the

situation, types and amount of resources needed,

financial information, and any other appropriate

information.

3. Upon approval of the request, the Secretary of

Homeland Security issues an operations order to

the HSOC. The HSOC, through the NRCC,

coordinates the activation of the appropriate

Emergency Support Functions (ESFs). Additionally,

the Secretary of Homeland Security designates a

Federal Resource Coordinator (FRC) to serve as the

Secretary's representative in the field to manage

Federal resource support. A Principal Federal

Official (PFO) also may be designated as the

Secretary's representative to coordinate overall

Federal interagency incident management efforts.

4. The requesting agency designates a Senior Federal

Official (SFO) to work in coordination with the

FRC to identify support requirements.

5. The requesting agency also provides Comptrollers

to the NRCC, RRCC, and JFO, as appropriate, to

oversee financial management activities.

6. An RRCC may be activated, fully or partially, to

facilitate the deployment of resources until a JFO is

established. Facilities, such as mobilization centers,

may be established to accommodate personnel,

equipment, and supplies.

7. Federal agencies provide resources under

interagency reimbursable agreements (RAs) or

their own authority.

8. Once established, the JFO serves as the focal point

for coordinating Federal assistance to the

requesting agency and incident command

structures on-scene.

9. As needed, the IIMG convenes to provide strategiclevel coordination and frame courses of action

regarding various operational and policy issues.

10. As the need for full-time interagency coordination

at the JFO ceases, the JFO Coordination Group

plans for selective release of Federal resources,

demobilization, and closeout.

94 | National Response Plan December 2004

Appendix 6

Overview of Federal-to-Federal 

Support in Non-Stafford Act Situations

This overview illustrates actions DHS and Federal agencies likely take to support a Federal department or agency that

has requested DHS assistance to appropriately handle an incident under their jurisdiction. Key operational

components that could be activated include the Interagency Incident Management Group (IIMG), National Response

Coordination Center (NRCC), Regional Response Coordination Center (RRCC), and Joint Field Office (JFO).
December 2004 National Response Plan | 95

* Incident not otherwise determined to be an Incident of National Significance

Federal 

Assistance

Incident or

Potential

Incident*

FIGURE 12. Overview of Federal-to-Federal support in non-Stafford Act situations

Joint Field Office

Provides coordination 

of Federal resources

Delivers

Emergency 

Support Functions

and other elements 

as needed

DHS and others

Implement National 

Response Plan

Activates

Reports

situation

and

requests

DHS

assistance

May convene

Interagency 

Incident 

Management Group

Frames operational 

courses of action

Secretary, DHS

Reviews situation,

assesses need for activation 

of NRP components,

designates FRC

Homeland 

Security Ops Center

Evaluates situation

Federal Agency With 

Primary Jurisdiction

Determines that additional

Federal support is needed

Local First Responders

Local, State, and Federal first

responders arrive at scene
This page intentionally left blank.

This page intentionally left blank. 
Emergency Support Function (ESF) Annexes Page

Introduction..............................................................................................................................ESF-i 

ESF #1 – Transportation ....................................................................................................ESF #1-1 

ESF #2 – Communications ................................................................................................ESF #2-1

ESF #3 – Public Works and Engineering ..........................................................................ESF #3-1 

ESF #4 – Firefighting ........................................................................................................ESF #4-1 

ESF #5 – Emergency Management....................................................................................ESF #5-1 

ESF #6 – Mass Care, Housing, and Human Services ........................................................ESF #6-1 

ESF #7 – Resource Support ...............................................................................................ESF #7-1 

ESF #8 – Public Health and Medical Services ..................................................................ESF #8-1 

ESF #9 – Urban Search and Rescue ..................................................................................ESF #9-1 

ESF #10 – Oil and Hazardous Materials Response .........................................................ESF #10-1 

ESF #11 – Agriculture and Natural Resources ................................................................ESF #11-1 

ESF #12 – Energy ............................................................................................................ESF #12-1 

ESF #13 – Public Safety and Security .............................................................................ESF #13-1 

ESF #14 – Long-Term Community Recovery and Mitigation ........................................ESF #14-1 

ESF #15 – External Affairs..............................................................................................ESF #15-1 
This page intentionally left blank. 
December 2004 ESF Annexes Introduction ESF-i 

 National Response Plan 

EMERGENCY SUPPORT FUNCTION ANNEXES: 

INTRODUCTION 

Purpose 

This section provides an overview of the Emergency Support Function (ESF) structure, common elements of each 

of the ESFs, and the basic content contained in each of the ESF Annexes. 

Background 

The ESFs provide the structure for coordinating Federal interagency support for Incidents of National 

Significance. The ESF structure includes mechanisms used to provide Federal support to States and Federal-toFederal support, both for declared disasters and emergencies under the Stafford Act and for non-Stafford Act 

incidents. The following section includes a series of annexes describing the roles and responsibilities of Federal 

departments and agencies and the American Red Cross as ESF coordinators or as primary or support agencies. 

The ESF structure provides mechanisms for interagency coordination during all phases of incident management. 

Some departments and agencies provide resources for response, support, and program implementation during the 

early stage of an event, while others are more prominent in the recovery phase. 

ESF NOTIFICATION AND ACTIVATION 

The National Response Coordination Center (NRCC), a component of the Homeland Security Operations Center 

(HSOC), develops and issues operation orders to activate individual ESFs based on the scope and magnitude of 

the threat or incident. 

ESF primary agencies are notified of the operations orders and time to report to the NRCC by the Department of 

Homeland Security/Emergency Preparedness and Response/Federal Emergency Management Agency 

(DHS/EPR/FEMA) Operations Center. At the regional level, ESFs are notified by the Regional Response 

Coordination Center (RRCC) per established protocols. Figure 1 on the next page shows the organization of the 

NRCC and RRCC and their relationship to the ESFs. 

ESF primary agencies notify and activate support agencies as required for the threat or incident, to include 

support to specialized teams. Each ESF is required to develop standard operating procedures (SOPs) and 

notification protocols and to maintain current rosters and contact information. 

ESF ROLES AND RESPONSIBILITIES 

Each ESF Annex identifies the ESF coordinator and the primary and support agencies pertinent to the ESF. 

Several ESFs incorporate multiple components, with primary agencies designated for each component to ensure 

seamless integration of and transition between preparedness, prevention, response, recovery, and mitigation 

activities. ESFs with multiple primary agencies designate an ESF coordinator for the purposes of pre-incident 

planning and coordination. Following is a discussion of the roles and responsibilities of the ESF coordinator and 

the primary and support agencies. 
ESF-ii ESF Annexes Introduction December 2004 

 National Response Plan 

Figure 1. Sample organizational structure of the NRCC and RRCC 

Director 

-------------------------- 

Deputy 

External 

Communications 

(ESF #15) 

Operations Section 

(ESF #5) 

Logistics Section 

(ESF #5) 

Planning Section 

(ESF #5) 

Finance and 

Administration Section 

(ESF #5)

Human Services 

Branch 

(ESFs #6 and #11)

Infrastructure 

Support Branch 

(ESFs #1, #2, #3, 

#12, and #14) 

Emergency Services 

Branch 

(ESFs #4, #8, #9, 

#10, #11, and #13) 

Time Unit 

(ESF #5)

Procurement Unit 

(ESF #5) 

Cost Unit 

(ESF #5) 

Situation Unit 

(ESF #5) 

Resource Unit 

(ESF #5)

Documentation Unit

(ESF #5) 

Coordination and 

Planning Branch 

(ESF #5)

Resource 

Management Branch

(ESF #7)

Supply Branch 

(ESF #5) 

Demobilization Unit

(ESF #5) 

Support Services 

Branch 

(ESF #5)

Information Services 

Branch 

(ESF #5) 

Community 

Recovery and 

Mitigation Branch 

(ESF #14)

Technical Specialists

(ESF #5) 

Compensation/ 

Claims Unit 

(ESF #5) 
December 2004 ESF Annexes Introduction ESF-iii 

 National Response Plan 

ESF ROLES AND RESPONSIBILITIES (Continued) 

ESF Coordinator 

The ESF coordinator has ongoing responsibilities throughout the prevention, preparedness, response, recovery, 

and mitigation phases of incident management. The role of the ESF coordinator is carried out through a “unified 

command” approach as agreed upon collectively by the designated primary agencies. Responsibilities of the ESF 

coordinator include: 

 Pre-incident planning and coordination; 

 Maintaining ongoing contact with ESF primary and support agencies; 

 Conducting periodic ESF meetings and conference calls; 

 Coordinating efforts with corresponding private-sector organizations; and 

 Coordinating ESF activities relating to catastrophic incident planning and critical infrastructure preparedness 

as appropriate. 

Primary Agencies 

A Federal agency designated as an ESF primary agency serves as a Federal executive agent under the Federal 

Coordinating Officer (or Federal Resource Coordinator for non-Stafford Act incidents) to accomplish the ESF 

mission. When an ESF is activated in response to an Incident of National Significance, the primary agency is 

responsible for: 

 Orchestrating Federal support within their functional area for an affected State; 

 Providing staff for the operations functions at fixed and field facilities; 

 Notifying and requesting assistance from support agencies; 

 Managing mission assignments and coordinating with support agencies, as well as appropriate State agencies; 

 Working with appropriate private-sector organizations to maximize use of all available resources; 

 Supporting and keeping other ESFs and organizational elements informed of ESF operational priorities and 

activities; 

 Executing contracts and procuring goods and services as needed; 

 Ensuring financial and property accountability for ESF activities; 

 Planning for short-term and long-term incident management and recovery operations; and 

 Maintaining trained personnel to support interagency emergency response and support teams. 
ESF-iv ESF Annexes Introduction December 2004 

 National Response Plan 

ESF ROLES AND RESPONSIBILITIES (Continued)

Support Agencies 

When an ESF is activated in response to an Incident of National Significance, support agencies are responsible 

for: 

 Conducting operations, when requested by DHS or the designated ESF primary agency, using their own 

authorities, subject-matter experts, capabilities, or resources; 

 Participating in planning for short-term and long-term incident management and recovery operations and the 

development of supporting operational plans, SOPs, checklists, or other job aids, in concert with existing 

first-responder standards; 

 Assisting in the conduct of situational assessments; 

 Furnishing available personnel, equipment, or other resource support as requested by DHS or the ESF 

primary agency; 

 Providing input to periodic readiness assessments; 

 Participating in training and exercises aimed at continuous improvement of prevention, response, and 

recovery capabilities; 

 Identifying new equipment or capabilities required to prevent or respond to new or emerging threats and 

hazards, or to improve the ability to address existing threats; 

 Nominating new technologies to DHS for review and evaluation that have the potential to improve 

performance within or across functional areas; and 

 Providing information or intelligence regarding their agency’s area of expertise. 

When requested, and upon approval of the Secretary of Defense, the Department of Defense (DOD) provides 

Defense Support of Civil Authorities (DSCA) during domestic incidents. Accordingly, DOD is considered a 

support agency to all ESFs. For additional information on DSCA, refer to the NRP Base Plan. 

ESF COORDINATING, PRIMARY, AND SUPPORT DESIGNATIONS 

Figure 2 on the following pages shows the designation of ESF coordinator and primary and support agencies. 
December 2004 ESF Annexes Introduction ESF-v 

National Response Plan 

Figure 2. Designation of ESF coordinator and primary and support agencies 

Emergency Support Functions 

Agency 

#1 - Transportation 

#2 - Communications 

#3 - Public Works and 

Engineering 

#4 - Firefighting 

#5 - Emergency 

Management 

#6 - Mass Care, Housing, 

and Human Services 

#7 - Resource Support 

#8 - Public Health and 

Medical Services 

#9 - Urban Search and 

Rescue 

#10 - Oil and Hazardous 

Materials Response 

#11 - Agriculture and 

Natural Resources 

#12 - Energy 

#13 - Public Safety and 

Security 

#14 - Long-term 

Community Recovery and 

Mitigation 

#15 - External Affairs 

USDA S S S S S C/P S P S USDA/FS S S S C/P S S S S S S S DOC S S S S S S S S S S S P/S S DOD S S S S S S S S S S S S S S S DOD/USACE C/P S S S S S S S S S S ED S S DOE S S S S S S S C/P S S S HHS S S S C/P S S S P/S S DHS S S S S S S S S S S S C/P/S S C DHS/EPR/FEMA S P S C/P C/P C/P S C/P P DHS/IAIP/NCS C/P S DHS/USCG S S S S S P S HUD S S P S DOI S S S S S S S P S S S S DOJ S S S S S S S C/P/S S DOL S S S S S S S S S S S 

C = ESF coordinator P = Primary agency S = Support agency Note: Unless a specific component of a department or agency is the ESF coordinator or a primary agency, it is not listed in this chart. Refer to the ESF 

Annexes for detailed support by each of these departments and agencies. 
ESF-vi ESF Annexes Introduction December 2004 

 National Response Plan 

Figure 2. Designation of ESF coordinator and primary and support agencies (Continued) 

Emergency Support Functions 

Agency 

#1 - Transportation 

#2 - Communications 

#3 - Public Works and 

Engineering 

#4 - Firefighting 

#5 - Emergency 

Management 

#6 - Mass Care, Housing, 

and Human Services 

#7 - Resource Support 

#8 - Public Health and 

Medical Services 

#9 - Urban Search and 

Rescue 

#10 - Oil and Hazardous 

Materials Response 

#11 - Agriculture and 

Natural Resources 

#12 - Energy 

#13 - Public Safety and 

Security 

#14 - Long-term 

Community Recovery and 

Mitigation 

#15 - External Affairs 

DOS S S S S S S S DOT C/P S S S S S S S S S S S TREAS S S P S VA S S S S S S S EPA S S S S C/P S S S S S FCC S S S GSA S S S S S C/P S S S S NASA S S S S S NRC S S S S S OPM S S S SBA S S P S SSA S S S TVA S S S S S USAID S S S USPS S S S S S S S ARC S S P S S S S 

C = ESF coordinator P = Primary agency S = Support agency Note: Unless a specific component of a department or agency is the ESF coordinator or a primary agency, it is not listed in this chart. Refer to the ESF 

Annexes for detailed support by each of these departments and agencies. 
December 2004 ESF #1 – Transportation Annex ESF #1-1 

 National Response Plan 

Emergency Support Function #1 – Transportation Annex

ESF Coordinator: 

Department of Transportation 

Primary Agency: 

Department of Transportation 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of State 

General Services Administration 

U.S. Postal Service 

Introduction

Purpose 

Emergency Support Function (ESF) #1 – 

Transportation supports the Department of 

Homeland Security (DHS), assisting Federal 

agencies; State, local, and tribal governmental 

entities; and voluntary organizations requiring 

transportation for an actual or potential Incident of 

National Significance. Through the Department of 

Transportation (DOT)’s coordination role, ESF #1 

integrates the DOT responsibility for Emergency 

Management of the Transportation System (EMTS) 

in the prevention/mitigation, preparedness, recovery, 

infrastructure restoration, safety, and security of the 

Nation and its transportation system. 

Scope 

ESF #1 is designed to provide transportation support 

to assist in domestic incident management. 

Activities within the scope of ESF #1 functions 

include: processing and coordinating requests for 

Federal and civil transportation support as directed 

under the National Response Plan (NRP); reporting 

damage to transportation infrastructure as a result of 

the incident; coordinating alternate transportation 

services; coordinating the restoration and recovery 

of the transportation infrastructure; performing 

activities conducted under the direct authority of 

DOT elements such as air, maritime, surface, rail, 

and pipelines; and coordinating and supporting 

prevention/preparedness/mitigation among 

transportation infrastructure stakeholders at the State 

and local levels. 

Policies 

 Federal transportation planning employs the 

most effective means of transporting resources, 

including commercial transportation capacity, 

and capacity owned or operated by Federal 

agencies. 

 Federal transportation planning recognizes State 

transportation policies and plans used to control 

the movement of relief personnel, equipment, 

and supplies, as well as State-established 

priorities for determining precedence of 

movement. 

 DOT Headquarters facilitates coordination 

between DOT regions in the event of 

multiregion ESF #1 operations. 

 Movements of Federal personnel, equipment, 

and supplies are managed through prioritizing 

shipments. To facilitate the prompt deployment 

of resources, priorities for various incidents are 

developed and maintained through an 

interagency process led by DHS prior to an 

incident to facilitate the prompt deployment of 

resources. Each ESF is responsible for 

compiling, submitting, and updating information 

for inclusion in the ESF #1 prioritized 

shipments. 
ESF #1-2 ESF #1 – Transportation Annex December 2004 

 National Response Plan 

 Federal agencies are encouraged to use ESF #1 

services. To ensure the orderly flow of 

resources, Federal agencies should advise ESF 

#1 of all transportation movements arranged 

independently from ESF #1 activity. 

 Military transportation will be provided in 

accordance with the Defense Support of Civil 

Authorities section of the NRP and the 

Memorandum of Understanding between the 

Department of Defense and DOT concerning 

commercial aviation programs. 

 The Homeland Security Operations Center 

(HSOC) supports DOT with relevant situational 

awareness and threat information reports. 

 The DHS Transportation Security Operations 

Center provides DOT with relevant situational 

awareness and threat information reports. 

Concept of Operations

General 

 EMTS provides a structure for managing and 

coordinating the complex operations of the 

transportation system. This includes 

deployment of resources into and out of the 

incident area and the coordination of 

transportation recovery, restoration, and 

safety/security. EMTS also provides a means of 

facilitating or restricting the movement of 

personnel and goods as necessary. 

 The DOT Regional Emergency Transportation 

Coordinator (RETCO) provides direction for the 

ESF #1 mission locally. The RETCO is the 

Secretary of Transportation's representative for 

emergency preparedness and response matters 

within the region. The RETCO receives policy 

guidance and operational direction from the 

Director, Office of Emergency Transportation 

(OET), Office of the Secretary. 

 Regional ESF #1 organization, notification, 

deployment, and support operations are 

conducted in accordance with the respective 

ESF #1 annexes to the regional NRP 

supplements. 

 Communications are established and maintained 

with ESF #5 – Emergency Management to 

report and receive assessments and status 

information, and with ESF #7 – Resource 

Support, the National Response Coordination 

Center (NRCC), Regional Response 

Coordination Center (RRCC), or Joint Field 

Office (JFO). 

 All approved requests for Federal assistance and 

mission assignments for transportation support 

are submitted by the Federal Coordinating 

Officer (FCO) or Federal Resource Coordinator 

(FRC) to ESF #1 for action. 

 The Secretary of Transportation designates a 

representative(s) to the Interagency Incident 

Management Group (IIMG) as required. 

 The OET Director activates the headquarters 

ESF #1, and deploys representatives to the 

NRCC. Upon notification by DOT or DHS, the 

RETCO activates the regional Emergency 

Transportation Center. 

Actions: Initial Actions 

DOT Headquarters: Immediately upon 

notification of a threat or an imminent or actual 

incident, consideration is given toward: 

 Expanding or surging the DOT Crisis 

Management Center; 

 Initiating relevant reporting to the Office of the 

Secretary of Transportation, the HSOC, IIMG, 

DOT operating administrations, and the regions; 

 Providing appropriate representation, when 

requested, to the IIMG, the NRCC, and the ESF 

#1 function; and 

 Implementing plans internal to DOT to ensure 

adequate staff and administrative support. 
December 2004 ESF #1 – Transportation Annex ESF #1-3 

 National Response Plan 

Region: At the JFO, the RETCO or a designated 

representative gives priority attention to establishing 

communications with the RRCC, the Principal 

Federal Official (if designated), the FCO/FRC (once 

known and designated), and ESF #1 support 

agencies. The DOT response team works with State 

counterparts regarding priority reconstruction needs 

and restoration of critical and strategically important 

transportation facilities and choke points. 

Actions: Continuing Actions 

 ESF #1 staff coordinates the acquisition of 

transportation services to fulfill mission 

assignments in support of all ESFs when 

required. 

 The RETCO coordinates with appropriate State, 

local, and tribal entities to facilitate the 

movement of people and goods to, from, and 

within the incident area, and participates in 

decisions regarding issues such as movement 

restrictions, critical facilities closures, and 

evacuations. 

 The RETCO is responsible for the 

administrative support of individuals involved in 

regional emergency transportation operations 

and for managing all financial transactions 

undertaken through mission assignments issued 

to ESF #1. 

 The RETCO coordinates with appropriate DOT 

regional operating administrations on the 

implementation of specific DOT statutory 

authorities providing immediate assistance, such 

as air traffic control, long-term recovery of the 

transportation infrastructure, and any authorized 

mitigation efforts to lessen the effects of future 

incidents. 

Responsibilities

Primary Agency: DOT 

 Coordinates the provision of Federal and civil 

transportation services in support of Federal 

agencies; State, local, tribal governmental 

entities; U.S. territories and possessions; and 

voluntary organizations. Coordinates the 

recovery, restoration, and safety/security of the 

transportation infrastructure. Manages the 

headquarters ESF #1 function and the regional 

ESF #1 function including the Emergency 

Transportation Center. Provides trained 

personnel to staff ESF #1 responsibilities at the 

RRCC, the JFO, or any other temporary facility 

in the impacted region. 

 Manages the financial aspects of the ESF #1 

response, including the funding of Stafford Act 

mission assignments and/or reimbursable 

agreements for non-Stafford Act Federal-toFederal support. 

 Works with State and local transportation 

departments and industry partners to assess the 

damage to the transportation infrastructure and 

analyze the impact of the incident on 

transportation operations, nationally and 

regionally, and report promptly as changes 

occur. 

 Coordinates and implements, as required, 

emergency-related response and recovery 

functions performed under DOT statutory 

authorities, including the prioritization and/or 

allocation of civil transportation capacity, 

emergency highway funding for federally owned 

highways and highways on the Federal Aid 

System, hazardous material containment 

response and movement, and damage 

assessment, to include safety- and securityrelated actions concerning movement 

restrictions, closures, quarantines, and 

evacuations. 
ESF #1-4 ESF #1 – Transportation Annex December 2004 

 National Response Plan 

 Provides technical assistance to Federal, State, 

local, and tribal governmental entities in 

evacuation or movement restriction planning, 

and determining the most viable transportation 

networks to, from, and within the incident area, 

as well as alternate means to move people and 

goods within the area affected by the incident. 

 Identifies resource requirements for 

transportation and coordinates their allocation. 

 Deploys members to fill the positions on the 

Emergency Response Team – Advance Element, 

National Emergency Response Team, and IIMG 

as required. 

Support Agencies

Agency Functions 

Department of 

Agriculture/Forest Service 

 Provides staffing to the NRCC ESF #1 and the RRCC ESF #1 when 

requested. 

 Provides transportation assets when Forest Service assets are the most 

effective method. 

Department of 

Commerce/National Oceanic 

and Atmospheric 

Administration 

 Provides weather and dispersion forecasts in support of response measures 

following transportation events that release materials into the atmosphere. 

 Provides dispersion forecasts for materials spilled into the ocean following 

a transportation event. 

Department of Defense  Provides staffing to the NRCC ESF #1 function and the RRCC ESF #1 

when requested and upon approval by the Secretary of Defense. 

 Provides military transportation capacity from the U.S. Transportation 

Command (USTRANSCOM) to move essential resources and assist in the 

contracting for civilian airlift when requested and upon approval by the 

Secretary of Defense. USTRANSCOM also provides staff to the 

headquarters ESF #1 function and the regional ESF #1 when requested and 

upon approval by the Secretary of Defense. 

 U.S. Army Corps of Engineers (USACE) 

 Provides support in the emergency operation and restoration of inland 

waterways, ports, and harbors under the supervision of USACE, 

including dredging operations. 

 Assists in restoring the transportation infrastructure. 

Department of Energy  When requested, provides fixed-wing and rotary aircraft to support 

radiological environment surveys and/or search capabilities during a 

radiological or nuclear incident. 
December 2004 ESF #1 – Transportation Annex ESF #1-5 

 National Response Plan 

Agency Functions 

Department of Homeland 

Security 

 Working through ESF #1, coordinates the acquisition, movement, and 

distribution of DHS-owned resources to the incident area. 

 Initiates transportation actions prior to ESF #1 activation, keeps DOT 

informed of early transportation actions, and assumes responsibility for 

closeout of actions after the headquarters and the regional ESF #1 

deactivate. 

 Assists in restoring the transportation infrastructure through ESF #3 – 

Public Works and Engineering and the Stafford Act program. 

 Supervises the development of prioritized shipping. Provides staffing to the 

NRCC ESF #1 function and the RRCC ESF #1 when requested. 

 Works with the Infrastructure Liaison concerning all issues dealing with the 

recovery and restoration of the associated critical infrastructure sector, 

supported by ESF #1, including the allocation and prioritization of 

resources. 

 Through ESF #1, identifies and arranges for the use of U.S. Coast Guard 

(DHS/USCG) assets and resources in support of the ESF #1 role. 

Department of the Interior  Provides staffing to the headquarters and regional ESF #1 functions when 

requested. 

 Provides supplementary departmental transportation assets (e.g., fixed-wing 

aircraft and all-terrain vehicles). 

 Provides transportation support resources (e.g., mechanics, pilots). 

 Provides aviation safety teams. 

Department of Justice  Provides departmental transportation support assets when not committed for 

internal operations. 

 Provides staffing to headquarters and regional ESF#1 functions when 

requested. 

Department of State  Coordinates requests for, and offers of, transportation assistance from 

foreign governments. 

 When requested, provides liaison to the DOT Crisis Management Center in 

the event of international implications. 

General Services 

Administration 

 Assists in identifying sources for and contracting transportation services. 

 Provides staffing to the headquarters and regional ESF #1 functions when 

requested. 

U.S. Postal Service (USPS)  Provides USPS vehicles not immediately required for mail delivery for 

transportation of resources, particularly for distribution in the incident area. 

 Collects and reports on transportation infrastructure disruption and damages 

as information becomes available. 

 Staffs the headquarters ESF #1 and regional ESF #1 teams when requested. 
ESF #1-6 ESF #1 – Transportation Annex December 2004 

 National Response Plan 

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December 2004 ESF #2 – Communications Annex ESF #2-1 

 National Response Plan 

Emergency Support Function #2 – Communications Annex 

ESF Coordinator: 

Department of Homeland Security/Information 

Analysis and Infrastructure Protection/National 

Communications System 

Primary Agency: 

Department of Homeland Security/Information 

Analysis and Infrastructure Protection/National 

Communications System 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Homeland Security 

Department of the Interior 

Federal Communications Commission 

General Services Administration 

Introduction 

Purpose 

Emergency Support Function (ESF) #2 – 

Communications ensures the provision of Federal 

communications support to Federal, State, local, 

tribal, and private-sector response efforts during an 

Incident of National Significance. This ESF 

supplements the provisions of the National Plan for 

Telecommunications Support in Non-Wartime 

Emergencies, hereafter referred to as the National 

Telecommunications Support Plan (NTSP). 

Scope 

 ESF #2 coordinates Federal actions to provide 

the required temporary National Security and 

Emergency Preparedness (NS/EP) 

telecommunications, and the restoration of the 

telecommunications infrastructure. ESF #2 

supports all Federal departments and agencies in 

the procurement and coordination of all NS/EP 

telecommunications services from the 

telecommunications and information technology 

(IT) industry during an incident response. 

 Communications is information transfer and 

involves the technology associated with the 

representation, transfer, interpretation, and 

processing of data among persons, places, and 

machines. It includes transmission, emission, or 

reception of signs, signals, writing, images, and 

sounds or intelligence of any nature by wire, 

radio, optical, or other electromagnetic systems. 

 Where appropriate, communications services 

may be provided through various Department of 

Homeland Security/Information Analysis and 

Infrastructure Protection/National 

Communications System (DHS/IAIP/NCS) 

National-Level Programs, including the Shared 

Resources (SHARES) High-Frequency Radio 

Program, Telecommunications Service Priority 

(TSP) Program, Government Emergency 

Telecommunications Service (GETS), and 

Wireless Priority Service (WPS). 

Policies 

 Section 706 of the Communications Act of 

1934, as amended (47 U.S.C. § 606), establishes 

Presidential powers during wartime emergencies 

for the national communications infrastructure. 

 Executive Order 12472 assigns authority to the 

Director, Office of Science and Technology 

Policy (OSTP), to direct the exercise of the war 

power functions of the President under Section 

706(a), (c)–(e), of the Communications Act of 

1934, as amended (47 U.S.C. § 606), should the 

President issue implementing instructions in 

accordance with the National Emergencies Act 

(50 U.S.C. 1601). Executive Order 12472 also 

assigns specific nonwartime emergency 

telecommunications authorities to the Director, 

OSTP. 
ESF #2-2 ESF #2 – Communications Annex December 2004 

 National Response Plan 

 The NTSP serves as the basis for planning for 

the utilization of national telecommunications 

assets and resources in support of nonwartime 

emergencies, as defined by Executive Order 

12472. This plan is the formal U.S. Government 

plan applicable to all Federal departments, 

agencies, and other organizations in accordance 

with Executive Order 12472 and other national 

policy direction. 

 The mission of the DHS/IAIP/NCS is to assist 

the President, the National Security Council, the 

Director, OSTP, and the Director of the Office 

of Management and Budget in: 

 The exercise of the telecommunications 

functions and responsibilities set forth in 

Section 2 of Executive Order 12472; and 

 The coordination of the planning for and 

provision of national security and 

emergency preparedness communications 

for the Federal Government under all 

circumstances, including crisis or 

emergency, attack, recovery, and 

reconstitution. 

 Federal, State, local, and tribal officials, 

nonprofit organizations, and private-sector 

entities respond to the vast majority of incidents 

acting under their authorities or through agency 

or interagency contingency plans. 

 In a memorandum to the Manager, National 

Communications System, dated June 11, 1993, 

Subject: National Security and Emergency 

Preparedness Telecommunications, OSTP states 

that the Office of the Manager, DHS/IAIP/NCS, 

executes Federal Response Plan primary agency 

functional responsibilities on the behalf of 

OSTP. This delegation of authority is retained 

within the National Response Plan (NRP). 

Furthermore, OSTP delegates the ESF #2 

coordinator functional responsibilities to the 

Office of the Manager, DHS/IAIP/NCS. 

 The Cyber Incident Annex to the NRP supports 

ESF #2 and outlines the provision of Federal 

cyber incident response coordination among the 

Federal departments and agencies and, upon 

request, State, local, tribal, and private-sector 

entities in response to any Incident of National 

Significance with cyber-related issues (e.g., 

significant cyber threat and disruptions, 

crippling cyber attacks against the Internet or 

critical infrastructure information systems, 

technological emergencies, and Presidentially 

declared major disasters and emergencies). 

Concept of Operations

General 

 DHS determines whether to activate ESF #2 

based upon information from initial staff reports 

and State and local authorities. For incidents 

where ESF #2 is not activated, DHS may elect to 

use the existing resources of DHS/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency (EPR/FEMA) to provide 

communications support at the Joint Field Office 

(JFO). 

 When activated, ESF #2 coordinates and 

supports NS/EP telecommunications 

requirements. The following guidelines are 

observed to allow EFS #2 to meet its domestic 

incident management responsibilities: 

 All telecommunications incidents and 

requirements are handled in accordance with 

the most current version of the OSTP NTSP. 

 Telecommunications management occurs on 

a bottom-up basis: decisions are made at the 

lowest level, with only those issues 

requiring adjudication or additional 

resources being referred to the next higher 

management level. 

 The General Services Administration/ 

Federal Technology Service (GSA/FTS) 

appoints a DHS/IAIP/NCS Regional 

Manager (NCSRM) in each of the 10 

Federal regions and the National Capital 

Region. The DHS/IAIP/NCSRM is a 

telecommunications specialist who can 

assume the duties of the Federal Emergency 
December 2004 ESF #2 – Communications Annex ESF #2-3 

 National Response Plan 

Communications Coordinator (FECC) if 

ESF #2 is activated in an incident. The 

FECC represents ESF #2 at the Regional 

Response Coordination Center (RRCC) and 

JFO, as required. 

 The FECC is the single Federal point of 

contact in the incident area to coordinate the 

Federal telecommunications requirements 

and industry’s response. The FECC 

coordinates with the State 

telecommunications officer to ensure 

Federal communications requirements do 

not conflict with State needs. The FECC 

prioritizes conflicting requests and 

recommends solutions to the JFO 

Coordination Group. 

 DHS/EPR/FEMA controls its 

communications assets (i.e., Mobile Air 

Transportable Telecommunications System 

(MATTS)/Mobile Emergency Response 

Support (MERS)) in the incident area and 

coordinates their use with the FECC. Other 

agencies that provide telecommunications 

assets in support of the response also control 

their organic assets, but coordinate use with 

the FECC. 

 Uniform emergency telecommunications 

management and operational plans, 

procedures, and handbooks are used 

throughout the entire ESF #2 operating 

environment. 

Organization 

 Headquarters: The National Coordinating 

Center for Telecommunications (NCC), which is 

the operational component of the 

DHS/IAIP/NCS, is the Federal office for 

national telecommunications domestic incident 

management. The NCC staff assesses 

anticipated/actual damage, identifies NS/EP 

service requirements, prioritizes requirements, 

monitors the developing situation/response, 

renders status reports, and coordinates service 

provisioning and restoration as required. The 

NCC staff receives information from NCC 

industry representatives, who coordinate with 

their parent company emergency operations 

centers (EOCs). The NCC Manager appoints 

ESF #2 representatives to the National Response 

Coordination Center (NRCC), providing for 24-

hour coverage if required. The NCC Manager 

may dispatch an Individual Mobilization 

Augmentee (IMA), assigned to the 

DHS/IAIP/NCS, to assist the FECC in 

coordinating national-level telecommunications 

support. 

Conflicts regarding NS/EP telecommunications 

priorities and resources that cannot be resolved 

at the JFO by the Federal Coordinating Officer 

(FCO) and FECC are passed to the NCC for 

coordination with the Joint Telecommunications 

Resources Board (JTRB). 

 Regional: When ESF #2 is activated, the 

RRCC or FCO requests the appointment of an 

FECC. GSA/FTS ensures a qualified person 

capable of performing the required functions is 

identified. The FECC and his/her staff deploy to 

the scene of an incident. The FECC or a 

member of his/her staff normally deploys to the 

affected State EOC as part of the Advance 

Element of the Emergency Response Team 

(ERT-A) and coordinates with ESF #7 – 

Resource Support in determining a JFO site. 

DHS/EPR/FEMA provides a representative to 

assist in coordinating telecommunications 

support in the setup of the JFO. Federal incident 

response operations are coordinated from the 

RRCC until the JFO is operational, which is 

normally a period of 48 to 96 hours. At the JFO, 

the FECC is assisted by the Emergency 

Communications Staff (ECS) as shown in Figure 

1 on the following page. 
ESF #2-4 ESF #2 – Communications Annex December 2004 

 National Response Plan 

FIGURE 1. Emergency Communications Staff 

Actions: Pre-Incident 

 Work closely with the DHS/IAIP/NCS; 

industry; State, local, and tribal emergency 

managers; and other private-sector coordinators 

to ensure the latest technology is available to all 

Federal agencies participating in the response 

effort. 

 Coordinate intergovernmental, nongovernmental 

organization, and private-sector preparedness 

efforts as they pertain to critical infrastructures 

supporting NS/EP telecommunications. 

 Develop and issue information collection 

guidelines and procedures to enhance 

assessment, allocation, and coordination of 

government and industry telecommunications 

assets in the event of a domestic incident. 

Actions: Incident Period 

If ESF #2 is activated, the NRCC notifies the NCC 

Manager. The NCC Manager, in coordination with 

other Federal agencies, determines the appropriate 

level of response for national-level ESF #2 elements. 

The NCC: 

 Alerts all appropriate NCS and NCC personnel 

and notifies the Director, OSTP, when ESF #2 is 

activated. 

 Advises DHS/EPR/FEMA when commercial 

communications outages are expected in the 

incident area to enable activation of the National 

Emergency Coordination Net, a high-frequency 

radio net that provides backup command and 

control communications for the NRP. 

 Identifies operational telecommunications assets 

available for use within the affected area; 

 Identifies telecommunications assets not within 

the affected area that may be brought physically 

or employed electronically to support the 

affected area; 

 Identifies actual and planned actions of 

commercial telecommunications companies 

toward recovery and reconstruction of their 

facilities; 

 Obtains information from ESF #1 – 

Transportation relative to road, rail, and other 

transportation conditions in the area and whether 

they can be used to get mobile 

telecommunications systems into the area; 

 Provides damage and outage information to the 

Homeland Security Operations Center (HSOC), 

the NRCC ESF #2 representative, and the FECC 

regularly, and to other Federal agencies upon 

request; and 

 Coordinates with the FECC to assess the need 

for telecommunications industry support and 

ensures such support is available as needed. 

The FECC: 

 Assesses the availability of commercial 

telecommunications for location of the proposed 

JFO facility; 

 Determines from DHS/EPR/FEMA and/or ESF 

#7 – Resource Support the location of possible 

sources of secondary response facilities in the 

incident area (e.g., staging areas or satellite 

JFOs); 

FECC 

DHS/EPR/FEMA 

(JFO) 

ESF #2 

Support Agencies

(JFO or remote) 

Telecommunications 

Industry 

(JFO or remote) 

DHS/IAIP/NCS 

Staff 

(JFO) 
December 2004 ESF #2 – Communications Annex ESF #2-5 

 National Response Plan 

 Advises the FCO or Federal Resource 

Coordinator (FRC) on ESF #2 regional and 

incident area NS/EP telecommunications 

requirements; 

 Forwards unresolved telecommunications 

requests to the NCC; 

 Coordinates Federal telecommunications support 

to responding Federal agencies, State and local 

governments, and quasi-governmental and 

voluntary relief organizations as directed by the 

FCO or FRC; 

 Forwards cyber-related incidents and analysis 

requirements to the NCC for coordination, 

action, and resolution with the DHS/IAIP/NCS 

and DHS/IAIP/National Cyber Security Division 

(NCSD); 

 Coordinates the status of the ESF #2 operations 

with the Infrastructure Liaison located at the 

JFO; and 

 When activated by the RRCC or FCO, 

coordinates with the NCC Manager to request 

IMAs assigned to the NCS, to fill duty positions 

within the ECS, if required. 

Other Departments and Agencies: 

 Until the FECC and ESF #2 are deployed and 

operational, DHS/EPR/FEMA communications 

staff accumulates damage information. 

Additionally, DHS/EPR/FEMA communications 

staff may make initial estimates of the level of 

Federal telecommunications support that may be 

required. DHS/EPR/FEMA provides this 

information to the FECC upon arrival in the 

affected area. 

 Representatives of the DHS/IAIP/NCS member 

organizations that have been asked to provide 

assets confirm to the NCC that those assets have 

been prepared for movement to the incident 

area, as needed, as well as when they have been 

deployed and have become operational. 

Actions: Post-Incident 

Post-incident actions include: 

 Develops, coordinates, and executes service and 

site restoration plans; 

 Conducts measurements necessary to identify 

damaged critical infrastructure assets; repair, 

reconstitute, and secure communications; and 

coordinate actions to protect these assets from 

further damage; 

 Evaluates the incident to identify lessons 

learned; 

 Completes post-incident reporting; and 

 Develops initiatives to mitigate the effects of 

future incidents. 

The FECC, assisted by the ECS: 

 Prepares and processes any required reports; 

 Recommends release/termination-of-use of 

Federal telecommunications resources when 

they are no longer required; and 

 Maintains a record for audit of all 

telecommunications support provided. 

Actions: Deactivation 

 The FECC develops a stand-down plan, 

approved by the JFO Coordination Group, 

describing how to conclude GSA and NCS 

involvement and how the transition to 

DHS/EPR/FEMA should be handled. During 

stand-down, the FECC executes the plan, 

recommending the release of Federal assets as 

commercial telecommunications resources 

become available. In many cases, assets are 

deactivated incrementally as affected systems 

and equipment are gradually restored to normal 

operations. 

 The NCC leadership gathers communication 

information from industry and other service 

providers in the affected area to compile and 

submit an after-action report in accordance with 

guidelines and procedures defined in the NRP. 
ESF #2-6 ESF #2 – Communications Annex December 2004 

 National Response Plan 

Responsibilities 

Primary Agency 

DHS/IAIP/NCS: The Director, OSTP, delegates 

the ESF #2 coordinator functional responsibilities to 

the Office of the Manager, DHS/IAIP/NCS. The 

NCS serves as a Federal executive agent under the 

JFO Coordination Group to accomplish the ESF #2 

mission. When ESF #2 is activated, the 

DHS/IAIP/NCS Manager ensures appropriate 

NS/EP telecommunications support to operations 

conducted under the NRP. The Manager, 

DHS/IAIP/NCS, provides information and 

assistance to the JTRB as required. 

Prevention and Preparedness 

 Manages and directs prevention and 

preparedness efforts in areas of agency 

expertise. 

 Monitors the status of situations that have the 

potential for developing into an Incident of 

National Significance to determine that adequate 

NS/EP telecommunications services are being 

provided to support response operations. 

 Assesses the impact on existing Federal 

Government NS/EP telecommunications 

services. 

Response and Recovery 

 Manages and directs response and recovery 

efforts in areas of agency expertise. 

 Supports the JTRB as required, in accordance 

with standard operating procedures issued by the 

Director, OSTP. 

 Ensures that all information regarding potential 

and/or actual Incidents of National Significance 

with significant telecommunications 

implications are brought to the attention of the 

Director, OSTP, in a timely manner. 

 Coordinates response activities with 

DHS/EPR/FEMA, GSA, and other JTRB 

member organizations. 

 Coordinates with ESF #12 – Energy, regarding 

communications industry requests for 

emergency fuel resupply and safe access for 

telecommunications work crews into incident 

areas. 

 Monitors recovery efforts and, as required, 

coordinates the provision of telecommunications 

services needed by the Federal Government. 

 Provides reports to the JTRB as directed. 

 Coordinates the restoration and/or rerouting of 

existing Federal Government NS/EP 

telecommunications services and the 

provisioning of new NS/EP telecommunications 

services. 

 Coordinates with telecommunications service 

providers to facilitate the prioritizing of 

requirements as necessary when providers are 

unable to satisfy all telecommunications services 

requirements, when there are conflicts between 

multiple FECCs, or when the allocation of 

available resources cannot be fully accomplished 

at the field level. 

When the NCC cannot resolve the allocation of 

telecommunications resources to the satisfaction 

of the parties involved, the issues are presented 

to the JTRB in a timely manner for resolution. 

 Coordinates with DHS/IAIP/NCS member 

organizations to obtain telecommunications 

specialists to augment the ECS. 

 Coordinates with Federal agencies those special 

telecommunications industry requests for 

assistance that support NS/EP activities, 

including restoration of commercial power, 

emergency fuel supply, and validated safe access 

for telecommunications work crews into incident 

areas. 

 Coordinates with appropriate government and 

industry representatives in support of FECC 

requests to meet user requirements for 

communication assets. 
December 2004 ESF #2 – Communications Annex ESF #2-7 

 National Response Plan 

Support Agencies 

Agency Functions 

Department of 

Agriculture/Forest Service 

and Department of the 

Interior (DOI) 

The Forest Service and DOI provide telecommunications support to ESF #2 

through assets located at the National Interagency Fire Center. Support services 

include: 

 Provides radio communications systems for support of firefighters, law 

enforcement officers, and incident response operations; 

 Provides engineers, technical personnel, and liaison staff to assist the FECC 

and to maintain the National Interagency Radio Support systems; 

 Provides National Interagency Radio Support systems for use by damage 

reconnaissance teams to report information from the incident area to the 

JFO, and such other applications as determined by the radio 

communications coordinator; 

 Provides a communications officer to accompany radio systems for the 

purpose of user training and operator maintenance indoctrination; and 

 Provides additional radio systems required for the establishment of a JFO 

radio net. 

National Telecommunications and Information Administration (NTIA): 

 Provides on-call support to the FECC to resolve Government frequency 

interference problems and frequency assignment requests. 

 Maintains and publishes the Emergency Readiness Plan for Use of the 

Radio Spectrum. 

Department of Commerce 

National Oceanic and Atmospheric Administration (NOAA)/National 

Weather Service: Supports the Emergency Alert System (EAS) and provides, 

in coordination with DHS/EPR/FEMA, public dissemination of critical preevent and post-event information over the all-hazards NOAA Weather Radio 

system, the NOAA Weather Wire Service, and the Emergency Managers’ 

Weather Information Network.
ESF #2-8 ESF #2 – Communications Annex December 2004 

 National Response Plan 

Agency Functions 

Department of Homeland 

Security 

DHS/EPR/FEMA: 

 Provides a representative(s) to serve on the FECC’s staff to coordinate the 

deployment of DHS telecommunications assets, including MATTS/MERS, 

to the incident area; coordinates DHS requests for communication service 

and connectivity; and provides expertise on MATTS/MERS and DHS 

networks. 

 Coordinates the establishment of telecommunications support in the JFO 

with the FECC. 

 Provides telecommunications and IT equipment and services at the JFO as 

required. 

 Provides communications support to State and local officials to assist in 

disseminating warnings to the populace concerning risks and hazards. 

 Plans for and provides, operates, and maintains telecommunications 

services and facilities, as part of its National Emergency Management 

System, to support its assigned emergency management responsibilities.

 Develops, in cooperation with the Federal Communications Commission 

(FCC), plans and capabilities for, and provides policy and management 

oversight of, the EAS. DHS/EPR/FEMA is the executive agent for the 

development, operations, and maintenance of the national-level EAS. In 

addition to distributing Presidential broadcasts and messages, the nationallevel EAS must provide for the distribution of National Emergency 

Information Programming. The Under Secretary DHS/EPR is authorized to 

release National Emergency Information Programming messaging.

 Serves as the on-scene Frequency Manager and coordinates the assignment 

and use of all Federal radio frequencies at the incident site in accordance 

with NTIA’s Spectrum Rules and Regulations.

 Provides representation on the ECS and coordinates DHS resources and 

TSP requests with the FECC. 

 Provides video teleconference support to the ECS.

 Maintains an audit trail of all equipment and services provided.
December 2004 ESF #2 – Communications Annex ESF #2-9 

 National Response Plan 

Agency Functions 

Department of Homeland 

Security (Continued)

DHS/IAIP/NCSD: Supports the NCS and, as necessary, the JTRB when a 

cyber incident leads to a telecommunications Incident of National Significance. 

 Provides the national focal point for the public and private sector regarding 

cyber security.

 Identifies, analyzes, and reduces threats and vulnerabilities to cyber 

systems.

 Disseminates threat warning information in conjunction with the HSOC.

 Coordinates cyber incident preparedness, response, and recovery activities.

 Facilitates interaction and collaboration between and among Federal 

departments and agencies; State, local, and tribal governments; the private 

sector; and international organizations related to cyber security and cyber 

Incidents of National Significance.

 Supports the Department of Justice and other Federal law enforcement 

agencies in their mission to investigate and prosecute threats to and attacks 

against cyberspace.

 Fulfills additional responsibilities as directed in the Cyber Incident Annex 

for monitoring, detecting, preventing, and recovering from threats to disrupt 

or impair the availability or reliability of critical information.

 Supports the DHS/IAIP/NCS and, as necessary, the JTRB when a cyber 

incident leads to a telecommunications Incident of National Significance.
ESF #2-10 ESF #2 – Communications Annex December 2004 

 National Response Plan 

Agency Functions 

Federal Communications 

Commission 

 Reviews policies, plans, and procedures that are developed by entities 

licensed or regulated by the FCC to provide NS/EP telecommunications 

services to ensure such policies, plans, and procedures are consistent with 

the public interest, convenience, and necessity. 

 Performs such functions as required by law with respect to all entities 

licensed or regulated by the FCC, including (but not limited to) the 

extension, discontinuance, or reduction of common-carrier facilities or 

services; the control of common-carrier rates, charges, practices, and 

classifications; the construction authorization, activation, deactivation, or 

closing of radio stations, services, and facilities; the assignment of radio 

frequencies to FCC licensees; the investigation of violations of pertinent 

law and regulation; and the initiation of appropriate enforcement actions. 

 Provides on-call support to the FECC to identify sources of radio frequency 

interference and to resolve civil frequency interference issuesand frequency 

assignment requests. 

General Services 

Administration 

 Each GSA Regional Administrator ensures that a DHS/IAIP/NCSRM and 

an FECC are identified for each of the 10 standard Federal regions and the 

National Capital Region. The GSA/FTS Emergency Coordinator authorizes 

the FECC or NCSRM to accept guidance from the DHS/EPR/FEMA 

Regional Director or his/her designated representative during the predeployment phase of a telecommunications emergency. The GSA/FTS 

Emergency Coordinator provides national-level guidance. The GSA/FTS 

Emergency Coordinator authorizes the DHS/IAIP/NCSRM or designated 

alternate(s) to perform the functions of the FECC upon request by the FCO 

or FRC. 

 The DHS/IAIP/NCSRM prepares and maintains a Regional Support Plan 

for each designated standard Federal region. The Regional Support Plan is 

developed and coordinated with counterpart DHS/IAIP/NCSRMs in 

contiguous regions. The DHS/IAIP/NCSRM supervises the training of 

potential FECCs within the assigned region. 

 When requested, the FECC deploys to the scene of an Incident of National 

Significance to survey the status of telecommunications and to determine 

residual capabilities and the extent of damage within the affected area. The 

FECC coordinates with other Federal agencies to determine emergency 

telecommunications service requirements. 
December 2004 ESF #2 – Communications Annex ESF #2-11 

 National Response Plan 

Agency Functions 

General Services 

Administration (Continued)

When activated, the FECC: 

 Accumulates damage information obtained from the DHS/EPR/FEMA 

Regional Headquarters, the NCC, other Federal agencies, State and local 

government, and industry sources, and conducts telecommunications status 

evaluations; 

 Advises the FCO or FRC on telecommunications matters; 

 Acts as the single government point of contact in the incident area for 

industry for all NS/EP telecommunications requests and actions; 

 Assesses the need for mobile or transportable equipment; 

 Releases Federal telecommunications resources as soon as commercial 

carrier services can support the response mission; 

 Coordinates with Federal, State, and local organizations and the major 

voluntary relief organizations, as well as other ESFs involved with incident 

recovery, to ascertain their telecommunications implementations, 

capabilities, and requirements; 

 Ensures required services are provided in support of the Federal effort; 

 Coordinates the distribution of communication assets by appropriate 

government and industry representatives in support of user requirements; 

 Assembles and leads the ECS; 

 Maintains an audit trail of all telecommunications support provided; 

 Prioritizes Federal and regional telecommunications requirements; 

 Coordinates frequency management for the incident area including 

frequencies used by deployed military assets; 

 Coordinates with the Department of Defense on the use of military and 

deployed National Guard organizational telecommunications assets in 

support of an Incident of National Significance; 

 Coordinates requests for DHS/IAIP/NCS National-Level Programs (TSP, 

GETS, WPS, SHARES); 

 Provides ESF #2 representatives to support damage assessment personnel; 

 Provides an ESF #2 representative to support the ERT-A; 

 Coordinates telecommunications support to the incident mobilization center 

as necessary; and 

 Prepares and processes any required reports. 
ESF #2-12 ESF #2 – Communications Annex December 2004 

 National Response Plan 

Agency Functions 

Other Federal Agencies  The JTRB advises the Director, OSTP, on the exercise of those nonwartime 

emergency telecommunications service functions assigned by Executive 

Order 12472. The JTRB’s role is to monitor potential or actual 

telecommunications Incidents of National Significance that pose significant 

threats to telecommunications facilities or services, and situations that 

create the need for extraordinary telecommunications support. When 

convened by the Director, OSTP, the JTRB is supported by the 

DHS/IAIP/NCS organizational structure using the resources of the National 

Coordinating Center for Telecommunications, the Defense Information 

Systems Agency’s Global Network Operations and Security Center, the 

DHS/EPR/FEMA Operations Center, and other Federal agency operation 

centers as necessary. Federal departments and agencies assist the JTRB as 

required. 

 NCS member organizations assist the DHS/IAIP/NCS Manager in the 

deployment and use of agency-owned/leased or otherwise unique 

telecommunications assets to support the response effort. 

 All other Federal agencies: 

 Use organizational resources to meet their mission requirements before 

requesting FECC emergency telecommunications support; 

 Notify the FECC promptly of all telecommunications requirements and 

available assets, to eliminate the possibility of service duplications and 

ensure prompt provision of needed services and facilities to the proper 

user; 

 Coordinate with the FECC when a representative of an organization at 

an incident location has requested telecommunications support (other 

than that provided or already coordinated through the FECC); 

 Coordinate any requests for commercial or government 

telecommunications resources through the FECC; 

 Coordinate with the NCC as necessary for any required national-level 

telecommunications support; 

 Notify the on-scene Frequency Manager upon arrival of any radio 

frequency devices that have been brought to the incident area; 

 Notify the FECC promptly when their telecommunications resources 

are to be withdrawn or discontinued; and 

 Notify the FECC when telecommunications resources provided by the 

FECC are no longer required. 
December 2004 ESF #3 – Public Works and Engineering Annex ESF #3-1 

 National Response Plan 

Emergency Support Function #3 – Public Works and Engineering Annex

ESF Coordinator: 

Department of Defense/U.S. Army Corps of 

Engineers 

Primary Agencies: 

Department of Defense/U.S. Army Corps of 

Engineers 

Department of Homeland Security/Emergency 

Preparedness and Response/ Federal Emergency 

Management Agency 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of the Interior 

Department of Labor 

Department of Transportation 

Department of Veterans Affairs 

Environmental Protection Agency 

General Services Administration 

Nuclear Regulatory Commission 

Tennessee Valley Authority 

American Red Cross 

Introduction

Purpose 

Emergency Support Function (ESF) #3 – Public 

Works and Engineering assists the Department of 

Homeland Security (DHS) by coordinating and 

organizing the capabilities and resources of the 

Federal Government to facilitate the delivery of 

services, technical assistance, engineering expertise, 

construction management, and other support to 

prevent, prepare for, respond to, and/or recover from 

an Incident of National Significance. 

Scope 

ESF #3 is structured to provide public works and 

engineering-related support for the changing 

requirements of domestic incident management to 

include preparedness, prevention, response, 

recovery, and mitigation actions. Activities within 

the scope of this function include conducting preand post-incident assessments of public works and 

infrastructure; executing emergency contract support 

for life-saving and life-sustaining services; providing 

technical assistance to include engineering expertise, 

construction management, and contracting and real 

estate services; providing emergency repair of 

damaged infrastructure and critical facilities; and 

implementing and managing the DHS/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency (DHS/EPR/FEMA) Public 

Assistance Program and other recovery programs. 

Policies 

State, Local, and Tribal 

 State, local, and tribal governments are 

responsible for their own public works and 

infrastructures and have the primary 

responsibility for incident prevention, 

preparedness, response, and recovery. 

 State, local, and tribal governments are fully and 

consistently integrated into ESF #3 activities. 

 When activated to respond to an incident, the 

primary agencies for ESF #3 develop work 

priorities in cooperation with State, local, and/or 

tribal governments and in coordination with the 

Federal Coordinating Officer and/or the Federal 

Resource Coordinator. 

 Local authorities are responsible for obtaining 

required waivers and clearances related to ESF 

#3 support. 
ESF #3-2 ESF #3 – Public Works and Engineering Annex December 2004 

 National Response Plan 

Private Sector 

 The private sector is responsible for a large 

proportion of the Nation’s infrastructure and 

participates in ESF #3 incident action planning 

and other planning activities as appropriate. 

 The private sector is a partner and/or lead for the 

rapid restoration of infrastructure-related 

services. 

 Appropriate private-sector entities are integrated 

into the planning and decisionmaking processes 

as necessary. 

Federal Government 

 ESF #3 provides Federal public works and 

engineering support when an incident or 

potential incident overwhelms State, local, and 

tribal government capabilities and/or when other 

departments or agencies within the Federal 

Government require assistance. 

 ESF #3 facilitates and coordinates support from 

Federal departments and agencies providing 

public works and infrastructure support 

assistance under their own authorities. 

 Federal agencies are responsible for complying 

with appropriate Federal environmental and 

historic preservation statutes. 

Concept of Operations

General 

 The Department of Defense/U.S. Army Corps of 

Engineers (DOD/USACE) is the primary agency 

for providing ESF #3 technical assistance, 

engineering, and construction management 

resources and support during response activities. 

 DHS/EPR/FEMA is the primary agency for 

providing ESF #3 recovery resources and 

support, to include assistance under the 

DHS/EPR/FEMA Stafford Act Public 

Assistance Program. The Public Assistance 

Program provides supplemental Federal disaster 

grant assistance for debris removal and disposal; 

emergency protective measures; and the repair, 

replacement, or restoration of disaster-damaged 

public facilities and the facilities of certain 

qualified private nonprofit organizations. 

 Close coordination is maintained with Federal, 

State, local, and tribal officials to determine 

potential needs for support and to track the 

status of response and recovery activities. 

 Priorities are determined jointly among Federal, 

State, local, and/or tribal officials. Federal ESF 

#3 support is integrated into the overall Federal, 

State, local, tribal, nongovernmental 

organization (NGO), and private-sector efforts. 

 Support agency representatives collocate with 

ESF #3 field personnel to coordinate support 

with their agencies as necessary. 

Organization 

Headquarters ESF #3 Support 

 Interagency Incident Management Group 

(IIMG): For all phases of incident management, 

ESF #3 can provide on-call subject-matter 

experts to support IIMG activities. For an 

incident where ESF #3 has responsibility for 

directing or managing a major aspect of the 

response, the ESF #3 primary agency may be a 

part of the IIMG Core Group. 

 Homeland Security Operations Center (HSOC): 

ESF#3 identifies on-call representatives that can 

deploy to the HSOC, if required. 
December 2004 ESF #3 – Public Works and Engineering Annex ESF #3-3 

 National Response Plan 

 National Response Coordination Center 

(NRCC): ESF #3 identifies on-call 

representatives that can deploy to the NRCC. 

Following a Presidential disaster declaration, 

DHS/EPR/FEMA Headquarters may deploy 

Public Assistance staff to initiate activities to 

support recovery operations. 

 USACE Operations Center (UOC): The UOC 

coordinates the activation and deployment of 

national DOD/USACE teams and resources. 

Regional-Level ESF #3 Support 

 Regional Interagency Steering Committee 

(RISC): ESF #3 participates in RISC 

preparedness and coordination activities. 

 Regional Response Coordination Center 

(RRCC): When activated by DHS/EPR/FEMA, 

ESF #3 representatives deploy to the RRCC. 

The ESF #3 Team Leader at the RRCC 

coordinates assignments, actions, and other 

support until the Joint Field Office (JFO) is 

established and mission execution 

responsibilities are transferred to the JFO ESF 

#3 Team Leader. ESF #3 provides incidentrelated reports and information to ESF #5 – 

Emergency Management. When activated by 

DHS/EPR/FEMA, ESF #3 representatives also 

deploy as members of the Emergency Response 

Team–Advance Element or the National 

Emergency Response Team. When activated, 

DHS/EPR/FEMA Public Assistance personnel 

deploy to initiate regional support. 

Field-Level ESF #3 Support 

 Joint Field Office: When activated by 

DHS/EPR/FEMA, ESF #3 personnel deploy to 

the JFO. ESF #3 is responsible for preparing 

statements of work, providing estimates of cost 

and completion dates for mission assignments, 

tracking mission execution, determining 

resource requirements, setting priorities, 

disseminating information, and providing public 

information and external communications 

support (in coordination with ESF #15 – 

External Affairs). When activated, 

DHS/EPR/FEMA Public Assistance personnel 

deploy to initiate State- or tribal-level support. 

 JFO Coordination Group: For a flooding event 

or other incident where DOD/USACE has 

jurisdictional authority and/or responsibilities 

for directing or managing major aspects of the 

response, DOD/USACE may be requested to 

provide a Senior Federal Official to participate 

in the JFO Coordination Group. 

 DOD/USACE Division Command: A 

DOD/USACE division is designated the 

responsibility for the execution of the ESF #3 

missions issued to DOD/USACE. The USACE 

Division Commander may designate a Division 

Forward Commander to carry out the Division 

Commander’s responsibilities for managing the 

resources to effectively and efficiently execute 

response and recovery missions. For missions 

requiring significant staffing, DOD/USACE may 

receive a mission assignment from 

DHS/EPR/FEMA to establish field offices to 

support the mission execution. 

 Incident Command Post (ICP): If requested by 

the Unified Command, and required by the 

situation, ESF #3 provides staffing to coordinate 

and integrate public works and engineering 

support at the ICP. 

Actions 

Headquarters: Upon activation of ESF #3: 

 The UOC: 

 Notifies the Assistant Secretary of Defense 

for Homeland Defense, the Joint Directorate 

of Military Support, and the Army 

Operations Center of the activation; and 

 Provides situation reports to the Army 

Operations Center and the appropriate 

combatant command. 

 The designated staff of the DOD/USACE Office 

of Homeland Security coordinates with the 

Office of the Assistant Secretary of Defense for 

Homeland Defense and DHS to provide the 

appropriate representation to the IIMG and/or 

the HSOC. The UOC expands or surges as 

required to meet the needs of the incident. 
ESF #3-4 ESF #3 – Public Works and Engineering Annex December 2004 

 National Response Plan 

 The DOD/USACE ESF #3 Team Leader is 

designated and deployed to the NRCC. 

 The UOC coordinates the activation and 

deployment of national DOD/USACE teams and 

resources, as required. 

Regional and Field 

 Upon activation of ESF #3, the DOD/USACE 

Division Emergency Operations Center notifies 

the USACE Division Commander. The 

Division Commander coordinates with 

Headquarters USACE for the appropriate ESF 

#3 personnel support. 

 The UOC designates and deploys an ESF #3 

Team Leader to the RRCC and/or the JFO, as 

required, to coordinate the ESF #3 mission 

execution. 

ESF #3 Incident Actions 

Activities within the ESF #3 function include but are 

not limited to the following: 

 Coordination and support of infrastructure risk 

and vulnerability assessments. 

 Participation in pre-incident activities, such as 

pre-positioning assessment teams and 

contractors, and deploying advance support 

elements. 

 Participation in post-incident assessments of 

public works and infrastructure to help 

determine critical needs and potential 

workloads. 

 Implementation of structural and nonstructural 

mitigation measures, including deploying of 

protective measures, to minimize adverse effects 

or fully protect resources prior to an incident. 

 Execution of emergency contracting support for 

life-saving and life-sustaining services, to 

include providing potable water, ice, emergency 

power, and other emergency commodities and 

services. 

 Providing assistance in the monitoring and 

stabilization of damaged structures and the 

demolition of structures designated as immediate 

hazards to public health and safety. Also, 

providing structural specialist expertise to 

support inspection of mass care facilities and 

urban search and rescue operations. 

 Providing emergency repair of damaged 

infrastructure and critical public facilities 

(temporary power, emergency water, sanitation 

systems, etc.). Supporting the restoration of 

critical navigation, flood control, and other 

water infrastructure systems. Where 

appropriate, activities to restore infrastructure 

(e.g., debris removal, temporary housing 

mission, etc.) are closely coordinated with ESF 

#11 – Agriculture and Natural Resources. As 

appropriate, ESF #3 requests ESF #11 to provide 

technical support to help facilitate ESF #3 

efforts to obtain necessary regulatory (cultural 

and environmental) clearances for infrastructure 

restoration activities. 

 Managing, monitoring, and/or providing 

technical advice in the clearance, removal, and 

disposal of contaminated and uncontaminated 

debris from public property and the 

reestablishment of ground and water routes into 

impacted areas. The scope of actions related to 

contaminated debris may include waste 

sampling, classification, packaging, 

transportation, treatment, demolition, and 

disposal of contaminated debris and soil. The 

management of contaminated debris is 

coordinated with ESF #10 – Oil and Hazardous 

Materials Response. For purposes of ESF #3, 

contaminated debris is intended to mean debris 

(e.g., general construction debris/rubble) that is 

being addressed within the debris zone and to 

support the overall objectives of ESF #3, such as 

clearing roads and public property. Waste 

management related to hazardous site 

remediation is addressed under ESF #10. The 

debris zone is defined by appropriate 

representatives from ESF #3 and ESF #10 and 

guided by the physical limits of any blast, 

explosion, or detonation related to the incident 

and/or the disposition of general construction 

debris/rubble in the surrounding area resulting 

from the incident. 
December 2004 ESF #3 – Public Works and Engineering Annex ESF #3-5 

 National Response Plan 

 Providing technical assistance to include 

engineering expertise, construction management, 

contracting, inspection of private/commercial 

structures, and real estate services. 

 Implementation and management of the 

DHS/EPR/FEMA Public Assistance Program 

and other recovery programs between and 

among Federal, State, and tribal officials, to 

include efforts to permanently repair, replace, or 

relocate damaged or destroyed public facilities 

and infrastructure. Recovery activities are 

coordinated with ESF #14 – Long-Term 

Community Recovery and Mitigation. 

Responsibilities

 ESF Coordinator: DOD/USACE is designated 

as the coordinator for ESF #3. As ESF 

coordinator, DOD/USACE coordinates 

meetings, plans, exercises, training, and other 

activities with DHS/EPR/FEMA, the private 

sector, and the ESF #3 support agencies. 

 Primary Agency – Response: DOD/USACE, 

as the primary ESF #3 agency for response, 

provides direction and coordination of ESF #3 

response-related activities and resources. 

DOD/USACE has developed an ESF #3 Field 

Guide that provides information on tools and 

processes used for ESF #3 mission support. 

 Primary Agency – Recovery: 

DHS/EPR/FEMA, as the primary ESF #3 

agency for recovery, assigns an ESF #3 Public 

Assistance Officer to coordinate and manage 

interagency infrastructure recovery programs 

and the DHS/EPR/FEMA Public Assistance 

Program. DHS/EPR/FEMA maintains and 

provides a Public Assistance Guide that contains 

information regarding program eligibility, 

application processes, and project requirements. 

Support Agencies 

Agency Functions 

Department of Agriculture 

(USDA) 

 Provides engineering and contracting/procurement personnel and equipment 

to assist in emergency removal of debris, demolition, repair of roads and 

bridges, temporary repair of essential public facilities, and water supply. 

ESF #4 – Firefighting or the USDA/Forest Service Disaster and Emergency 

Operations Branch is the contact for this support. 

 Provides technical personnel to evaluate damage to water control facilities. 

The Natural Resources Conservation Service (NRCS) is the regional contact 

for this support. 

Department of Commerce Provides direct technical support and advice on procurement of external 

consulting services for assessing the structural and fire safety of damaged 

buildings and lifelines (public works and utilities). The Interagency Committee 

on Seismic Safety in Construction, Building and Fire Research Laboratory, 

National Institute of Standards and Technology, is the point of contact. 
ESF #3-6 ESF #3 – Public Works and Engineering Annex December 2004 

 National Response Plan 

Agency Functions 

Department of Energy  Gathers, assesses, and shares information on energy system damage and 

estimations on the impact of energy system outages within affected areas. 

Provides information concerning the energy restoration process such as 

projected restoration schedules, percent completion of restoration, 

geographic information on the restoration, and other information as 

appropriate. 

 Enables radiologically contaminated debris management activities by 

coordinating and/or providing resources, assessments, data, expertise, 

technical assistance, monitoring, and other appropriate support. 

Department of Health and 

Human Services (HHS) 

 Supplies engineering and environmental health personnel to assist in 

assessing the status of wastewater and solid-waste facilities. 

 Provides guidance related to health problems associated with hazardous 

materials. 

 Assists in determining the suitability for human consumption of water from 

local sources. 

 Enables contaminated debris management activities by coordinating and/or 

providing resources, assessments, data, expertise, technical assistance, 

monitoring, and other appropriate support. 

Information Analysis and Infrastructure Protection Directorate

 Protective Security Division (PSD): Supports ESF #3 infrastructure 

protection and mitigation missions by providing infrastructure risk and 

vulnerability assessments in response to actionable intelligence and other 

information. 

 Infrastructure Coordination Division (ICD): Works with the 

Infrastructure Liaison concerning issues dealing with the recovery and 

restoration of the associated critical infrastructure sector, supported by this 

ESF, including the allocation and prioritization of resources. 

Department of Homeland 

Security 

U.S. Coast Guard 

 Coordinates the marking and removal of obstructions declared to be hazards 

to navigation. 

 Assists in debris and contaminated debris management activities when 

debris or runoff impacts navigable waters. This includes coordinating 

and/or providing resources, assessments, expertise, technical assistance, 

monitoring, and other appropriate support. 
December 2004 ESF #3 – Public Works and Engineering Annex ESF #3-7 

 National Response Plan 

Agency Functions 

Department of the Interior  Provides engineering support to assist in evaluating damage to water control 

systems, such as dams, levees, and water delivery facilities and structures. 

 Provides personnel to assist in damage assessment, structural inspections, 

debris clearance monitoring, and restoration of facilities in general. 

 Provides technical assistance in contract management, contracting, 

procurement, construction inspection, and environmental and archeological 

assessments. 

 Provides tribal nation liaisons, as described in the Tribal Relations Support 

Annex, if required. 

Department of Labor (DOL) The Occupational Safety and Health Administration (DOL/OSHA) provides 

worker safety advice, assistance, and policy support for debris removal, 

building demolition, and other ESF #3 activities. 

Department of 

Transportation 

 Provides technical expertise and assistance for repair and restoration of 

transportation infrastructure (e.g., highways, bridges, tunnels, transit 

systems, port facilities, and railways) and provides advice and assistance on 

the transportation of contaminated materials. 

 Provides engineering personnel and support to assist in damage assessment, 

structural inspections, debris clearing, and restoration of the Nation’s 

transportation infrastructure. 

 Administers special funding that can be used for repair or reconstruction of 

major highway facilities and as well as grant programs for transit systems 

and railroads that could be used for repair and rehabilitation of damaged 

infrastructure. 

Department of Veterans 

Affairs 

Provides engineering personnel and support, including design estimating and 

construction supervision for repair, reconstruction, and restoration of eligible 

facilities. 
ESF #3-8 ESF #3 – Public Works and Engineering Annex December 2004 

 National Response Plan 

Agency Functions 

Environmental Protection 

Agency 

 Conducts infrastructure protection activities for drinking water and water 

treatment agencies, in accordance with its responsibilities as the designated 

Sector-Specific Agency for this sector as described in Homeland Security 

Presidential Directive-7. 

 Assists, in conjunction with HHS, in determining the suitability for human 

consumption of water from local sources and in identifying hazardous 

materials having the potential to affect drinking water supplies. Assists in 

identifying water and wastewater needs. Supplies sanitary engineers to 

assess wastewater and solid-waste facilities. Provides bio-surveillance, 

warning, and detection capabilities. 

 Assists in locating disposal sites for debris clearance activities. 

 Identifies locations and provides safety guidance for areas affected by 

hazardous materials. Ensures the protection and cleanup of these areas. 

 Assists contaminated debris management activities by coordinating and/or 

providing resources, assessments, data, expertise, technical assistance, 

monitoring, and other appropriate support. 

 Assists in investigation and intelligence analysis for hazardous materials 

incidents involving contaminated wastewater or drinking water systems. 

General Services 

Administration 

 Provides personnel and contractors to assist in damage assessment, 

structural inspections, debris clearance monitoring, and restoration of 

facilities in general. 

 Provides technical assistance in contract management, contracting, 

procurement, construction inspection, and environmental and archeological 

assessments. 

Nuclear Regulatory 

Commission 

Assists radiological contaminated debris management activities by coordinating 

and/or providing resources, assessments, data, expertise, technical assistance, 

monitoring, and other appropriate support. 

Tennessee Valley Authority Provides personnel to assist in damage assessment, structural inspections, debris 

clearance monitoring, and restoration of facilities in general. 

American Red Cross Works with DOD/USACE; DHS/EPR/FEMA; other Federal, State, local, and 

tribal government entities; and other NGOs to ensure integration of ice and 

water requirements and distribution processes into mass care operations. 
December 2004 ESF #4 – Firefighting Annex ESF #4-1 

 National Response Plan 

Emergency Support Function #4 – Firefighting Annex

ESF Coordinator: 

Department of Agriculture/Forest Service 

Primary Agency: 

Department of Agriculture/Forest Service 

Support Agencies: 

Department of Commerce 

Department of Defense 

Department of Homeland Security 

Department of the Interior 

Environmental Protection Agency 

Introduction

Purpose 

Emergency Support Function (ESF) #4 – 

Firefighting enables the detection and suppression of 

wildland, rural, and urban fires resulting from, or 

occurring coincidentally with, an Incident of 

National Significance. 

Scope 

ESF #4 manages and coordinates firefighting 

activities, including the detection and suppression of 

fires on Federal lands, and provides personnel, 

equipment, and supplies in support of State, local, 

and tribal agencies involved in rural and urban 

firefighting operations. 

Policies 

 Priority is given to public and firefighter safety 

and protecting property, in that order. 

 Processes and procedures established by the 

National Wildland Coordinating Group 

(NWCG) in the National Interagency 

Mobilization Guide are followed in responding 

to Incidents of National Significance under the 

National Response Plan (NRP). 

 National support is accomplished through the 

National Interagency Coordination Center 

(NICC) located at the National Interagency Fire 

Center (NIFC) in Boise, ID. 

 Coordination with, and support of, State and 

local fire suppression organizations is 

accomplished through the State Forester, in 

cooperation with the State Fire Marshal, State 

emergency management agency, or other 

appropriate State agency and/or tribal fire 

suppression organizations operating under the 

National Incident Management System 

(NIMS)/Incident Command System (ICS). 

 The coordinator for ESF #4 – Firefighting is the 

Department of Agriculture (USDA)/Forest 

Service, at the headquarters level. For 

operations that occur in the State of Alaska, 

operational lead for firefighting response is the 

Department of the Interior/Bureau of Land 

Management (DOI/BLM).

Concept of Operations

General 

 ESF #4 manages and coordinates Federal 

firefighting activities. This function is 

accomplished by mobilizing firefighting 

resources in support of State, local, and tribal 

wildland, rural, and urban firefighting agencies. 

ESF #4 uses established firefighting and support 

organizations, processes, and procedures 

outlined in the National Mobilization Guide. 

Responsibility for situation assessment and 

determination of resource needs lies primarily 

with the local incident commander. 
ESF #4-2 ESF #4 – Firefighting Annex December 2004 

 National Response Plan 

 Requests for firefighting assistance and 

resources are transmitted from the Joint Field 

Office (JFO) ESF #4 representative to the 

appropriate Geographic Area Coordination 

Center (GACC). For resources beyond those 

available within the geographic area, the 

requests are sent to the NICC in Boise, ID, by 

the Geographical Area Coordinator. The NICC 

contacts the ESF #4 coordinator in the event of 

national-level shortages or unavailability of 

needed resources. 

 Resolution of shortages is pursued by the 

National Response Coordination Center (NRCC) 

and, when necessary, by the Interagency 

Incident Management Group (IIMG). Actual 

firefighting operations are managed under the 

ICS. Situation and damage assessment 

information is transmitted through established 

fire suppression channels and directly between 

the headquarters-level and regional-level 

functions according to NIMS procedures. 

Organization: ESF #4 has a parallel structure at 

the national and regional levels. 

Headquarters-Level Response Support Structure 

 The USDA Homeland Security Office represents 

the USDA/Forest Service on the IIMG. 

 The ESF #4 coordinator operates under the 

direction of the Assistant Director for Planning, 

Fire, and Aviation Management, Forest Service. 

Assistance is provided as necessary by the 

Forest Service and DOI Fire Directors at the 

NIFC. 

 The Forest Service Disaster and Emergency 

Operation Branch Chief serves as the ESF #4 

coordinator. The ESF #4 coordinator or 

representative reports to and is a member of the 

NRCC, when activated. This position is the link 

to the National Director for Fire and Aviation 

Management at Forest Service Headquarters. 

 The ESF #4 coordinator, through the NRCC, 

provides subject-matter expertise to the IIMG 

and, based on recommended Department of 

Homeland Security requirements, may be 

operational on a 24-hour basis. Supporting 

agencies’ representatives are available by 

telephone or pager on a 24-hour basis, when 

necessary. 

 National logistics support and mobilization of 

resources are provided by the NICC. 

Regional-Level Response Structure 

 Federal firefighting response support is 

coordinated by the regional/area ESF #4 

coordinator provided by the Forest Service 

regional/area office. The regional ESF #4 

coordinator is responsible for establishing and 

maintaining coordination with the national ESF 

#4 coordinator, regional support agencies, and 

the JFO. Regional firefighting response and 

logistics support is provided by GACCs and the 

NICC in accordance with established 

Mobilization Guides. Supporting agencies have 

representatives available by telephone or pager 

on a 24-hour basis for the duration, as necessary. 

Notification 

Upon notification of a potential or actual event 

requiring ESF #4 response, the National ESF #4 

coordinator notifies the Regional/Area Fire 

Coordinators, the NICC, and the DOI Departmental 

Emergency Coordinator. 

Actions 

Pre-Incident 

 Prevention: Policies, procedures, and guidelines 

for wildland fires are established in the National 

Interagency Fire Prevention Plan. 

 Preparedness: National preparedness planning 

levels for wildland fire suppression are 

established by the NWCG in the National 

Interagency Mobilization Guide. 

Incident 

 Initial Response Actions: The national ESF #4 

coordinator or representative: 

 Reports to the NRCC within 2 hours of 

notification; 
December 2004 ESF #4 – Firefighting Annex ESF #4-3 

 National Response Plan 

 Establishes communication links with 

support agencies, the USDA Emergency 

Operations Center, the National Director for 

Fire and Aviation Management at Forest 

Service Headquarters, and Forest Service 

Assistant Director–Operations at the NIFC; 

 Establishes communication links with the 

Regional/Area Fire Coordinators; and 

 Obtains an initial fire situation and damage 

assessment through established intelligence 

procedures. 

Post-Incident 

 Continuing Response Actions: The national 

ESF #4 coordinator or representative: 

 Obtains, maintains, and provides incident 

situation and damage assessment 

information through established procedures; 

 Coordinates incident resource needs, and 

determines and resolves, as necessary, issues 

regarding resource shortages and resource 

ordering issues, interagency conflicts, and 

policy matters referred by the IIMG; 

 Maintains close coordination through the 

NRCC with the IIMG, Regional Response 

Coordination Center, support agencies, 

NICC, JFO, and Incident Command Post; 

and 

 Maintains a complete log of actions taken, 

resource orders, records, and reports. 

Recovery: Resource rehabilitation and 

demobilization policies and procedures are 

established in the National Interagency Mobilization 

Guide and Interagency Incident Business 

Management Handbook. 

Responsibilities

ESF Coordinator/Primary Agency: 

USDA/Forest Service 

 Provides qualified representatives to serve as 

national ESF #4 coordinator, regional/area ESF 

coordinator, and ESF coordinator at the JFO. 

 Requests assistance from supporting agencies as 

necessary to accomplish ESF #4 responsibilities. 

 Provides logistics support through the GACC 

and/or NICC for mobilizing resources for 

firefighting. 

 Assumes full responsibility for suppression of 

wildfires burning on national forest system lands 

and joins in a unified command with the local 

jurisdiction on incidents threatening national 

forest system lands. 

 Provides and coordinates firefighting assistance 

to other Federal land management, State 

forestry, and local fire organizations as 

requested under the terms of existing agreements 

and the NRP. 

 Arranges for direct liaison with fire chiefs in the 

designated area to coordinate requests for 

firefighting assistance in structural or industrial 

fire protection operations. 

 Provides information to the Planning Section at 

the incident and to the JFO as assessments of 

fire-caused damages are obtained. 
ESF #4-4 ESF #4 – Firefighting Annex December 2004 

 National Response Plan 

Support Agencies 

Agency Functions 

Department of Commerce  Provides fire/weather forecasting as needed from the NIFC in Boise, ID, or 

from a nearby National Weather Service Forecast Office under the terms of 

existing interagency agreements. 

 Provides urban and industrial hazard analysis support through the Building 

and Fire Research Laboratory of the National Institute of Standards and 

Technology. 

 Provides fire/weather support under the terms of the National Agreement 

for Meteorological Services in Support of Agencies with Land Management 

and Fire Protection Responsibilities. 

 Provides forecasts of the dispersion of smoke in support of planning and 

response activities. 

Department of Defense 

(DOD) 

 Assumes full responsibility for firefighting activities on DOD installations. 

 Supports firefighting operations on nonmilitary lands with personnel, 

equipment, and supplies under the terms of the existing interagency 

agreement, including the arrangement of liaisons as required. 

 U.S. Army Corps of Engineers: Provides contracting services through ESF 

#3 to urban and rural firefighting forces to obtain heavy equipment and/or 

demolition services as needed to suppress incident-related fires. 

Emergency Preparedness and Response Directorate/Federal Emergency 

Management Agency/U.S. Fire Administration 

 Provides subject-matter experts/expertise regarding structural/urban/ 

suburban fire and fire-related activities. 

 Maintains a representative at the NIFC to assist with national coordination. 

Department of Homeland 

Security 

U.S. Coast Guard 

Provides support for marine firefighting incidents. 

Department of the Interior  Assumes full responsibility for fighting wildfires burning on lands within its 

jurisdiction. 

 Assists the Forest Service in managing and coordinating firefighting 

operations. 

 Provides firefighting assistance to other Federal land management 

organizations as requested under the terms of existing agreements and the 

NRP. 
December 2004 ESF #4 – Firefighting Annex ESF #4-5 

 National Response Plan 

Agency Functions 

Environmental Protection 

Agency 

 Provides technical assistance and advice in the event of fires involving 

hazardous materials. 

 Provides assistance in identifying an uncontaminated water source for 

firefighting. 

Other Organizations State forestry organizations in most States are responsible for wildland 

firefighting on non-Federal lands. States may assist other States in firefighting 

operations and may assist Federal agencies through agreements. In addition, 

resources may be provided through Emergency Management Assistance 

Compact. Private-sector resources are mobilized through standard contract 

procedures. 
ESF #4-6 ESF #4 – Firefighting Annex December 2004 

 National Response Plan 

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December 2004 ESF #5 – Emergency Management Annex ESF #5-1 

 National Response Plan 

Emergency Support Function #5 – Emergency Management Annex

ESF Coordinator: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Primary Agency: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Education 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of Housing and Urban Development 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of State 

Department of Transportation 

Department of the Treasury 

Department of Veterans Affairs 

Environmental Protection Agency 

Federal Communications Commission 

General Services Administration 

National Aeronautics and Space Administration 

Nuclear Regulatory Commission 

Office of Personnel Management 

Small Business Administration 

Tennessee Valley Authority 

U.S. Postal Service 

American Red Cross 

Introduction 

Purpose 

Emergency Support Function (ESF) #5 – Emergency 

Management is responsible for supporting overall 

activities of the Federal Government for domestic 

incident management. ESF #5 provides the core 

management and administrative functions in support 

of National Response Coordination Center (NRCC), 

Regional Response Coordination Center (RRCC), 

and Joint Field Office (JFO) operations. 

Scope 

ESF #5 serves as the support ESF for all Federal 

departments and agencies across the spectrum of 

domestic incident management from prevention to 

response and recovery. ESF #5 facilitates 

information flow in the pre-incident prevention 

phase in order to place assets on alert or to preposition assets for quick response. During the postincident response phase, ESF #5 transitions and is 

responsible for support and planning functions. ESF 

#5 activities include those functions that are critical 

to support and facilitate multiagency planning and 

coordination for operations involving potential and 

actual Incidents of National Significance. This 

includes alert and notification, deployment and 

staffing of Department of Homeland Security (DHS) 

emergency response teams, incident action planning, 

coordination of operations, logistics and material, 

direction and control, information management, 

facilitation of requests for Federal assistance, 

resource acquisition and management (to include 

allocation and tracking), worker safety and health, 

facilities management, financial management, and 

other support as required. 
ESF #5-2 ESF #5 – Emergency Management Annex December 2004 

 National Response Plan 

Policies 

 ESF #5 is responsible for establishing the 

Federal support infrastructure in the affected 

State or region in anticipation of requirements 

for prevention, response, and recovery Federal 

assistance. 

 Governors’ requests for Federal assistance to the 

President under the Stafford Act are coordinated 

through DHS/Emergency Preparedness and 

Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA). 

 Resource allocation and taskings are coordinated 

through ESF #5 using the DHS/EPR/FEMA 

mission assignment process and other 

procedures outlined in the National Response 

Plan (NRP) Financial Management Support 

Annex. For catastrophic incidents, ESF #5 

implements the Execution Checklist for 

proactive deployment of Federal staff and 

emergency response teams as outlined in the 

NRP Catastrophic Incident Annex. 

 ESF #5 staff identifies and resolves resource 

allocation issues identified at the JFO, the 

RRCC, and/or the NRCC. Those issues that 

cannot be resolved at the NRCC level are 

referred to the Interagency Incident Management 

Group (IIMG). 

 ESF #5 staff provides the informational link 

between the NRCC and the Homeland Security 

Operations Center (HSOC) headquarters 

element. ESF #5 serves as the centralized 

conduit for Federal situation reports to the 

HSOC from the various ESFs. 

 Departments and agencies participate in the 

incident action planning process coordinated by 

ESF #5. 

 ESF #5 provides representatives to staff key 

positions on Emergency Response Teams 

(national and advance elements) in support of 

the JFO Coordination Group. 

 ESF #5 staff establishes required field facilities, 

supplies, and equipment to support Federal 

activities related to the management of Incidents 

of National Significance. These facilities 

include, but are not limited to the JFO, the Joint 

Information Center (JIC), Interim Operating 

Facilities (IOFs), mobilization centers, Federal 

staging areas, and Disaster Recovery Centers. 

 ESF #5 staff supports the implementation of 

mutual aid agreements to ensure a seamless 

resource response to affected States and 

jurisdictions. 

 ESF #5 maintains an on-call workforce of 

trained and skilled reserve employees to provide 

surge capability to perform essential emergency 

management functions on short notice and for 

varied duration. 

 The DHS/EPR/FEMA Operations Center is 

responsible for notifying the Federal 

departments and agencies, as well as State and 

local emergency management organizations, of 

potential threats to enable the elevation of 

operational response postures or the prepositioning of assets. 

Concept of Operations 

General 

 ESF #5 provides a trained and experienced staff 

to fill management positions in the Command, 

Operations, Planning, Logistics, and Finance 

and Administration Sections of the NRCC, 

RRCC, IOF, and JFO, if activated or 

established. 

 The NRCC, staffed by ESF #5 and other ESFs 

when activated, monitors potential or developing 

incidents and supports the efforts of regional and 

field operations. 

 ESF #5 supports the activation and deployment 

of the DHS Federal Incident Response Support 

Team (FIRST). 

 The RRCC, staffed by ESF #5 and other ESFs as 

required, coordinates operations and situational 

reporting to the NRCC until the JFO is 

operational. 
December 2004 ESF #5 – Emergency Management Annex ESF #5-3 

 National Response Plan 

 ESF #5 operations transition from the RRCC to 

the JFO, when the JFO is established. When the 

JFO begins to stand-down operations, ESF #5 

operations transition back to the RRCC. 

Organizational Structure: ESF #5 is organized 

in accordance with the National Incident 

Management System (NIMS). The ESF #5 structure 

supports the general staff functions described in the 

NIMS at each of the Federal multiagency 

coordination centers (e.g., NRCC, RRCC, IOF, 

JFO). These functions include: 

 Command Support: ESF #5 supports the 

command function by providing senior staff, 

incident action planning capabilities, 

information, administrative, logistics, and 

financial support functions. When appropriate, 

ESF #5 activates the Department of 

Labor/Occupational Safety and Health 

Administration (DOL/OSHA) to provide 

appropriate staff to coordinate and implement 

the safety functions required by the command 

staff. (See the Worker Safety and Health 

Support Annex for details.) 

 Operations: DHS/EPR/FEMA provides staff 

for the Operations Section Chief and Operations 

Branch Director positions to coordinate the 

Human Services, Infrastructure Support, 

Emergency Services, and Mitigation and 

Community Recovery Branches (various ESFs 

also provide key staff for these areas); processes 

requests for assistance; and initiates and 

manages the mission assignment and/or the 

reimbursement agreement. 

 Planning: ESF #5 provides the Planning 

Section Chief and Planning Branch Director 

positions. ESF #5 provides for the collection, 

evaluation, dissemination, and use of 

information regarding incident prevention and 

response actions and the status of resources. 

The Planning Section is responsible for the 

Federal incident action planning process. This 

includes preparing and documenting incident 

priorities; establishing the operational period and 

tempo; and developing contingency, long-term, 

demobilization, and other plans related to the 

incident, as needed. The Planning Section also 

coordinates with the DHS Science and 

Technology Directorate and agencies with 

special technical capabilities to request support 

for geospatial intelligence, modeling, and 

forecasting. 

 Logistics: ESF #5 provides staff for the 

Logistics Section Chief to manage the control 

and accountability of Federal supplies and 

equipment; resource ordering; delivery of 

equipment, supplies, and services; resource 

tracking; facility location and operations; 

transportation coordination; and information 

technology systems services and other 

administrative services. The Logistics Section 

coordinates closely with ESF #7 – Resource 

Support and implements the Logistics 

Management Support Annex. The Logistics 

Section Chief also coordinates with the DHS 

Office of Asset Management, as necessary, to 

identify and deploy DHS assets. 

 Finance/Administration: ESF #5 provides 

staff for the Finance and Administration Section 

Chief to monitor funding requirements and 

incident costs. The Finance/Administration 

Section is responsible for employee services, 

including security for personnel, facilities, and 

assets. The Finance/Administration Section 

implements the Financial Management Annex. 

Actions 

DHS Headquarters 

 When there is a credible threat, DHS may take 

several actions, including but not limited to 

activating the IIMG, deploying a Principal 

Federal Official (PFO) and supporting staff to 

the threat area, and pre-positioning strategic 

assets. The HSOC monitors the situation and 

notifies the NRCC and other DHS component 

operations centers appropriately. 

 The PFO cell, when deployed pre-incident, 

reports back to the HSOC and IIMG. These 

PFO situation reports are pushed from the 

HSOC to the NRCC, for situational awareness 

and for determination of the need to activate 

ESF #5 and other ESFs. 
ESF #5-4 ESF #5 – Emergency Management Annex December 2004 

 National Response Plan 

DHS/EPR/FEMA Headquarters Level 

 When an incident occurs or has the potential to 

occur, DHS/EPR/FEMA activates ESF #5 by 

increasing staffing and the operational tempo at 

the NRCC and RRCC, as required. Actions 

include alert, notification, and situation reporting 

in coordination with the HSOC headquarters 

element. Once activated, ESF #5 is operational 

at the NRCC on a 24-hour basis. 

 ESF #5 maintains constant communications with 

the affected State emergency operations center 

and convenes periodic video teleconferences 

with all appropriate parties to coordinate the 

joint local, State, and Federal operations. 

 ESF #5 provides situation reports and other 

information as required to the NRCC, a 

functional component of the HSOC, in 

accordance with HSOC standard operating 

procedures and protocols. 

 DHS/EPR/FEMA activates the ESFs required to 

handle the threat or incident at hand, issues 

initial activation mission assignments, and 

establishes reporting and communications 

protocols with the activated agencies and the 

Federal Coordinating Officer. 

 DHS/EPR/FEMA establishes and deploys 

special teams under operational control of 

headquarters, including the National Emergency 

Response Team, Mobile Emergency Response 

Support, Nuclear Incident Response Team, 

Mobile Air Transportable Telecommunications 

System, National Disaster Medical System, and 

FIRST in coordination with ESF #8. 

 ESF #5 staff develops the initial Incident Action 

Plan outlining Federal operations priorities and 

coordinates with other ESFs to implement the 

plan. 

 ESF #5 staff develops the schedule for staffing 

and operating the NRCC from activation to 

stand-down. 

Regional and Field Level 

 When an incident occurs or has the potential to 

occur, appropriate DHS/EPR/FEMA regions 

activate and increase the operational tempo of 

ESF #5. This includes alert, notification, and 

situation-reporting to regional and field 

components. This also includes staffing and 

operating the RRCC on a 24-hour basis. 

 ESF #5 staff makes initial contact with the 

affected State(s) and reviews capabilities and 

shortfalls as a means of determining initial 

response requirements for Federal support. 

 ESF #5 staff develops and issues the appropriate 

operational orders to the required ESFs, issues 

initial activation mission assignments or 

reimbursement agreements, and establishes 

reporting and communications protocols with 

the activated agencies. 

 DHS/EPR/FEMA regions activate and deploy 

the Emergency Response Team – Advance 

Element and Rapid Needs Assessment team, 

including representatives of other ESFs as 

appropriate. 

 ESF #5 staff develops the initial Incident Action 

Plan and coordinates with other ESFs to 

implement the plan. 

 DHS/EPR/FEMA staffs and operates the RRCC 

along with representatives of other ESFs. 

 ESF #5 initiates actions to identify, staff, and 

operate the JFO. 

 DHS/EPR/FEMA regions establish 

communications with the affected State(s) to 

coordinate initial requests for Federal assistance, 

including coordination of the initial response 

resources. 

 The RRCC coordinates initial provisions of the 

Federal-State Agreements that must be signed 

by the Governor and the DHS/EPR/FEMA 

Regional Director. 
December 2004 ESF #5 – Emergency Management Annex ESF #5-5 

 National Response Plan 

Incident Planning and Management Activities 

 ESF #5 helps maintain situational awareness of 

the threat or incident, in coordination with the 

HSOC, from first Federal engagement until 

closeout. It coordinates and represents the 

Federal interest in the Federal-State operational 

partnership and ensures that State, local, tribal, 

and individual applicants receive timely, 

equitable, and comprehensive assistance as 

provided for in Federal statutes and directives. 

 As the operation progresses from the preincident phase through response and into 

recovery, ESF #5 continues to provide 

immediate, short-term, and long-term planning 

functions in coordination with the other ESFs 

engaged in the operation and with those who are 

operating under agency statutory authorities. As 

the State assumes greater responsibility for the 

recovery operation, ESF #5 coordinates the 

responsible and orderly termination of Federal 

assistance. Each section of the Emergency 

Response Team (ERT) in the JFO continues to 

execute responsibility until the operation is 

suspended and the Federal presence is no longer 

necessary. 

Responsibilities

Primary Agency: As the primary agency, 

DHS/EPR/FEMA: 

 Activates and convenes Federal emergency 

assets and capabilities to prevent and respond to 

an Incident of National Significance, and 

coordinates with State, regional, local, and tribal 

law enforcement agencies and emergency 

management organizations. 

 Coordinates Federal planning activities 

including immediate, short-term, and long-range 

planning. The response planning and operations 

implementation priorities of the Federal 

Government are developed, tracked, and 

implemented through ESF #5. 

 Coordinates the use of remote sensing and 

reconnaissance operations, activation and 

deployment of assessment personnel or teams, 

and Geographic Information System support 

needed for incident management. 

 Coordinates overall staffing of Federal 

emergency management activities at the NRCC, 

RRCC, and JFO levels, including which ESFs 

are activated, the size and composition of the 

organizational structure, the level of staffing at 

the above facilities, and the key personnel 

required to staff the Section Chief and other 

command staff positions. 

Support Agencies 

 Support agencies’ responsibilities and 

capabilities are outlined in the NRP Base Plan 

and ESF Annexes. 

 Support agencies provide personnel to the 

ERT/JFO, RRCC, or NRCC, as requested, to 

assist ESF operations and provide reports to ESF 

#5. All agencies, as appropriate, identify staff 

liaisons or points of contact to provide technical 

and subject-matter expertise, data, advice, and 

staff support for operations that fall within the 

domain of each agency. Support capabilities of 

other organizations may be used as required and 

available. 

 All DHS components/directorates provide 

support as required. 
ESF #5-6 ESF #5 – Emergency Management Annex December 2004 

 National Response Plan 

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December 2004 ESF #6 – Mass Care, Housing, and Human Services Annex ESF #6-1 

 National Response Plan 

Emergency Support Function #6 – Mass Care, Housing, and Human Services Annex 

ESF Coordinator: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Primary Agencies: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

American Red Cross 

Support Agencies: 

Department of Agriculture 

Department of Defense 

Department of Health and Human Services 

Department of Homeland Security 

Department of Housing and Urban Development 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of Transportation 

Department of the Treasury 

Department of Veterans Affairs 

General Services Administration 

Office of Personnel Management 

Small Business Administration 

Social Security Administration 

U.S. Postal Service 

Corporation for National and Community Service 

National Voluntary Organizations Active in 

Disaster 

Introduction 

Purpose 

Emergency Support Function (ESF) #6 – Mass Care, 

Housing, and Human Services supports State, 

regional, local, and tribal government and 

nongovernmental organization (NGO) efforts to 

address the nonmedical mass care, housing, and 

human services needs of individuals and/or families 

impacted by Incidents of National Significance. 

Scope 

 ESF #6 promotes the delivery of services and 

the implementation of programs to assist 

individuals, households and families impacted 

by potential or actual Incidents of National 

Significance. This includes economic assistance 

and other services for individuals impacted by 

the incident. 

 ESF #6 includes three primary functions: Mass 

Care, Housing, and Human Services. 

 Mass Care involves the coordination of 

nonmedical mass care services to include 

sheltering of victims, organizing feeding 

operations, providing emergency first aid at 

designated sites, collecting and providing 

information on victims to family members, 

and coordinating bulk distribution of 

emergency relief items. 

 Housing involves the provision of assistance 

for short- and long-term housing needs of 

victims. 

 Human Services include providing victimrelated recovery efforts such as counseling, 

identifying support for persons with special 

needs, expediting processing of new Federal 

benefits claims, assisting in collecting crime 

victim compensation for acts of terrorism, 

and expediting mail services in affected 

areas. 
ESF #6-2 ESF #6 – Mass Care, Housing, and Human Services Annex December 2004 

 National Response Plan 

Policies 

ESF #6 policy and concept of operations apply to 

Federal departments and agencies and the American 

Red Cross for activities relating to potential or actual 

Incident of National Significance. Underlying 

principles include the following: 

 ESF #6 support may vary depending on an 

assessment of incident impact(s), the magnitude 

and type of event, and the stage of the response 

and recovery efforts. 

 Supporting mass care activities and providing 

services without regard to economic status or 

racial, religious, political, ethnic, or other 

affiliation. 

 Supporting ESF #6 activities and providing 

services in accordance with existing Federal 

statutes, rules, and regulations. 

 Assigning personnel to support ESF #6 

functions in accordance with the rules and 

regulations of their respective parent agencies. 

 Coordinating with ESFs #1, #3, #5, and #14 

regarding recovery and mitigation assistance, as 

appropriate. 

 Reducing duplication of effort and benefits, to 

the extent possible. This includes streamlining 

assistance as appropriate, and identifying 

recovery and mitigation measures to support 

State and local planning efforts. 

Concept of Operations 

General 

 Initial response activities focus on meeting 

urgent mass care needs of victims. 

 Recovery efforts are initiated concurrently with 

response activities. Close coordination is 

required among those Federal agencies 

responsible for response operations and recovery 

activities, and other nongovernmental 

organizations providing assistance. 

 ESF #6 functions are divided into three main 

areas. The principal activities for each 

functional area are described in the following 

sections. 

Mass Care 

The ESF #6 mass care function includes overall 

coordination, shelter, feeding and other activities to 

support emergency needs of victims as described 

below: 

 Coordination. This includes coordination of 

Federal assistance in support of nonmedical 

mass care services, and gathering information 

related to sheltering and feeding operations in 

the impacted area. 

 Shelter: Emergency shelter includes the use of 

pre-identified shelter sites in existing structures, 

creation of temporary facilities or the temporary 

construction of shelters, and use of similar 

facilities outside the incident area, should 

evacuation be necessary. 

 Feeding: Feeding is provided to victims 

through a combination of fixed sites, mobile 

feeding units, and bulk distribution of food. 

Feeding operations are based on sound 

nutritional standards to include meeting 

requirements of victims with special dietary 

needs to the extent possible. 

 Emergency First Aid: Emergency first aid, 

consisting of basic first aid and referral to 

appropriate medical personnel and facilities, is 

provided at mass care facilities and at designated 

sites. 

 Disaster Welfare Information (DWI): DWI 

collects and provides information regarding 

individuals residing within the affected area to 

immediate family members outside the affected 

area. The system also aids in reunification of 

family members within the affected area. 
December 2004 ESF #6 – Mass Care, Housing, and Human Services Annex ESF #6-3 

 National Response Plan 

 Bulk Distribution: Emergency relief items to 

meet urgent needs are distributed through sites 

established within the affected area. These sites 

are used to coordinate mass care food, water, 

and ice requirements, and distribution systems 

with Federal, State, local, and tribal 

governmental entities and NGOs. 

Housing 

The ESF #6 housing function addresses needs of 

victims in the affected areas, and is accomplished 

through the implementation of programs and 

services designed to: 

 Provide assistance for the short- and long-term 

housing needs of victims. 

 Identify the various factors that could impact the 

incident-related housing needs and help develop 

a plan of action to provide housing assistance in 

the most effective, expedited, and efficient 

manner available at the time. 

 Identify solutions for short- and long-term 

housing for victims, as appropriate. Housing 

assistance provided to victims may include 

rental assistance, temporary housing, loans for 

the repair and/or replacement of primary 

residences, etc. 

Human Services 

The ESF #6 human services component implements 

programs and provides services to assist victims. 

This includes: 

 Coordinating and assessing the situation and 

implementing an appropriate plan based on the 

resources available to assist all victims. 

 Supporting various services impacting 

individuals and households, including a 

coordinated system to address victims’ incidentrelated recovery efforts through crisis counseling 

and other supportive services. 

 Coordinating and identifying individuals with 

special needs within the impacted area, to 

include the elderly, people with disabilities, and 

people communicating in languages other than 

English (including sign language). 

 Supporting immediate, short-term assistance for 

individuals, households, and groups dealing with 

the anxieties, stress, and trauma associated with 

a disaster, act of terrorism, and/or incident of 

mass criminal violence. 

 Supporting expedited processing of new Federal 

benefits claims (e.g., Social Security, veterans 

benefits, disaster unemployment assistance, and 

Federal tax refunds). 

 Supporting Federal, State, local, and tribal 

efforts to provide assistance and crime victim 

compensation in incidents resulting from 

terrorism or acts of mass criminal violence, as 

appropriate. 

 Ensuring water, ice, and other emergency 

commodities and services requirements are 

delivered to appropriate entities. 

 Providing support to expedite mail services in 

affected areas. 

Organization 

Headquarters-Level Response Structure 

 Following ESF #6 activation, the primary 

agencies convene to evaluate the situation and 

respond accordingly. 

 Primary and support agencies are available on an 

“as needed” basis for the duration of the 

emergency response period. 

 ESF #6 may provide representatives to the 

National Response Coordination Center (NRCC) 

or the Interagency Incident Management Group 

(IIMG), as required. 

Regional-Level Response Structure 

 The regional-level response includes providing 

representatives to the Advance Element of the 

Emergency Response Team, the ESF #6 section 

in the Regional Response Coordination Center 

(RRCC), Joint Field Office (JFO), and Disaster 

Recovery Centers. 
ESF #6-4 ESF #6 – Mass Care, Housing, and Human Services Annex December 2004 

 National Response Plan 

 Activities in the region normally commence 

with activation by a Department of Homeland 

Security/Emergency Preparedness and 

Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA) Regional Director. 

As the situation develops and it is determined 

that Federal assistance is required, deployment 

to the response location begins. 

 Liaisons to other ESFs and/or related functions 

are identified and deployed by their respective 

agencies or departments, as needed. 

 Liaisons from Federal support agencies assist 

the ESF #6 section at the RRCC and JFO as 

necessary, and otherwise are available on an “as 

needed” basis for the duration of the emergency 

response period. 

Actions: Initial 

Headquarters Level 

 Assesses the situation, validates resource 

requests, and forecasts response needs. 

 Provides technical assistance to the regional ESF 

#6 and NRCC. 

 Coordinates ESF #6 resource requests with 

Federal departments and agencies and the 

NRCC. 

 Validates resource requests from the regional 

ESF #6. 

Regional Level 

 Provides technical assistance to support incident 

priorities. 

 Establishes communications with the national 

ESF #6 response structure. 

 Assesses the situation and determines the 

adequacy of response and recovery activities. 

 Provides technical assistance to the State 

Designated Mass Care Agency. 

 Manages the process for requests for Federal 

assistance. 

 Provides reports to the national ESF #6 response 

structure and JFO. 

 Anticipates future requirements. 

Actions: Ongoing 

 Provides guidance for identifying potential 

housing resources. 

 Works with Federal, State, tribal, and local 

authorities on the development of a recovery 

plan, as appropriate. 

 Provides support for crisis counseling, disaster 

unemployment assistance, and disaster legal 

services. 

 Assists with coordination and implementation of 

disaster assistance programs, as appropriate. 

Responsibilities 

ESF Coordinator: DHS/EPR/FEMA 

 Activates appropriate support agencies. 

 Coordinates logistical and fiscal activities 

supporting ESF #6 associated priorities and 

activation. 

 Designates DHS/EPR/FEMA Recovery Division 

staff, with specific ESF coordination 

responsibilities, to ensure information and 

coordination support to the primary and support 

agencies, as appropriate. 

 Plans and supports regular meetings with the 

primary and support agencies related to 

preparedness, response, and recovery activities. 

 Ensures primary and support agencies are 

informed and involved in all meetings related to 

ESF #6 activities. 
December 2004 ESF #6 – Mass Care, Housing, and Human Services Annex ESF #6-5 

 National Response Plan 

Primary Agencies: DHS/EPR/FEMA and the 

American Red Cross 

 Provide leadership in coordinating and 

integrating overall Federal efforts associated 

with mass care, housing, and human services. 

 For the purposes of the National Response Plan, 

the American Red Cross functions as an ESF 

primary organization in coordinating the use of 

Federal mass care resources in the context of 

Incidents of National Significance. For the 

purposes of ESF #6, any reference to Federal 

departments and agencies with respect to 

responsibilities and activities in responding to an 

Incident of National Significance includes the 

American Red Cross. 

DHS/EPR/FEMA: As the primary agency for 

recovery activities pursuant to a Presidentially 

declared disaster or emergency, DHS/EPR/FEMA 

Recovery Division provides ESF #6 staff to 

assignment locations, as appropriate. 

 Assists and coordinates the release of 

information for notification of relatives. 

 Assists in establishing priorities and 

coordinating the transition of mass care 

operations with recovery activities based on 

incident information and the availability of 

resources that can be appropriately applied. 

 Provides available resources such as cots, 

blankets, meals-ready-to-eat, other initial 

response resources, and logistical support, 

including communications, as appropriate. 

 Assists in the provision of medical supplies and 

services. 

American Red Cross: As the primary agency for 

mass care under ESF #6, the American Red Cross 

coordinates Federal mass care assistance in support 

of State and local mass care efforts. 

Transition: As primary response activities are 

completed, incident management priorities place 

greater emphasis on recovery. ESF #6 provides 

procedures to ensure that: 

 Transition is mutually determined by the 

primary agencies. 

 American Red Cross staff remains activated 

during the initial phase of recovery activities to 

ensure all emergency response issues are 

addressed and to support the transition of related 

issues and responsibilities. 

 As the mass care element of ESF #6 

demobilizes, DHS/EPR/FEMA continues to 

coordinate the housing and human services 

elements. 
ESF #6-6 ESF #6 – Mass Care, Housing, and Human Services Annex December 2004 

 National Response Plan 

Support Agencies 

All ESF #6 support agencies must ensure that the primary agencies are aware of the functions and activities of all 

respective participating entities. 

Agency Responsibilities 

Food and Nutrition Service (FNS) 

 Locates and secures supplies of food, including federally owned surplus 

foods, to supplement those in the disaster area. 

 Provides statistics on the quantities and locations of food furnished by the 

FNS. 

 Provides other food and nutritional assistance in accordance with ESF #11 – 

Agriculture and Natural Resources. 

Department of Agriculture 

Forest Service 

 Provides available departmental resources (e.g., cots, blankets, sleeping 

bags, personnel) for shelters. 

 Provides logistical guidance and support. 

Department of Defense/U.S. 

Army Corps of Engineers 

 Fulfills mass care requirements for ice and water in coordination with mass 

care elements of ESF #6. 

 Provides assistance by inspecting mass care shelter sites to ensure 

suitability of facilities to safely shelter victims. 

 Provides assistance in constructing temporary shelter facilities in the 

affected area, as required. 

 Provides temporary housing support, such as temporary structures and 

expedited repair of damaged homes (to include temporary roofing or other 

repairs that facilitate reoccupation of minimally damaged structures), as 

necessary. 

Department of Health and 

Human Services (HHS) 

 Provides HHS workers to augment personnel assigned to shelters. 

 Provides medical care and mental health services for impacted populations 

either in or outside the shelter locations. 

 Provides casualty information from the affected area in support of a DWI 

system. 

 Provides technical assistance for shelter operations related to food, vectors, 

water supply, and waste disposal. 

 Assists in the provision of medical supplies and services. 

Department of Homeland 

Security/National Disaster 

Medical System 

Coordinates emergency medical care in shelters. 
December 2004 ESF #6 – Mass Care, Housing, and Human Services Annex ESF #6-7 

 National Response Plan 

Agency Responsibilities 

Department of Housing and 

Urban Development (HUD) 

 Provides information on available habitable housing units, owned or in 

HUD possession, within or adjacent to the incident area for use as 

emergency shelters and temporary housing. 

 Provides available HUD staff to assist when needed with mass care and 

housing operations. 

Department of the Interior  Provides available departmental resources (e.g. cots, blankets, sleeping 

bags, personnel) for shelters. 

 Provides logistical guidance and support. 

Department of Justice  In response to an act of criminal mass victimization (mass violence, 

domestic or international terrorism), the Office for Victims of Crime may 

coordinate with Federal, State, local, and tribal service providers in the 

provision of assistance via the Antiterrorism and Emergency Assistance 

Program or other mechanisms. 

 Provides Federal Tort Claims Act guidance and claims resolution services 

in support of ESF #6 American Red Cross activities. 

Department of Labor The Occupational Safety and Health Administration provides technical 

assistance related to worker safety and health issues. 

Department of 

Transportation 

Provides coordination of transportation resources, highway information and 

other resources related to supporting transportation activities. 

Department of Treasury, 

Internal Revenue Service 

 Distributes disaster kits containing tax forms and publications to help 

victims determine the amount of a casualty loss deduction for destroyed 

property. 

 Assists victims with filing claims for tax refunds. 

 Assists victims with obtaining copies of filed tax returns. 

Department of Veterans 

Affairs (VA) 

 Provides for food preparation and stockpiling in its facilities during the 

incident. 

 Provides medical supplies and personnel to support mass care operations. 

 Provides available facilities suitable for mass shelter. 

 Administers the laws providing benefits and other services to veterans and 

the dependents and beneficiaries of veterans. 

 During incident operations, provides emergency health care services to 

veteran beneficiaries in VA medical facilities, to active duty military 

personnel and, as resources permit, to civilians in communities affected by 

national security emergencies. 

 Provides mortuary services for eligible veterans, and advises on methods for 

interment of the dead. 

 Contributes to emergency support functions, including providing remedial 

infrastructure restoration, mass care services, resource (logistic) support, 

and health and medical services. 

 Develops and maintains plans to make available housing assets that are 

habitable to which VA has title and possession, for use by victims. 
ESF #6-8 ESF #6 – Mass Care, Housing, and Human Services Annex December 2004 

 National Response Plan 

Agency Responsibilities 

General Services 

Administration 

 Provides communications links to the DWI center from the disaster area. 

 Provides other logistical support for mass care requirements as requested. 

Small Business 

Administration 

 Provides low-interest, long-term loan assistance to homeowners, renters, 

businesses of all sizes, and nonprofit organizations to fund the repair or 

replacement of disaster-damaged property. 

 Provides loan funds that also may include money for such things as 

relocation, mitigation, refinancing of existing liens, code-required upgrades, 

and 1-year insurance premium. 

Social Security 

Administration 

 Manages America’s major income support programs. 

 Provides expedited processing of new Federal benefit claims during 

emergency operations. 

U.S. Postal Service (USPS)  Provides change-of-address cards for victims to notify the USPS of 

relocation addresses for mail forwarding, and assists in the distribution, 

collection, and mailing of those cards. 

 Provides an electronic file of address-change information furnished by 

victims. 

Corporation for National 

and Community Service 

Provides teams of trained volunteers to assist in various aspects of response and 

recovery. 

National Voluntary 

Organizations Active in 

Disaster 

 Facilitates and encourages collaboration, communication, cooperation, and 

coordination, and builds relationships among members while groups plan 

and prepare for emergencies and disaster incidents. 

 Assists in communicating to the government and the public the services 

provided by its national member organizations. 

 Facilitates information-sharing during planning and preparedness and after 

a disaster incident. 

 Provides members information pertaining to the severity of the disaster, 

needs identified, and actions of “helpers” throughout the response, relief, 

and recovery process. 

 Provides guidance in client information-sharing, spiritual and emotional 

care management of unaffiliated volunteers, and unsolicited donated goods, 

as needed. 
December 2004 ESF #7 – Resource Support Annex ESF #7-1 

 National Response Plan 

Emergency Support Function #7 – Resource Support Annex

ESF Coordinator: 

General Services Administration 

Primary Agency: 

General Services Administration 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Homeland Security 

Department of Labor 

Department of Transportation 

Department of Veterans Affairs 

National Aeronautics and Space Administration 

National Communications System 

Office of Personnel Management 

Introduction

Purpose 

Emergency Support Function (ESF) #7 – Resource 

Support assists the Department of Homeland 

Security (DHS), supporting Federal agencies and 

State, local, and tribal governments requiring 

resource support prior to, during, and/or after 

Incidents of National Significance. 

Scope 

Resource support to Federal, State, local, and tribal 

governments consists of emergency relief supplies, 

facility space, office equipment, office supplies, 

telecommunications (in accordance with the Office 

of Science and Technology Policy (OSTP) National 

Plan for Telecommunications Support in NonWartime Emergencies), contracting services, 

transportation services (in coordination with ESF #1 

– Transportation), security services, and personnel 

required to support immediate response activities. 

ESF #7 provides support for requirements not 

specifically identified in other ESFs, including 

excess and surplus property. Resource support may 

continue until the disposition of excess and surplus 

property, if any, is completed. 

Policies 

 Upon implementation of the National Response 

Plan (NRP), the Resource Support agencies 

provide operational assistance to the affected 

areas. 

 Support agencies furnish resources to help meet 

ESF #7 requirements, including procurement 

personnel necessary to establish operations 

effectively at the headquarters and regional 

levels. Such support is terminated at the earliest 

practical time. 

 Equipment and supplies are provided from 

current Federal stocks or, if necessary, from 

commercial sources. ESF #7 does not stockpile 

supplies. 

 All General Services Administration (GSA) 

support is provided through ESF #7. 
ESF #7-2 ESF #7 – Resource Support Annex December 2004 

 National Response Plan 

 All procurement is supported by a written 

justification in accordance with current Federal 

laws and regulations, which, when necessary, 

authorize other than “full and open 

competition.” GSA is the central procurement 

authority for the Federal Government. All 

procurement actions made at the request of 

Federal agencies in support of the NRP are in 

accordance with GSA’s statutory and 

administrative requirements and use the 

appropriate fund citation/reimbursement 

procedures. These procedures are described in 

the GSA/Federal Emergency Management 

Agency (FEMA) Memorandum of 

Understanding, dated February 2, 1989. 

 ESF #7 provides the operational support needed 

to establish the response capacity of Federal 

agencies. 

Concept of Operations

General 

Nationwide Resource Support capabilities are 

channeled through the DHS National Response 

Coordination Center (NRCC), the Regional 

Response Coordination Centers (RRCCs), or the 

Joint Field Office (JFO). The primary determination 

of resource needs is made by operational elements at 

the regional level. Requests for resources flow 

upward and are tracked at the headquarters level. 

Existing Federal resources provide the primary 

source of personnel, equipment, materials, and 

supplies. Support that cannot be provided from 

Federal resources is secured through direct 

procurement or donations. 

Organization 

Headquarters-Level Response Support Structure 

 The Federal headquarters-level ESF #7 operates 

under the direction of the GSA Emergency 

Coordinator (EC). 

 ESF #7 support operations are coordinated 

through the GSA EC in the Central Office, 

Washington, DC. 

 Upon notification of a potential or actual 

Incident of National Significance requiring 

resource support, the GSA EC makes an initial 

determination of which ESF #7 support agencies 

are required to provide immediate support and 

which are required to remain on standby. 

 The EC represents ESF #7 in its interaction with 

the Interagency Incident Management Group 

and maintains liaison with the regional ESF #7 

and other interested parties. 

 GSA Central Office provides administrative 

support to ESF #7. 

Regional-Level Response Structure 

 The GSA Regional Administrator (RA), 

Regional Emergency Coordinator (REC), or 

Deputy REC (DREC) is the regional ESF #7 

leader. 

 The GSA RA, REC, or DREC provides a team 

that may consist of one or more of the following: 

a Federal Emergency Support Coordinator 

and/or team leader, contracting officer, 

telecommunications specialist, and real 

estate/leasing specialist, if needed, to coordinate 

the provision of ESF #7 support at the RRCC or 

JFO. 

 The regional ESF #7 leader, along with a real 

estate/leasing specialist and a DHS 

representative, determines the location of the 

JFO in conjunction with the affected State/tribal 

representative. 

 Support agencies provide representatives at the 

JFO on a 24-hour (12-hour shift) basis for the 

duration of the emergency response period, if 

required. 
December 2004 ESF #7 – Resource Support Annex ESF #7-3 

 National Response Plan 

 For an incident affecting a multistate area, one 

location may be chosen as a consolidation point 

for all Resource Support activities. The location 

must enhance support to all affected States and 

ensure coordination with other ESFs. The 

location is determined in concert with DHS and 

other ESFs during the planning process. 

Actions 

Initial Actions 

Headquarters: Upon notification of a potential or 

actual incident: 

 The GSA EC or an authorized representative, 

within 2 hours after notification, alerts the 

headquarters and regional ESF points of contact 

as required, ensuring that all internal GSA 

parties are fully informed of developments; 

 The GSA EC alerts supporting agencies, as 

required; 

 The GSA EC provides support to Federal 

agencies engaged in the incident response as 

requirements are identified; and 

 The GSA EC assists in establishing and 

managing mobilization center(s). 

Region 

 The REC or DREC assumes control of ESF #7 

operations in the affected regions. 

 The REC or DREC provides the following 

support as necessary: 

 Deploys a representative to the RRCC; 

 Deploys a team to the State emergency 

operations center as part of the Advance 

Element of the Emergency Response Team 

or, if circumstances dictate, the team may 

deploy to an Interim Operating Facility, the 

disaster site, or another location as specified 

by DHS; 

 Ensures that a suitable JFO facility, using 

pre-identified locations where applicable, is 

acquired and ready to occupy within 72 

hours of receiving DHS requirements and/or 

DHS acceptance of the space; and 

 Provides support in acquiring 

communications, office furniture, 

equipment, and supplies to equip the JFO. 

Continuing Actions 

Using the following procedures, ESF #7 provides, 

controls, and accounts for goods and services. 

 Upon notification of space requirements, ESF #7 

determines, through the regional GSA Public 

Building Service (PBS), the availability of 

suitable space in federally owned or leased 

buildings. 

 When space in federally owned or leased 

buildings is not available or acceptable, the 

DHS/Emergency Preparedness and Response/ 

FEMA (DHS/EPR/FEMA) Regional Director or 

Federal Coordinating Officer (FCO) is notified. 

The ESF continues to work with the regional 

PBS to assist in locating suitable space 

elsewhere. 

 Communications support is provided in 

accordance with the OSTP National Plan for 

Telecommunications Support in Non-Wartime 

Emergencies. 

 Contracting support is provided to ESF #1 – 

Transportation, as required. 

 Motor equipment is provided and coordinated 

with ESF #1 – Transportation, from the 

following sources: 

 Equipment owned by Federal agencies that 

is reassigned to the Federal operation; 

 Federal supply schedule contractors; and 

 Other commercial sources. 

 All required office furniture and equipment is 

provided from Federal inventories or 

commercial sources. 
ESF #7-4 ESF #7 – Resource Support Annex December 2004 

 National Response Plan 

 Office supplies and other expendables are 

provided from Federal stores, supply centers, 

stock, or other government and commercial 

sources. Small businesses and vendors in the 

affected area are used whenever possible. 

 Procurement support is provided using GSA and 

other agencies’ contracting resources as 

required. 

 ESF #7 makes available technical advisors (e.g., 

procurement, storage, transportation, and 

engineering advisory services specialists) in 

connection with damage surveys, appraisals, and 

building demolitions or repairs. 

 ESF #7 determines the availability of and 

provides supplies stocked in distribution 

facilities, the national defense stockpile, and 

customer supply centers if available. 

 ESF #7, in coordination with ESF #13 – Public 

Safety and Security, contracts for guard service 

in coordination with DHS/Federal Protective 

Service to support all Federal agencies 

coordinating response and recovery activities. 

 In addition to the above, ESF #7 loans excess 

Federal personal property and provides other 

services as requested by the FCO. 

Responsibilities 

Primary Agency: GSA 

The GSA EC is responsible for providing, directing, 

and coordinating ESF #7 operations. 

The GSA REC is responsible for coordinating the 

following: 

 Locating, procuring, and issuing resources to 

other Federal agencies for use in emergency 

operations necessary to support the Federal 

emergency response or to promote public safety; 

 Coordinating the transfer of excess Federal 

personal property and assisting in its disposal 

when requested; 

 Locating and coordinating the use of available 

space for incident management activities; 

 Coordinating and determining the availability 

and provision of consumable nonedible supplies 

stocked in distribution facilities and customer 

supply centers when available; 

 Procuring required stocks from vendors or 

suppliers when GSA items are not available; 

 Coordinating the procurement of 

communications equipment and services in 

accordance with the OSTP National Plan for 

Telecommunications Support in Non-Wartime 

Emergencies; 

 Providing support to the GSA Regional 

Administrator for all Resource Support 

activities; 

 Providing contract guard service via Federal 

Supply Schedules to protect Government 

property and assets in support of response and 

recovery activities; and 

 Establishing and managing mobilization 

center(s) when mission assigned by 

DHS/EPR/FEMA. 
December 2004 ESF #7 – Resource Support Annex ESF #7-5 

 National Response Plan 

Support Agencies 

Agency Responsibilities 

Department of 

Agriculture/Forest Service 

 Provides the staff and support for mobilization centers when mission 

assigned by DHS/EPR/FEMA. 

 Provides assistance related to transportation and accountability of 

commodities at the mobilization centers. 

Department of Commerce The Interagency Committee on Seismic Safety in Construction/Building and 

Fire Research Laboratory of the National Institute of Standards and Technology 

provides technical expertise on structural surveys as well as the procurement of 

external consulting services. This procedure is necessary to assess the structural 

and fire safety of Federal and non-Federal damaged buildings and lifelines (e.g., 

public works and utilities). 

Department of Energy In accordance with ESF #12 – Energy, coordinates with energy industries to 

assist in satisfying critical fuel, lubricant, and electrical power needs unable to 

be met by State, local, tribal, or Federal resources or actions. 

 Acts as liaison to provide logistical support to Federal, State, local, and 

tribal governments. 

 Provides Contracting Officers Technical Representatives from the RRCC, 

Emergency Response Team (ERT), or NRCC Logistics or Operations 

Section for all ESF #7-executed procurement contracts as appropriate. 

 Provides an Accountable Property Officer to ensure compliance with 

property management regulations and assume responsibility for Federal 

property management associated with ERT missions and general operations.

Department of Homeland 

Security 

Information Analysis and Infrastructure Protection Directorate/National 

Communications System: In accordance with ESF #2 – Communications, 

assists in coordinating the provision of commercial telecommunications assets 

within the incident area as appropriate. 

Department of Labor Provides technical personnel to assist in the identification and recruitment of 

individuals with specialized occupations needed to support incident response 

operations. The Job Corps at the regional level provides students and 

instructors capable of providing support. The Mine Safety and Health 

Administration provides engineering services to determine the cause or location 

of an event, performs structural integrity analysis, and recommends hazard 

mitigation. 

Department of 

Transportation 

In accordance with ESF #1, determines requirements, locations, and schedules 

for the movement of emergency supplies into and within the affected area. 

Department of Veterans 

Affairs 

 Provides technical assistance to identify and procure medical supplies and 

other medical services. 

 Provides personnel knowledgeable in Federal procurement and distribution 

operations. 

 Provides computer support operations as appropriate. 
ESF #7-6 ESF #7 – Resource Support Annex December 2004 

 National Response Plan 

Agency Responsibilities 

National Aeronautics and 

Space Administration 

Provides available space, buildings, airports, and telecommunications as may be 

required for emergency support operations. 

Office of Personnel 

Management 

Identifies, locates, and, if necessary, recruits personnel needed to support 

incident operations after appropriate coordination with GSA. 
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-1 

 National Response Plan 

Emergency Support Function #8 – Public Health and Medical Services Annex

ESF Coordinator: 

Department of Health and Human Services 

Primary Agency: 

Department of Health and Human Services 

Support Agencies: 

Department of Agriculture 

Department of Defense 

Department of Energy 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of State 

Department of Transportation 

Department of Veterans Affairs 

Environmental Protection Agency 

General Services Administration 

U.S. Agency for International Development 

U.S. Postal Service 

American Red Cross 

Introduction

Purpose 

Emergency Support Function (ESF) #8 – Public 

Health and Medical Services provides the 

mechanism for coordinated Federal assistance to 

supplement State, local, and tribal resources in 

response to public health and medical care needs (to 

include veterinary and/or animal health issues when 

appropriate) for potential or actual Incidents of 

National Significance and/or during a developing 

potential health and medical situation. ESF #8 is 

coordinated by the Secretary of the Department of 

Health and Human Services (HHS) principally 

through the Assistant Secretary for Public Health 

Emergency Preparedness (ASPHEP). ESF #8 

resources can be activated through the Robert T. 

Stafford Act or the Public Health Service Act 

(pending the availability of funds) for the purposes 

of Federal-to-Federal support or in accordance with 

the memorandum for Federal mutual aid included in 

the National Response Plan (NRP) Financial 

Management Support Annex. 

Scope 

 ESF #8 provides supplemental assistance to 

State, local, and tribal governments in 

identifying and meeting the public health and 

medical needs of victims of an Incident of 

National Significance. This support is 

categorized in the following core functional 

areas: 

 Assessment of public health/medical needs 

(including behavioral health); 

 Public health surveillance; 

 Medical care personnel; and 

 Medical equipment and supplies. 
ESF #8-2 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

 As the primary agency for ESF #8, HHS 

coordinates the provision of Federal health and 

medical assistance to fulfill the requirements 

identified by the affected State, local, and tribal 

authorities. ESF #8 uses resources primarily 

available from: 

 HHS, including the Operating Divisions and 

Regional Offices; 

 The Department of Homeland Security 

(DHS); and 

 Other ESF #8 support agencies and 

organizations. 

Policies 

 The Secretary of HHS, through the ASPHEP, 

coordinates national ESF #8 preparedness, 

response, and recovery actions. These actions 

do not alter or impede the existing authorities of 

any department or agency supporting ESF #8. 

 HHS coordinates all ESF #8 response actions 

consistent with HHS’s internal policies and 

procedures (e.g., HHS Concept of Operations 

Plan for Public Health and Medical 

Emergencies, March 2004). 

 Each ESF #8 organization is responsible for 

managing its respective response assets after 

receiving coordinating instructions from HHS. 

 The HHS Secretary’s Operations Center (SOC) 

facilitates the coordination of the overall 

national ESF #8 response. During ESF #8 

activations, the SOC maintains frequent 

communications with the DHS Homeland 

Security Operations Center. 

 All headquarters and regional organizations 

(including those involved in other ESFs) 

participating in response operations report public 

health and medical requirements to their 

counterpart level (headquarters or regional) of 

ESF #8. 

 The primary Joint Information Center (JIC), 

established in support of the NRP, is authorized 

to release general medical and public health 

response information to the public after 

consultation with HHS. When possible, a 

recognized spokesperson from the public health 

and medical community (local, State, or Federal) 

delivers relevant community messages. 

Other JICs may also may release general 

medical and public health response information 

at the discretion of the lead Public Affairs 

Officer, after consultation with HHS. To ensure 

patient confidentiality, the release of medical 

information by ESF #8 is in accordance with the 

Health Insurance Portability and Accountability 

Act. Inquiries about patients are managed by 

HHS Public Affairs Officers in coordination 

with DHS. (See the ESF #15 – External Affairs 

Annex for more details.) 

 In the event of a zoonotic disease outbreak, or in 

coordination with ESF #11 – Agriculture and 

Natural Resources during an animal disease 

outbreak, public information may be released 

after consultation with the Department of 

Agriculture (USDA). 

 As the primary agency for ESF #8, HHS 

determines the appropriateness of all requests 

for public health and medical information. 

 HHS, as the primary agency for ESF #8, is 

responsible for consulting with and organizing 

Federal public health and medical subject-matter 

experts, as needed. 
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-3 

 National Response Plan 

Concept of Operations

General 

 Upon notification, the ASPHEP alerts identified 

HHS personnel to represent ESF #8, as required, 

on the: 

 National Response Coordination Center 

(NRCC); 

 Interagency Incident Management Group 

(IIMG); 

 Regional Response Coordination Center 

(RRCC)/Joint Field Office (JFO); 

 National Emergency Response Team; 

 Emergency Response Team–Advance 

Element (ERT-A); and 

 JIC. 

The ASPHEP may request ESF #8 support 

agencies to provide liaison requirements if HHS 

personnel are not available. 

 HHS notifies and requests all support 

organizations to participate in headquarters 

coordination activities. As appropriate, 

supporting agencies and organizations are 

requested to provide liaisons to the HHS 

headquarters command location. Personnel 

representing an ESF #8 organization are 

expected to have extensive knowledge of the 

resources and capabilities of their respective 

organization and have access to the appropriate 

authority for committing such resources during 

the activation. 

 The headquarters ESF #8 staff provides liaison 

and communications support to regional ESF #8 

groups to facilitate direct communications. 

Headquarters ESF #8 personnel are deployed as 

necessary to assist regional ESF #8 personnel in 

establishing and maintaining effective 

coordination within the impacted area. 

 ESF #8 coordinates with the appropriate State, 

local, and tribal medical and public health 

officials and organizations to determine current 

medical and public health assistance 

requirements. 

 The regional ESF #8 is assisted by designated 

Federal department entities for risk analysis, 

evaluation, and support. 

 During the response period, HHS has primary 

responsibility for the evaluation and analysis of 

public health and medical assistance, and 

develops and updates assessments of medical 

and public health status. 

 In the early stages of an incident, it may not be 

possible to fully assess the situation and verify 

the level of assistance required. In such 

circumstances, HHS may provide assistance 

under its own statutory authorities. In these 

cases, every reasonable attempt is made to verify 

the need before providing assistance. 

Organization 

Headquarters 

 ESF #8, when activated, is coordinated by the 

ASPHEP. Once activated, headquarters ESF #8 

is coordinated by HHS through the SOC. 

During the initial activation, HHS convenes a 

conference call with the appropriate 

organizations, and public health and medical 

representatives from State and tribal 

governments, to discuss the situation and 

determine the appropriate response actions. 

 HHS alerts and requests supporting 

organizations to provide a representative to the 

IIMG (if required), NRCC, and SOC, or to 

provide a representative who is immediately 

available via telecommunications (e.g., 

telephone, conference calls) to provide support. 

 Public health and medical subject-matter experts 

from HHS and ESF #8 organizations are 

consulted as needed. 
ESF #8-4 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

Regional 

 HHS coordinates ESF #8 field response 

activities according to internal policies and 

procedures. 

 HHS may designate a senior official to 

participate as a Senior Federal Official in the 

JFO Coordination Group at the field level. 

 Regional ESF #8 maintains representatives to 

rapidly deploy, with the ERT-A, to the affected 

State’s emergency operations center or other 

designated location. 

 The regional ESF #8 includes representative(s) 

on-site or available by telephone or radio at the 

RRCC and/or JFO, as required by the Federal 

Coordinating Officer, Federal Resource 

Coordinator, or Principal Federal Official, on a 

24-hour basis for the duration of the incident. 

Actions: Initial Actions 

The HHS SOC enhances staffing immediately on 

notification of an actual or potential public health or 

medical emergency. (See the Biological Incident 

Annex for more details.) 

Upon notification of activation for a potential or 

actual Incident of National Significance by the 

NRCC, HHS consults with the appropriate ESF #8 

organizations to determine the need for assistance 

according to the functional areas listed below. 

 Assessment of Public Health/Medical Needs: 

HHS, in collaboration with DHS, mobilizes and 

deploys ESF #8 personnel to support the ERT-A 

to assess public health and medical needs. This 

function includes the assessment of the public 

health care system/facility infrastructure. 

 Health Surveillance: HHS, in coordination 

with State health agencies, enhances existing 

surveillance systems to monitor the health of the 

general population and special high-risk 

populations, carry out field studies and 

investigations, monitor injury and disease 

patterns and potential disease outbreaks, and 

provide technical assistance and consultations on 

disease and injury prevention and precautions. 

 Medical Care Personnel 

 Immediate medical response capabilities are 

provided by assets internal to HHS (e.g., 

U.S. Public Health Service Commissioned 

Corps) and from ESF #8 supporting 

organizations (e.g., National Disaster 

Medical System (NDMS)). 

 The Department of Defense (DOD) may be 

requested to provide support in casualty 

clearing/staging and other missions as 

needed. 

 HHS may seek individual clinical health and 

medical care specialists from the 

Department of Veterans Affairs (VA) to 

assist State, local, and tribal personnel. 

 Health/Medical Equipment and Supplies: In 

addition to deploying assets from the Strategic 

National Stockpile (SNS), HHS may request 

DHS, DOD, or the VA to provide medical 

equipment and supplies, including medical, 

diagnostic, and radiation-emitting devices, 

pharmaceuticals, and biologic products in 

support of immediate medical response 

operations and for restocking health care 

facilities in an area affected by a major disaster 

or emergency. 

 Patient Evacuation 

 At the request of HHS, DOD coordinates 

with ESF #1 – Transportation to provide 

support for the evacuation of seriously ill or 

injured patients to locations where hospital 

care or outpatient services are available. 

 DOD is responsible for regulating and 

tracking patients transported on DOD assets 

to appropriate treatment facilities (e.g., 

NDMS non-Federal hospitals).1

 Patient Care: HHS may task its components 

and the Medical Reserve Corps, and request the 

VA, DOD, and DHS to provide available 

 

1 Consistent with the timelines outlined in the NRP Implementation 

Guidance, the NDMS partner organizations (DHS, HHS, DOD, and VA) 

will develop policies and procedures for the network of non-Federal 

NDMS hospitals (e.g., contracting, payment source and amount, and 

claims processing).
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-5 

 National Response Plan 

personnel to support inpatient hospital care and 

outpatient services to victims who become 

seriously ill or injured regardless of location 

(which may include mass care shelters). 

 Safety and Security of Human Drugs, 

Biologics, Medical Devices, and Veterinary 

Drugs, etc.: HHS may task its components to 

ensure the safety, efficacy, and advise industry 

on security measures of regulated human and 

veterinary drugs, biologics (including blood and 

vaccines), medical devices (including radiation 

emitting and screening devices), and other HHS 

regulated products. 

 Blood and Blood Products: HHS monitors 

blood availability and maintains contact with the 

American Association of Blood Banks Interorganizational Task Force on Domestic 

Disasters and Acts of Terrorism and, as 

necessary, its individual members, to determine: 

 The need for blood, blood products, and the 

supplies used in their manufacture, testing, 

and storage; 

 The ability of existing supply chain 

resources to meet these needs; and 

 Any emergency measures needed to 

augment or replenish existing supplies. 

 Food Safety and Security: HHS, in 

cooperation with ESF #11, may task its 

components to ensure the safety and security of 

federally regulated foods. (Note: HHS, through 

the Food and Drug Administration (FDA), has 

statutory authority for all domestic and imported 

food except meat, poultry, and egg products, 

which are under the authority of the USDA/Food 

Safety and Inspection Service.) 

 Agriculture Safety and Security: HHS, in 

coordination with ESF #11, may task its 

components to ensure the safety and security of 

food-producing animals, animal feed, and 

therapeutics. (Note: HHS, through the FDA, 

has statutory authority for animal feed and for 

the approval of animal drugs intended for both 

therapeutic and nontherapeutic use in food 

animals as well as companion animals.) 

 Worker Health/Safety 

 HHS may request the Department of 

Labor/Occupational Safety and Health 

Administration (DOL/OSHA) to implement 

the processes in the Worker Safety and 

Health Support Annex to provide technical 

assistance for worker safety and health. 

 HHS may task its components and request 

support from DOL and other cooperating 

agencies, as needed, to assist in monitoring 

the health and well-being of emergency 

workers; performing field investigations and 

studies addressing worker health and safety 

issues; and providing technical assistance 

and consultation on worker health and safety 

measures and precautions. 

 All-Hazard Public Health and Medical 

Consultation, Technical Assistance, and 

Support: HHS may task its components to 

assist in assessing public health and medical 

effects resulting from all hazards. Such tasks 

may include assessing exposures on the general 

population and on high-risk population groups; 

conducting field investigations, including 

collection and analysis of relevant samples; 

providing advice on protective actions related to 

direct human and animal exposures, and on 

indirect exposure through contaminated food, 

drugs, water supply, and other media; and 

providing technical assistance and consultation 

on medical treatment, screening, and 

decontamination of injured or contaminated 

individuals. While State and local governments 

retain primary responsibility for victim 

screening and decontamination, ESF #8 can, at 

the request of a State or another Federal agency, 

deploy teams with limited capabilities for victim 

decontamination (e.g., NDMS, or DOE 

assistance for nuclear/radiological incidents). 

These teams typically arrive on scene within 24-

48 hours. 

 Behavioral Health Care: HHS may task its 

components to assist in assessing mental health 

and substance abuse needs; providing disaster 

mental health training materials for workers; 

providing liaison with assessment, training, and 

program development activities undertaken by 
ESF #8-6 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

Federal, State, local, and tribal mental health and 

substance abuse officials; and providing 

additional consultation as needed. 

 Public Health and Medical Information: 

HHS may task its components to provide public 

health, disease, and injury prevention 

information that can be transmitted to members 

of the general public who are located in or near 

areas affected. 

 Vector Control: HHS may task its components 

and request assistance from other ESF #8 

organizations, as appropriate, to assist in 

assessing the threat of vector-borne diseases; 

conducting field investigations, including the 

collection and laboratory analysis of relevant 

samples; providing vector control equipment and 

supplies; providing technical assistance and 

consultation on protective actions regarding 

vector-borne diseases; and providing technical 

assistance and consultation on medical treatment 

of victims of vector-borne diseases. 

 Potable Water/Wastewater and Solid Waste 

Disposal: HHS, in coordination with ESF #3 – 

Public Works and Engineering and #10 – Oil 

and Hazardous Materials Response as 

appropriate, may task its components, and 

request assistance from other ESF #8 

organizations as appropriate, to assist in 

assessing potable water, wastewater, solid waste 

disposal issues, and other environmental health 

issues; conducting field investigations, including 

collection and laboratory analysis of relevant 

samples; providing water purification and 

wastewater/solid waste disposal equipment and 

supplies; and providing technical assistance and 

consultation on potable water and 

wastewater/solid waste disposal issues. 

 Victim Identification/Mortuary Services: 

HHS may request DHS and DOD to assist in 

providing victim identification and mortuary 

services; establishing temporary morgue 

facilities; performing victim identification by 

fingerprint, forensic dental, and/or forensic 

pathology/anthropology methods; and 

processing, preparation, and disposition of 

remains. 

 Protection of Animal Health: HHS, in 

coordination with ESF #11, protects the health 

of livestock and companion animals by ensuring 

the safety of the manufacture and distribution of 

foods and drugs given to animals used for 

human food production, as well as companion 

animals. 

Actions: Continuing Actions 

Headquarters 

ESF #8 continuously acquires and assesses 

information on the incident. The staff continues to 

identify the nature and extent of public health and 

medical problems, and establishes appropriate 

monitoring and public surveillance. Other sources 

of information may include: 

 ESF #8 support agencies and organizations; 

 Various Federal officials in the incident area; 

 State health, agricultural, or animal health 

officials; 

 State emergency medical services authorities; 

 Tribal officials; 

 State incident management authorities; and 

 Officials of the responsible jurisdiction in charge 

of the disaster scene. 

Because of the potential complexity of the public 

health and medical response, conditions may require 

ESF #8 subject-matter experts to review public 

health and medical information and advise on 

specific strategies to manage and respond to a 

specific situation most appropriately. 

 Activation of Health/Medical Response 

Teams: Assets internal to HHS are deployed 

directly as part of the ESF #8 response. Public 

health and medical personnel and teams 

provided by ESF #8 organizations are requested 

by HHS and deployed by the respective 

organizations to provide appropriate public 

health and medical assistance. 
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-7 

 National Response Plan 

 Coordination of Requests for Medical 

Transportation: In a major public health or 

medical emergency, local transportation assets 

may not be sufficient to meet the demand. State 

or tribal requests for Federal medical 

transportation assistance are executed by ESF #8 

in coordination with ESF #1. 

 Coordination for Obtaining, Assembling, and 

Delivering Medical Equipment and Supplies 

to the Incident Area: Representatives of HHS, 

DHS, VA, DOD, Department of Transportation 

(DOT), and General Services Administration 

(GSA) coordinate arrangements for the 

procurement and transportation of medical 

equipment and supplies. 

 Communications: ESF #8 establishes 

communications necessary to coordinate Federal 

public health and medical assistance effectively. 

 Information Requests: Requests for 

information may be received at ESF #8 from 

various sources, such as the media and the 

general public, and are referred to ESF #15 for 

action and response. 

 After-Action Reports: HHS, on completion of 

the incident, prepares a summary after-action 

report. The after-action report identifies key 

problems, indicates how they were solved, and 

makes recommendations for improving response 

operations. ESF #8 organizations assist in the 

preparation of the after-action report. 

Responsibilities 

Primary Agency: HHS 

 Provides leadership in coordinating and 

integrating overall Federal efforts to provide 

public health and medical assistance to the 

affected area. 

 Coordinates the staffing of the HHS 

headquarters national ESF #8 group as necessary 

to support the response operations. 

 Requests appropriate ESF #8 organizations to 

activate and deploy health and medical 

personnel, equipment, and supplies in response 

to requests for Federal public health and medical 

assistance. 

 Uses HHS personnel (U.S. Public Health 

Service Commissioned Corps) to address public 

health and medical needs, and augment with 

assets from ESF #8 partner organizations. 

 Assists and supports State, local, and tribal 

governments in performing monitoring for 

internal contamination and administering 

pharmaceuticals for internal decontamination as 

deemed necessary by State health officials. 

 Assists local and State health departments in 

establishing a registry of potentially exposed 

individuals, performing dose reconstruction, and 

conducting long-term monitoring of this 

population for potential long-term health effects. 

 Monitors blood and blood product shortages and 

reserves with the coordination of the American 

Association of Blood Banks InterOrganizational Task Force on Domestic 

Disasters and Acts of Terrorism. 

 Evaluates State requests for deployment or predeployment of the SNS based upon relevant 

threat information. 

 Coordinates with other primary and supporting 

departments, agencies, and governments 

throughout the incident. 

 Assures the safety and security of food in 

coordination with other responsible Federal 

agencies (e.g., USDA). (Note: HHS, through 

the FDA, has statutory authority for all domestic 

and imported food except meat, poultry, and egg 

products, which are under the authority of 

USDA/Food Safety and Inspection Service.) 
ESF #8-8 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

 In cooperation with State and local authorities, 

assesses whether food facilities in the affected 

area are able to provide safe and secure food. 

 In cooperation with State and local authorities as 

well as the food industry, conduct tracebacks or 

recalls of adulterated products. 

 In cooperation with Federal, State, and local 

authorities, ensure the proper disposal of 

contaminated products and the decontamination 

of affected food facilities in order to protect 

public health. 

 Provides support for public health matters for 

radiological incidents as a member of the 

Advisory Team for Environment, Food, and 

Health. 

Support Agencies 

Agency Functions 

Department of Agriculture  Provides appropriate personnel, equipment, and supplies, coordinated 

through ESF #4 – Firefighting or the Branch Chief, Disaster and Emergency 

Operations, Fire and Aviation Management Office in Washington, DC. 

This support is primarily for communications aircraft and the establishment 

of base camps for deployed Federal health and medical teams. 

 Provides support for public health matters for radiological incidents as a 

member of the Advisory Team for Environment, Food, and Health. 

USDA also supports a multiagency response to a domestic incident through: 

 Provision of nutrition assistance; 

 Control and eradication of an outbreak of a highly contagious or an 

economically devastating animal disease; 

 Assurance of food safety, and security, in coordination with other 

responsible Federal agencies, or any combination of these requirements; 

and 

 Provision of appropriate personnel, equipment, and supplies, coordinated 

through the Animal and Plant Health Inspection Service Emergency 

Management Operations Center. Support is primarily for coordination of 

animal issues such as disposal of animal carcasses, protection of livestock 

health, and zoonotic diseases associated with livestock. 
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-9 

 National Response Plan 

Agency Functions 

 Alerts DOD NDMS Federal Coordinating Centers (FCCs) (Army, Navy, 

Air Force) and provides specific reporting/regulating instructions to support 

incident relief efforts. 

 Alerts DOD NDMS FCCs to activate NDMS patient reception plans in a 

phased, regional approach, and when appropriate, in a national approach. 

 At the request of HHS, DOD coordinates with ESF #1 to provide support 

for the evacuation of seriously ill or injured patients to locations where 

hospital care or outpatient services are available. 

 Using available DOD transportation resources, in coordination with the 

NDMS Medical Interagency Coordination Group (MIACG), evacuates and 

manages victims/patients from the patient collection point in or near the 

incident site to NDMS patient reception areas. 

 Provides available logistical support to health/medical response operations. 

 Provides available medical personnel for casualty clearing/staging and other 

missions as needed including aero-medical evacuation and medical 

treatment. Mobilizes and deploys available Reserve and National Guard 

medical units, when authorized and necessary to provide support. 

 Coordinates patient reception, tracking, and management to nearby NDMS 

non-Federal hospitals, VA hospitals, and DOD military treatment facilities 

that are available and can provide appropriate care. 

 Provides available military medical personnel to assist HHS in the 

protection of public health (such as food, water, wastewater, solid waste 

disposal, vectors, hygiene, and other environmental conditions). 

 Provides available DOD medical supplies for distribution to mass care 

centers and medical care locations being operated for incident victims with 

reimbursement to DOD. 

 Provides available emergency medical support to assist State, local, and 

tribal governments within the disaster area and the surrounding vicinity. 

Such services may include triage, medical treatment, mental health support, 

and the use of surviving DOD medical facilities within or near the incident 

area. 

 Provides assistance in managing human remains, including victim 

identification and mortuary affairs. 

 Provides evaluation and risk management support through use of Defense 

Coordinating Officers, Emergency Preparedness Liaison Officers, and Joint 

Regional Medical Planners. 

 Provides available blood products in coordination with HHS. 

 Provides DOD confirmatory laboratory testing support in coordination with 

HHS. 

Department of Defense 

U.S. Army Corps of Engineers: Through ESF #3 – Public Works and 

Engineering, provides technical assistance, equipment, and supplies as required 

in support of HHS to accomplish temporary restoration of damaged public 

utilities affecting public health. 
ESF #8-10 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

Agency Functions 

 Coordinates Federal assets for external monitoring and decontamination 

activities for radiological emergencies pursuant to criteria established by the 

State(s) in conjunction with HHS. 

 Provides, in cooperation with other Federal and State agencies, personnel 

and equipment, including portal monitors, to support initial screening and 

provides advice and assistance to State and local personnel conducting 

screening/decontamination of persons leaving a contaminated zone. 

Through the Radiological Assistance Program: 

 Provides regional resources (personnel, specialized equipment, and 

supplies) to evaluate, control, and mitigate radiological hazards to workers 

and the public; 

 Provides limited assistance in the decontamination of victims; and 

 Assists State, local, and tribal authorities in the monitoring and surveillance 

of the incident area. 

Through the National Atmospheric Release Advisory Capability, provides 

near real-time transport, dispersion, and dose predictions of atmospheric 

releases of radioactive and hazardous materials that may be used by authorities 

in taking protective actions related to sheltering and evacuation of people. 

Department of Energy 

Through the Federal Radiological Monitoring and Assessment Center 

(FRMAC), assists health and medical authorities in determining radiological 

dose information; assists in providing coordinated gathering of environmental 

radiological information and data; assists with consolidated data sample 

analyses, evaluations, assessments, and interpretations; and provides technical 

information. 

Department of Homeland 

Security 

 As requested by HHS, directs the activation of NDMS as necessary to 

support incident response operations. Requests ESF #8 support from HHS, 

VA, and DOD to coordinate NDMS operations. 

 As requested by HHS, activates and deploys NDMS health/medical 

personnel, equipment, and supplies in a phased regional approach, and 

coordinates the provision of hospital care and outpatient services, veterinary 

services, and mortuary services through NDMS. 

 In coordination with HHS, activates the NDMS MIACG, composed of 

NDMS partner representatives (DHS, DOD, VA, and HHS), to support 

placement of victims/patients in NDMS hospitals for care. 

 Coordinates NDMS to assist in establishing priorities with HHS for 

application of health and medical support, including veterinary and 

mortuary services. 

 Provides communications support in coordination with ESF #2 – 

Communications. 

 Assists in providing information/liaison with emergency management 

officials in NDMS FCC areas. 

 Provides logistics support as appropriate. 
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-11 

 National Response Plan 

Agency Functions 

 Through ESF #1, identifies and arranges for use of U.S. Coast Guard 

aircraft and other assets in providing urgent airlift and other transportation 

support. 

 Directs the Nuclear Incident Response Team (NIRT) when activated and 

ensures coordination of NIRT activities with the ESF primary agency and 

designated coordinating agency under the Nuclear/Radiological Incident 

Annex. 

 The Interagency Modeling and Atmospheric Assessment Center (IMAAC) 

provides predictions of hazards associated with atmospheric releases for use 

in emergency response. The IMAAC provides a single point for the 

coordination and dissemination of Federal dispersion modeling and hazard 

prediction products that represent the Federal position during an Incident of 

National Significance. 

Department of Homeland 

Security (Continued) 

Border and Transportation Security Directorate/Customs and Border 

Protection: Provides enforcement of international quarantines. 

Department of Justice (DOJ)  Assists in victim identification, coordinated through the Federal Bureau of 

Investigation (FBI). 

 Provides State, local, and tribal governments with legal advice concerning 

identification of the dead. 

 Provides HHS with relevant information of any credible threat or other 

situation that could potentially threaten public health. This support is 

coordinated through FBI Headquarters. 

 Provides communication, transportation, and other logistical support to the 

extent possible. This support is provided through the FBI. 

 Provides security for the SNS and quarantine enforcement assistance, if 

required. 

Department of Labor  Coordinates the safety and health assets of cooperating agencies and the 

private sector to provide technical assistance and conduct worker exposure 

assessment and responder and worker risk management within the Incident 

Command System. This assistance may include 24/7 site safety monitoring; 

worker exposure monitoring; health monitoring; sampling and analysis; 

development and oversight of the site-specific safety and health plan; and 

personal protective equipment selection, distribution, training, and 

respirator fit-testing. 

 Provides personnel and management support related to worker safety and 

health in field operations during ESF #8 deployments. 
ESF #8-12 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

Agency Functions 

Department of State  Coordinates international activities related to chemical, biological, 

radiological, and nuclear incidents and events that pose transborder threats. 

Assists in communicating real-time actions taken by the United States and 

U.S. projections of the international consequence of the event (e.g., disease 

spread, quarantine, isolation, travel restrictions, pharmaceutical supply and 

distribution, and displaced persons). 

 Assists with coordination with foreign states concerning offers of support, 

gifts, offerings, donations, or other aid. This includes establishing 

coordination with partner nations to identify the U.S.-validated immediate 

support in response to an Incident of National Significance. 

Department of 

Transportation 

 In collaboration with DOD, GSA, and other transportation-providing 

agencies, assists in identifying and arranging for all types of transportation, 

such as air, rail, marine, and motor vehicle. 

 At the request of HHS, provides patient movement assistance from DOT 

resources subject to DOT statutory requirements. 

 Coordinates with the Federal Aviation Administration for air traffic control 

support for priority missions. 

Department of Veterans 

Affairs 

Subject to the availability of resources and funding, and consistent with the VA 

mission to provide priority services to veterans, when requested, VA: 

 Coordinates with participating non-Federal NDMS hospitals to provide 

incident-related medical care to authorized NDMS beneficiaries affected by 

a major disaster or emergency; 

 Furnishes available VA hospital care and medical services to individuals 

responding to, involved in, or otherwise affected by a major disaster or 

emergency, including members of the Armed Forces on active duty; 

 Designates and deploys available medical, surgical, mental health, and other 

health service support assets; and 

 Provides a Medical Emergency Radiological Response Team for technical 

consultation on the medical management of injuries and illnesses due to 

exposure to or contamination by ionizing radiation. 

U.S. Agency for 

International Development, 

Office of Foreign Disaster 

Assistance 

Provides assistance in coordinating international offers for health/medical 

support. 
December 2004 ESF #8 – Public Health and Medical Services Annex ESF #8-13 

 National Response Plan 

Agency Functions 

Environmental Protection 

Agency 

 Provides technical assistance and environmental information for the 

assessment of the health/medical aspects of situations involving hazardous 

materials, including technical and policy assistance in matters involving 

drinking water supplies. 

 Provides support for public health matters for radiological incidents through 

the FRMAC and the Advisory Team for Environment, Food, and Health. 

 Assists in identifying alternate water supplies for critical care facilities. 

 Provides bio-surveillance, warning, and detection capabilities for the water 

sector. 

General Services 

Administration 

Provides facilities, equipment, supplies, and other logistical support, including 

contracting for private-sector ground and air transportation. 

U.S. Postal Service Assists in the distribution and transportation of medicine and pharmaceuticals 

and medical information to the general public affected by a major disaster or 

emergency as needed. 

American Red Cross  Provides emergency first aid, consisting of basic first aid and referral to 

appropriate medical personnel and facilities, supportive counseling, and 

health care for minor illnesses and injuries to incident victims in mass care 

shelters, the JFO, selected incident cleanup areas, and other sites deemed 

necessary by the primary agency. 

 Assists community health personnel subject to staff availability. 

 Provides supportive counseling for the family members of the dead, injured, 

and others affected by the incident. 

 Provides available personnel to assist in temporary infirmaries, 

immunization clinics, morgues, hospitals, and nursing homes. Assistance 

consists of administrative support, logistical support, or health services 

support within clearly defined boundaries. 

 Acquaints families with available health resources and services, and makes 

appropriate referrals. 

 At the request of HHS, coordinates with the American Association of Blood 

Banks Interorganizational Task Force on Domestic Disasters and Acts of 

Terrorism to provide blood products and services as needed through 

regional blood centers. 

 Provides coordination for uploading appropriate casualty/patient 

information from ESF #8 into the Disaster Welfare Information system. 

 Refers all concerns regarding animal health care, safety, or welfare to 

American Veterinary Medical Association contact(s) in the disaster area, as 

appropriate. These contact people are veterinarians affiliated with national, 

State, county, or local veterinary associations. 
ESF #8-14 ESF #8 – Public Health and Medical Services Annex December 2004 

 National Response Plan 

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December 2004 ESF #9 – Urban Search and Rescue Annex ESF #9-1 

 National Response Plan 

Emergency Support Function #9 – Urban Search and Rescue Annex

ESF Coordinator: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Primary Agency: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Health and Human Services 

Department of Homeland Security 

Department of Justice 

Department of Labor 

Department of Transportation 

National Aeronautics and Space Administration 

U.S. Agency for International Development 

Introduction

Purpose 

Emergency Support Function (ESF) #9 – Urban 

Search and Rescue (US&R) rapidly deploys 

components of the National US&R Response 

System to provide specialized life-saving assistance 

to State, local, and tribal authorities during an 

Incident of National Significance. US&R activities 

include locating, extricating, and providing onsite 

medical treatment to victims trapped in collapsed 

structures. 

Scope 

The National US&R Response System integrates 

US&R task forces, Joint Management Teams 

(JMTs), and technical specialists. 

 The system is built around a core of task forces 

prepared to deploy immediately and initiate 

operations in support of ESF #9. These task 

forces are staffed primarily by local fire 

department and emergency services personnel 

who are highly trained and experienced in 

collapsed structure search and rescue operations 

and possess specialized expertise and 

equipment. 

 JMTs provide coordination and logistical 

support to US&R task forces during emergency 

operations. They also conduct needs 

assessments and provide technical advice and 

assistance to State, local, and tribal government 

emergency managers. The JMTs are comprised 

of personnel from US&R task forces; Federal, 

State, local, and tribal government emergency 

response organizations; and private-sector 

organizations. 

 Technical specialists provide expertise in 

various US&R disciplines and are mobilized as 

needed. 

Policies 

 The National US&R Response System assists 

and augments State and local US&R 

capabilities. 

 Upon activation by the Department of Homeland 

Security (DHS) under the National Response 

Plan (NRP), US&R task forces are considered 

Federal assets under the Robert T. Stafford 

Disaster Relief and Emergency Assistance Act 

and other applicable authorities. 
ESF #9-2 ESF #9 – Urban Search and Rescue Annex December 2004 

 National Response Plan 

Concept of Operations 

General 

DHS/Emergency Preparedness and 

Response/Federal Emergency Management Agency 

(DHS/EPR/FEMA) may activate the National 

US&R Response System for any actual or potential 

Incident of National Significance likely to result in 

collapsed structures that may overwhelm existing 

State and local US&R resources. Activation is 

dependent upon the nature and magnitude of the 

event, the suddenness of onset, and the existence of 

US&R resources in the affected area. 

Organization 

Headquarters 

 The National US&R Response System consists 

of US&R task forces, JMTs, and technical 

specialists. 

 The core of the system is 28 task forces 

sponsored by State and local government 

emergency response organizations. 

 The US&R Response System is comprised 

of more than 5,000 individuals. 

 Each deployed task force is comprised of 70 

individuals organized into 35 positions (the 

task forces are 3-deep in total). 

 Positions are organized into seven functional 

teams (management, search, rescue, 

planning, logistics, medical, and hazardous 

materials (HAZMAT)) staffed to permit 24-

hour operations. 

 JMTs are organized, trained, and mobilized to: 

 Conduct a comprehensive US&R needs 

assessment; 

 Provide technical US&R assistance, support, 

and advice to Federal, State, local, and tribal 

officials; 

 Provide US&R management and 

coordination assistance and expertise to the 

National Response Coordination Center 

(NRCC) ESF #9 staff, the Emergency 

Response Team (ERT) ESF #9, and the 

Federal Coordinating Officer or Federal 

Resource Coordinator at the Joint Field 

Office; 

 Provide coordination of multiple task forces 

in the field under the direction of the ERT 

ESF #9 leader; and 

 Coordinate logistical support of deployed 

task forces beyond the initial 72-hour period 

of self-sufficiency with the Regional 

Response Coordination Center ERT, and 

NRCC Logistics Sections. 

 Task force and JMT resources may be 

supplemented with technical specialists in 

various US&R disciplines. When needed, 

technical specialists are mobilized by 

DHS/EPR/FEMA. (Note: The JMT 

Engineering Cell and the task forces are directly 

augmented by the U.S. Army Corps of 

Engineers (USACE) Structures Specialist (StS) 

Cadre.) 

Regional 

 Initial Federal field response to incidents 

requiring US&R assistance usually begins at the 

regional level. 

 Each DHS/EPR/FEMA Regional Office is 

responsible for staffing an ESF #9 position on its 

ERT. The Emergency Services Branch Chief or 

Operations Section Chief on the Advance 

Element of the ERT (ERT-A) may perform 

initial ESF #9 functions. 

 Extended US&R operations requires 

supplemental staffing and deployment of 

national-level resources by DHS/EPR/FEMA. 
December 2004 ESF #9 – Urban Search and Rescue Annex ESF #9-3 

 National Response Plan 

Actions: Initial Actions 

Headquarters 

 The NRCC serves as the single point of contact 

for responding task forces and JMT members for 

situation information and response status of 

US&R resources during the initial stages of the 

incident. NRCC staff in ESF #9 establishes and 

maintains a chronological log of US&R events 

and information obtained from the field. 

 Upon notification of an Incident of National 

Significance with potential or actual structural 

collapse, the US&R Response System staff 

immediately notifies the ESF #9 NRCC staff, 

support contractors, and the DHS/EPR/FEMA 

Military Support Liaison Officer of a potential 

need for US&R response. The NRCC staff 

notifies DHS/EPR/FEMA of the potential need 

to activate task force, JMT, and cooperative 

agreements. 

 Upon establishing the need for US&R assets, the 

NRCC: 

 Develops recommendations on the type and 

quantity of resources to be alerted or 

activated; 

 Issues Activation Orders for task forces and 

JMT members; and 

 Issues Alert Orders placing additional task 

forces in a heightened state of readiness. 

 If the need for US&R assets has not been 

established, the NRCC may: 

 Issue an advisory to all National US&R 

Response System task forces advising of the 

incident and potential need for deployment 

of US&R assets; and 

 Alert JMT regular or Advance Element 

(JMT-A) staff and USACE JMT StS 

Support Teams of potential deployment. 

 Initial staff in the NRCC develops commitment 

documents and activates support agreements for 

supplemental staffing of the ESF #9 cell in the 

NRCC. 

 NRCC staff collects assessment information 

from damage assessment teams, JMT-A 

members, DHS/EPR/FEMA regional officials, 

and State and local government officials for 

inclusion in situation reports and for 

decisionmaking regarding the need for US&R 

resources. 

Region 

 DHS/EPR/FEMA officials from the affected 

region designate an initial point of contact for 

ESF #9. This individual is part of the ERT, and 

may be represented on the ERT-A. 

 The NRCC notifies the DHS/EPR/FEMA 

Regional Office responsible for the affected 

area. Copies of all advisories and Alert and 

Activation Orders issued by the NRCC are 

transmitted to the regional US&R point of 

contact for the affected region, as well as for 

those regions whose resident task forces have 

been alerted or activated. 

 Initial recommendations on US&R resources to 

be alerted or activated are coordinated with the 

regional US&R point of contact. Regional 

US&R points of contact with alerted or activated 

task forces maintain contact with the sponsoring 

States and task forces. 

 While US&R task forces and JMTs are activated 

at the national level, the regional ESF #9 contact 

provides information on the need for US&R 

resources. Regional officials process State 

requests for Federal US&R assistance. 

 The regional ESF #9 representative coordinates 

the preparation for the arrival of task forces and 

JMT members and ensures the JMT is fully 

incorporated into the region's ERT structure. 

 The regional ESF #9 representative provides 

overall management and coordination of all 

deployed US&R resources through the JMT. 
ESF #9-4 ESF #9 – Urban Search and Rescue Annex December 2004 

 National Response Plan 

 The ESF #9 representative coordinates all 

US&R activities with the functional groups of 

the ERT. 

 The ESF #9 representative keeps the ESF #9 

leader in the NRCC informed of all US&R field 

activities. 

Actions: Continuing Actions 

Headquarters 

 Based on recommendations developed by the 

ESF #9 leader in the field and the JMT, 

decisions are made at the headquarters level on 

the deployment of additional US&R resources. 

Additional advisories and Alert and Activation 

Orders are issued as required. 

 In the event that the incident requires the use of 

all national-level US&R assets, the NRCC is 

responsible for developing strategies for 

providing additional US&R support, including 

the use of international US&R assets, the 

deployment of other task forces from existing 

sponsoring organizations (without equipment), 

and the employment of US&R resources of 

unaffected States. 

 The NRCC acts on unmet requirements for 

equipment and supplies forwarded from the ESF 

#9 leader in the field. The NRCC forwards 

issues involving competing requirements and 

scarce resource allocation to the Interagency 

Incident Management Group as appropriate. 

 The NRCC uses the demobilization plan 

developed by the JMT as the basis for decisions 

on demobilization of US&R assets. The NRCC 

issues Demobilization Orders to task forces and 

JMT members. When coordinated with the 

NRCC, Demobilization Orders may be issued by 

the ERT. 

Region 

 The ERT ESF #9 leader and JMT leader 

establish contact with the local Incident 

Commander and develop a plan to integrate 

national US&R resources into the local incident 

command structure. The ESF #9 leader works 

with the local Incident Commander to develop 

written delegations of authority to national 

US&R resources as appropriate. 

 In the event State and local emergency medical 

services resources are overwhelmed, the ERT 

ESF #9 leader, in conjunction with the JMT 

leader and JMT Medical Unit Leader, coordinate 

with field representatives of ESF #8 – Public 

Health and Medical Services to develop 

procedures for the transfer of victims extricated 

from collapsed structures to Disaster Medical 

Assistance Teams for stabilization and transport 

to definitive medical care locations. 

 The JMT develops a mechanism for resupply of 

task forces operating in the affected area. The 

ESF #9 leader works with regional ESFs to 

obtain required equipment and supplies. The 

ESF #9 leader passes unmet or competing 

requirements to the NRCC for further action. 

 The ESF #9 leader, in conjunction with the JMT 

leader, continually monitors the situation and 

develops recommendations on additional 

resources needed, as well as demobilization of 

existing resources. 

 The JMT develops a demobilization plan for the 

concurrence of the ESF #9 leader. The 

demobilization plan includes recommended 

guidelines on personnel and equipment 

rehabilitation allowances for US&R assets. 

Recommendations contained in the 

demobilization plan are passed to the NRCC for 

decision. 

 For incidents of extended duration, the ESF #9 

leader issues a funding document to ensure 

feeding, shelter, salary reimbursement, and other 

logistical support of US&R task force and JMT 

resources when required. 
December 2004 ESF #9 – Urban Search and Rescue Annex ESF #9-5 

 National Response Plan 

Responsibilities

Primary Agency: DHS/EPR/FEMA 

 Serves as the primary agency for ESF #9, 

develops national US&R policy, provides 

planning guidance and coordination assistance, 

standardizes task force procedures, evaluates 

task force operational readiness, funds special 

equipment and training requirements within 

available appropriations, and reimburses as 

appropriate task force costs incurred as a result 

of deployment under the NRP. 

DHS/EPR/FEMA reimburses for authorized 

deployments to Stafford Act declaration sites. 

DHS/EPR/FEMA does not have the authority or 

funding to reimburse such activities absent a 

Stafford Act declaration. Non-Stafford Act 

deployments are reimbursed by the Federal 

department or agency requesting US&R 

assistance in accordance with provisions 

contained in the Financial Management Support 

Annex. 

 Serves as headquarters-level ESF #9 

coordinator. 

 Establishes, maintains, and manages the 

National US&R Response System. This 

includes pre-incident activities such as training, 

equipment purchase, and evaluation of 

operational readiness. 

 Dispatches one or more JMTs to the affected 

area(s). 

 Manages US&R task force deployment to, 

employment in, and redeployment from the 

affected area. 

 Coordinates logistical support for US&R assets 

during field operations. 

 Develops policies and procedures for the 

effective use and coordination of US&R assets. 

 Provides status reports on US&R operations 

throughout the affected area. 

 Under the National Disaster Medical System 

(NDMS): 

 Provides administrative support to US&R 

task force medical teams to: 

 Ensure non-Federal medical team 

personnel have appropriate and valid 

licenses to practice in their States, and 

are provided Federal tort claims liability 

coverage for the practice of medicine; 

and 

 Register medical teams of each National 

US&R Response System task force as 

specialized teams under the NDMS. 

 Provides operational support to US&R task 

force medical teams and JMT from ESF #8 

– Public Health and Medical Services, as 

requested by DHS, to provide liaisons; 

medical supplies, equipment, and 

pharmaceuticals; supporting personnel; and 

veterinary support. 

 Provides patient evacuation and continuing 

care after entrapped victims are removed 

from collapsed structures by US&R task 

force personnel, when State and local 

emergency medical services resources are 

overwhelmed. 
ESF #9-6 ESF #9 – Urban Search and Rescue Annex December 2004 

 National Response Plan 

Support Agencies 

Agency Responsibilities 

Department of 

Agriculture/Forest Service 

 Develops standby agreements with US&R task forces to provide equipment 

and supplies from the National Interagency Cache System at the time of 

deployment. 

 Develops contingency plans for use of National Interagency Fire Center 

contract aircraft during incidents. 

 Provides equipment and supplies from the Interagency Cache System and 

use of Interagency Fire Center contract aircraft. 

Department of 

Commerce/National Oceanic 

and Atmospheric 

Administration 

 Acquires and disseminates weather data, forecasts, and emergency 

information. 

 Provides weather information essential for efficient US&R. 

 Predicts pollutant movement and dispersion over time (marine and 

atmospheric). 

 Assesses areas of greatest hazard following a marine or atmospheric release. 

The following DOD support may be provided when requested and approved by 

the Secretary of Defense: 

 Serves as primary source for providing fixed-wing and/or rotary-wing 

transportation for US&R JMTs. 

 Serves as secondary source for the following assistance: 

 Ground transportation of US&R task forces and JMTs within the 

affected area; 

 Mobile feeding units for US&R task forces and JMT personnel; and 

 Portable shelter (e.g., tents) for use by US&R task force and JMT 

personnel for eating, sleeping, and working. 

Department of Defense 

U.S. Army Corps of Engineers 

 Provides pre-incident training for DHS/EPR/FEMA Task Force/JMT StS, 

as well as for USACE StS. 

 At the request of DHS, deploys trained StS and Technical Search Specialist 

teams to supplement the US&R task forces and JMTs. 

 Assists the JMT Engineering Cell and task forces with US&R efforts. 

 Provides structural engineering analysis, recommends hazard mitigation, 

recommends shoring, ascertains structural integrity and assesses whether 

buildings are safe to enter, and provides building stability monitoring. 

Department of Health and 

Human Services 

Provides operational support to US&R task force medical teams and JMTs from 

ESF #8 – Public Health and Medical Services, as requested by DHS. 
December 2004 ESF #9 – Urban Search and Rescue Annex ESF #9-7 

 National Response Plan 

Agency Responsibilities 

U.S. Coast Guard: Assists in water rescue in areas of inundation and provides 

aircraft and boat assets. 

Department of Homeland 

Security 

Border and Transportation Security Directorate: Customs and Border 

Protection (CBP) maintains Border Patrol Search, Trauma, and Rescue 

(BORSTAR) teams, which are highly specialized units capable of responding to 

emergency search and rescue situations anywhere in the United States. CBP 

maintains air and marine assets to support search and rescue transportation 

operations. 

Department of Justice  Provides assistance to DHS/Office of General Counsel on the development 

and maintenance of tort liability claims coverage for US&R task force and 

JMT personnel engaged in training, mobilization, deployment, and field 

operations. 

 Provides Federal Tort Claims Act guidance and claims resolution services 

in support of US&R training activities and field deployments. 

Department of Labor (DOL)  The DOL Employment Standards Administration, through its Federal 

Employees’ Compensation Program, provides workers compensation 

guidance, claims resolution, and coverage for US&R task force and JMT 

personnel while they are engaged in training, mobilization, deployment, and 

field operations. 

 DOL/Occupational Safety and Health Administration implements 

procedures contained in the Worker Safety and Health Support Annex to 

provide on-site technical assistance, including the evaluation of US&R team 

exposure to hazardous substances and the dangers of structural collapse. 

 The Mine Safety and Health Administration assists with search and rescue 

and can provide mine rescue teams, mobile command centers, seismic 

location systems, TV probe systems, gas sampling analysis, and robot 

explorers. 

Department of 

Transportation 

Provides transportation support to US&R task forces and JMTs as requested. 

National Aeronautics and 

Space Administration 

 Provides personnel in appropriate technical disciplines, such as its Disaster 

Assistance and Rescue Team, to support US&R task forces and JMTs. 

 Provides and maintains training sites for use of US&R task forces and JMT 

members. 

 Assists DHS with identification as well as research and development of new 

technologies for first responders. 

 Provides test-bed facilities for proof-of-concept and beta testing of new 

US&R technologies. 

 Provides temporary use of facilities for mobilization centers and staging 

areas for US&R assets. 

U.S. Agency for 

International Development 

Provides assistance with the identification of available international search and 

rescue teams and their integration into National US&R Response System 

operations as requested. 
ESF #9-8 ESF #9 – Urban Search and Rescue Annex December 2004 

 National Response Plan 

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December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-1 

 National Response Plan 

Emergency Support Function #10 – Oil and Hazardous Materials Response Annex

ESF Coordinator: 

Environmental Protection Agency 

Primary Agency: 

Environmental Protection Agency 

Department of Homeland Security/ 

U.S. Coast Guard 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of State 

Department of Transportation 

General Services Administration 

Nuclear Regulatory Commission 

Introduction

Purpose 

Emergency Support Function (ESF) #10 – Oil and 

Hazardous Materials Response provides Federal 

support in response to an actual or potential 

discharge and/or uncontrolled release of oil or 

hazardous materials during Incidents of National 

Significance when activated. The Federal 

Government also may respond to oil and hazardous 

materials Incidents of National Significance using 

mechanisms of the National Oil and Hazardous 

Substances Pollution Contingency Plan (NCP) 

without activating ESF #10. Those procedures are 

described in the Oil and Hazardous Materials 

Incident Annex. (Note: For the purposes of this 

annex, “hazardous materials” is a general term 

intended to mean hazardous substances, pollutants, 

and contaminants as defined in the NCP.) 

Scope 

 ESF #10 provides for a coordinated response to 

actual or potential oil and hazardous materials 

incidents by placing the hazard-specific response 

mechanisms of the NCP within the broader 

National Response Plan (NRP) coordination 

structure. ESF #10 includes the appropriate 

response and recovery actions to prepare for, 

prevent, minimize, or mitigate a threat to public 

health, welfare, or the environment caused by 

actual or potential oil and hazardous materials 

incidents. Hazardous materials addressed under 

the NCP include chemical, biological, and 

radiological substances, whether accidentally or 

intentionally released. These include certain 

chemical, biological, and radiological substances 

considered weapons of mass destruction 

(WMD). 

 ESF #10 describes the lead coordination roles, 

the division and specification of responsibilities 

among Federal agencies, and the national, 

regional, and onsite response organizations, 

personnel, and resources that may be used to 

support response actions. ESF #10 is applicable 

to all Federal departments and agencies with 

responsibilities and assets to support State, local, 

and tribal response to actual or potential oil or 

hazardous materials incidents. 

 Response to oil and hazardous materials 

incidents is carried out in accordance with the 

NCP (40 CFR part 300). The NCP implements 

the response authorities and responsibilities 

created by the Comprehensive Environmental 

Response, Compensation, and Liability Act, and 

the authorities established by section 311 of the 

Clean Water Act, as amended by the Oil 

Pollution Act. 
ESF #10-2 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

 Appropriate response and recovery actions can 

include efforts to detect, identify, contain, clean 

up, or dispose of released oil and hazardous 

materials. Specific actions may include 

stabilizing the release through the use of berms, 

dikes, or impoundments; capping of 

contaminated soils or sludge; use of chemicals 

and other materials to contain or retard the 

spread of the release or to decontaminate or 

mitigate its effects; drainage controls; fences, 

warning signs, or other security or site-control 

precautions; removal of highly contaminated 

soils from drainage areas; removal of drums, 

barrels, tanks, or other bulk containers that 

contain oil or hazardous materials; and other 

measures as deemed necessary. 

 In addition, ESF #10 may be used to respond to 

actual or threatened releases of materials not 

typically responded to under the NCP but that, 

as a result of an Incident of National 

Significance, pose a threat to public health or 

welfare or to the environment. Appropriate ESF 

#10 response activities to such incidents include, 

but are not limited to, household hazardous 

waste collection, permitting and monitoring of 

debris disposal, water quality monitoring and 

protection, air quality sampling and monitoring, 

and protection of natural resources. 

Policies 

 When ESF #10 is activated for potential or 

actual Incidents of National Significance 

involving oil or hazardous materials, the NCP 

serves as the basis for actions taken in support of 

the NRP. In certain circumstances, some 

administrative procedures in the NCP can be 

streamlined during the immediate response 

phase. NCP structures and response 

mechanisms remain in place during an Incident 

of National Significance, but coordinate with 

NRP mechanisms as described in this annex. 

NCP provisions are summarized in this annex 

for purposes of brevity. The references in this 

annex to NCP provisions are not intended to 

change NCP requirements or interpretations. 

Nothing in the NRP alters or impedes the ability 

or authorities of designated Federal officials to 

carry out their duties under the NCP or to 

coordinate directly with their agency in 

execution of these duties. 

 Response actions carried out under ESF #10 are 

conducted in accordance with the National 

Response System (NRS) described in the NCP. 

The NRS is an organized network of agencies, 

programs, and resources with authorities and 

responsibilities in oil and hazardous materials 

response. Key components of the NRS include 

the National Response Team (NRT), Regional 

Response Teams (RRTs), Federal On-Scene 

Coordinators (OSCs), the National Response 

Center, Area Contingency Plans, and State and 

local plans. States and tribes participate in the 

NRS at the regional and local levels. 

 The NCP requires that oil and hazardous 

materials releases be reported to the National 

Response Center. (See 40 CFR 300.125.) 

 The NRT is the primary vehicle for coordinating 

Federal agency activities under the NCP. The 

NRT carries out national planning and response 

coordination for oil and hazardous materials 

incident, and works in coordination with the 

Emergency Support Function Leaders Group 

regarding ESF #10 preparedness with other NRP 

elements. On a day-to-day basis, the 

Environmental Protection Agency (EPA) serves 

as Chair and the Department of Homeland 

Security/U.S. Coast Guard (DHS/USCG) as 

Vice Chair of the NRT. For an incident-specific 

NRT activation, the NRT Chair would be the 

agency providing the OSC. (Precise 

jurisdictional boundaries between EPA and 

DHS/USCG have been determined by EPADHS/USCG agreements and are described in the 

NCP and in greater detail in Regional Oil and 

Hazardous Substance Pollution Contingency 

Plans.) 

 There are 13 RRTs composed of regional 

representatives of the Federal agencies on the 

NRT as well as a representative from each State 

within the region. The RRTs are co-chaired by 

EPA and DHS/USCG on a day-to-day basis. 

The RRTs serve as planning and preparedness 

bodies before a response. For an incidentspecific RRT activation, the RRT chair would be 

the agency providing the OSC. During a 

response, RRTs deploy their respective agency 

response resources and provide assistance and 

advice to the Federal OSC(s). 
December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-3 

 National Response Plan 

 At the Incident Command Post (ICP) level, the 

Federal OSC carries out his/her responsibilities 

under the NCP to coordinate, integrate, and 

manage overall Federal efforts to detect, 

identify, contain, clean up, dispose of, or 

minimize releases of oil or hazardous materials, 

or prevent, mitigate, or minimize the threat of 

potential releases, in accordance with existing 

delegations of authority (see title 40 CFR, part 

300, sections 105, 120, 130, 135, 305, 322, and 

415 in particular). For oil discharges, depending 

on the location, the agency providing the Federal 

OSC is either EPA or DHS/USCG. For 

hazardous substance emergencies, the agency 

providing the OSC may be EPA, DHS/USCG, 

the Department of Energy (DOE), or the 

Department of Defense (DOD), depending on 

the location and source of the release. Other 

Federal agencies provide OSCs for hazardous 

substance removal actions that are not 

emergencies. 

 The NCP provides that the EPA or DHS/USCG 

may classify an oil discharge as a Spill of 

National Significance (SONS). (See 40 CFR 

section 300.323 for a description of a SONS.) 

For a SONS, EPA or DHS/USCG may name a 

“senior Agency official” (EPA) or National 

Incident Commander (DHS/USCG) who assists 

the OSC, or assumes certain functions of the 

OSC, respectively (e.g., communicating with the 

affected parties and public, coordinating 

resources at the national level). EPA and 

DHS/USCG maintain authority for classifying a 

discharge as a SONS. DHS maintains authority 

for classifying an incident as an Incident of 

National Significance. A SONS may or may not 

be an Incident of National Significance, 

depending on a determination by DHS. Further, 

DHS may determine that NCP responses that are 

not SONS nevertheless rise to the level of an 

Incident of National Significance. 

Primary Agency Determination: EPA or 

DHS/USCG, depending upon whether the incident 

affects the inland or coastal zone, serves as the 

primary agency for ESF #10 actions. For incidents 

affecting both, EPA is the primary agency and 

DHS/USCG serves as the deputy. 

Support Agencies: To the extent possible, support 

agency representatives to ESF #10 should be those 

personnel also assigned to the NRT or RRT(s). 

Where such dual assignments are not possible, each 

ESF representative is to maintain close coordination 

with the agency’s NRT/RRT representative. 

Multiple Response Actions: When more than one 

Federal OSC is involved in implementing a response 

due to multiple response actions, ESF #10 is the 

mechanism through which close coordination is 

maintained among all agencies and OSCs. 

The primary agency ensures ESF #10 response 

actions are properly coordinated and carried out. In 

cases where DHS/USCG is the primary agency and 

more than one DHS/USCG district falls within a 

region, DHS/USCG Headquarters selects the 

regional lead for ESF #10 and may establish an Area 

Command. In cases where EPA is the primary 

agency and multiple incident sites or multiple 

regions are involved, EPA may establish an Area 

Command. 

Relationship to Terrorism Incident Law 

Enforcement and Investigation Annex: For a 

terrorist incident involving oil or hazardous 

materials (such as a WMD incident), ESF #10 

provides assistance, investigative support, and 

intelligence analysis for the oil/hazardous materials 

response in coordination with the law enforcement 

and criminal investigation activities addressed in the 

Terrorism Incident Law Enforcement and 

Investigation Annex. For an Incident of National 

Significance involving oil or hazardous materials 

and ESF #10 activation that is determined to be an 

intentional criminal act but not an act of terrorism, 

the response is carried out in accordance with ESF 

#10 and applicable laws and regulations. The 

agency with primary jurisdictional responsibility, as 

directed by statute, Presidential Directive, existing 

Federal policy, and/or the Attorney General, 

provides the Senior Federal Law Enforcement 

Official. 

Relationship to Biological and 

Nuclear/Radiological Incident Annexes: 

Hazardous materials addressed under the NCP 

include certain biological and radiological 

substances. The Biological and 

Nuclear/Radiological Incident Annexes may 

therefore be activated simultaneously with ESF #10 
ESF #10-4 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

for an Incident of National Significance. The 

Biological and Nuclear/Radiological Incident 

Annexes describe additional procedures and Federal 

agency responsibilities for biological and 

radiological/nuclear incidents that are not addressed 

in ESF #10, and are used in conjunction with ESF 

#10 when applicable. 

Concept of Operations

General 

 The operational response described in the NCP 

and any agency implementing procedures that 

contribute to response are coordinated through 

ESF #10. In conjunction with the affected State, 

ESF #10 coordinates the provision of support to 

and the overall management of the various 

response sites to ensure actions are taken to 

mitigate, clean up, and dispose of oil and 

hazardous materials and minimize the impact of 

the incidents. ESF #10 promotes close 

coordination with Federal, State, and local 

officials, as well as the private sector, to 

establish priorities for response support. 

 ESF #10 requires documentation of all response 

activities to support after-action requirements 

and justify actions taken by primary and support 

agencies. 

Organization 

Headquarters-Level Response Structure 

 For incidents where EPA is the primary agency, 

the Director, Office of Emergency Management, 

Office of Solid Waste and Emergency Response, 

EPA, serves as the lead for ESF #10. For 

incidents where DHS/USCG is the primary 

agency, the Chief, Office of Response, 

DHS/USCG, serves as the lead for ESF #10. 

 The primary agency represents ESF #10 in all 

interactions with the Interagency Incident 

Management Group (IIMG) and maintains 

coordination with ESF #10 regional 

components. Support agencies may also be 

requested to provide a representative at the 

IIMG as appropriate, in accordance with IIMG 

procedures. 

 Following an initial situation assessment, the 

primary agency determines which support 

agencies are required to continue to provide 

representatives to ESF #10 on a 24-hour basis 

(either by telephone or in person) during the 

emergency response period. ESF support 

agencies have representatives available 

immediately by telephone on a 24-hour basis. 

The primary agency provides administrative 

support to ESF #10 as appropriate. ESF #10 

operates from the headquarters of the primary 

agency: 

 EPA coordinates ESF #10 from the EPA 

Headquarters emergency operations center 

(EOC). 

 DHS/USCG coordinates ESF #10 from the 

DHS/USCG Headquarters Office of 

Response. 

 While incident reports generally flow to the 

Homeland Security Operations Center (HSOC) 

from the Joint Field Office (JFO), the primary 

agency EOC also keeps the HSOC apprised of 

incident management efforts. EPA and 

DHS/USCG also provide representatives at the 

HSOC to support the coordination of 

information regarding ESF #10 activities. 

 ESF #10 is represented at the National Response 

Coordination Center (NRCC) by a predesignated EPA and/or DHS/USCG 

representative and, if necessary, by select 

representatives of ESF #10 support agencies. 

The ESF #10 NRCC representative provides 

national-level coordination and liaison among 

ESFs and provides accurate ESF technical 

information to the NRCC Planning Section and 

the IIMG. The NRCC ESF #10 representative is 

in direct contact with the ESF #10 EPA and/or 

DHS/USCG headquarters EOC as appropriate. 

The primary agency provides guidance and 

direction to its regional response elements as 

necessary on issues such as interregional 

resource use, allocation, and mobilization.
December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-5 

 National Response Plan 

 The primary agency consults the NRT for advice 

and assistance in carrying out activities under 

ESF #10. In addition, the primary agency works 

with DHS during the incident to establish 

appropriate mechanisms for IIMG/NRT 

coordination, depending on the needs of the 

incident. The NRT may also send a liaison to 

the IIMG to facilitate IIMG/NRT interactions, 

synchronize efforts, and avoid redundant or 

conflicting activities. In this case, the NRT 

liaison and primary agency lead work together to 

coordinate IIMG/NRT interactions. The NRT 

may be called upon to provide subject-matter 

expertise in oil/hazardous materials responses to 

the IIMG. The NRT may also be called upon to 

provide input to the Homeland Security Council 

or other White House entities through the IIMG. 

Regional-Level Response Structure 

 Either the EPA or DHS/USCG Co-Chair of the 

RRT serves as the regional lead for the ESF, 

depending upon which agency is primary 

agency. For incidents affecting both the inland 

and coastal zone, EPA is the regional lead and 

DHS/USCG the deputy. The regional lead may 

be transferred from one agency to the other 

during a response if circumstances dictate. 

 The regional-level ESF #10 is composed of 

regional or other representatives of those Federal 

agencies listed in the “Responsibilities” section 

of this annex. 

 A primary agency Senior Federal Official (SFO) 

represents ESF #10 in the JFO in its interactions 

with the Principal Federal Official (PFO) and 

Federal Coordinating Officer (FCO)/Federal 

Response Coordinator (FRC) and maintains 

close coordination with support agencies, other 

on-scene ESFs, headquarters ESF #10 

representatives, OSCs, RRTs, and State officials. 

(Note: For a SONS, the SFO would be the 

“senior Agency official” (EPA) or National 

Incident Commander (DHS/USCG) described in 

40 CFR 300.323.) The SFO, OSC, and other 

ESF #10 representatives provide their full and 

prompt cooperation, resources, and support to 

the PFO, as appropriate and consistent with 

applicable authorities. The primary agency SFO 

participates in the JFO Coordination Group 

when appropriate, and ensures appropriate ESF 

#10 staffing in other JFO units. 

 ESF #10 provides a representative to the RRCC, 

when requested, to assist in coordination of 

regional support efforts. 

 The regional lead for ESF #10, in coordination 

with the OSC, consults the RRT for advice or 

assistance, and establishes appropriate 

mechanisms for the RRT to coordinate with the 

JFO during an incident as needed. 

 If the agency(ies) providing the OSCs join or 

establish an Area Command (or Unified Area 

Command), the ESF #10 regional lead ensures 

coordination between the JFO and Area 

Command, as needed, on matters relating to ESF 

#10 activities. 

 In the event of a multistate incident, DHS may 

establish multiple JFOs. In this case, the 

primary agency designates an ESF #10 

representative for each JFO. 

 During an NCP SONS, the DHS/USCG may 

establish an Area Command structure, known as 

a Regional Incident Command (RIC) or National 

Incident Command (NIC) depending on the 

level of coordination needed. If DHS designates 

the SONS as an Incident of National 

Significance, the RIC/NIC coordinates its 

activities with the JFO, and the JFO would 

likely collocate with the RIC/NIC. 

 ESF #10 designates a representative to the 

Advance Element of the Emergency Response 

Team (ERT-A) and, in conjunction with the ESF 

support agencies, determines the staffing 

requirements for the full ERT at the JFO. 

 The regional lead for ESF #10 ensures ESF #10 

response activities are fully integrated and 

coordinated with the Federal Bureau of 

Investigation Joint Operations Center, when 

established for terrorist events. 
ESF #10-6 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

 The regional ESF #10 lead supports Federal 

OSCs and coordinates their activities. The 

regional lead also ensures that ESF #10 activities 

are integrated and coordinated with other 

Federal, State, local, and tribal response 

activities to make the best use of response 

resources and to avoid gaps or overlaps in 

response actions. 

 The OSC has the authority to direct oil and 

hazardous material response efforts and 

coordinate all other efforts at the scene of a 

discharge or release (i.e., at the ICP), in 

accordance with existing delegations of 

authority. The OSC generally joins an ICP 

already established by local authorities or 

designates an ICP at the site in accordance with 

the local Area Contingency Plan, and conducts 

activities from that ICP under a Unified 

Command. OSC efforts are coordinated with 

other appropriate Federal, State, local, tribal, and 

private response agencies through Incident 

Command System mechanisms. The agency 

providing the OSC provides additional 

representatives to the ICP as appropriate. 

Examples of specific response efforts are 

described in the NCP and include actions taken 

as soon as possible to prevent, minimize, or 

mitigate a threat to public health or welfare, or 

the environment. 

 All OSCs involved in implementing ESF #10 

actions maintain close coordination with the 

regional ESF #10 lead to ensure the response is 

consistent with Federal priorities. Typically, the 

OSC communicates directly with the ESF #10 

SFO at the JFO, the SFO coordinates with the 

PFO and FCO/FRC, and the Unified Command 

communicates with the JFO Coordination 

Group. 

 Public communications generally are 

coordinated through ESF #15 – External Affairs 

in consultation with the JFO and Joint 

Information Center. It is recognized, however, 

that in some cases it may be necessary for 

responding OSCs to communicate with the 

media/public on tactical operations and matters 

affecting public health and safety directly from 

the scene, particularly during the early stages of 

the emergency response. 

Incident-Related Actions 

 The primary agency convenes appropriate 

agency representatives as soon as possible, and 

within 2 hours of notification, if possible, to 

develop a plan for providing the support 

required. This can be conducted via emergency 

conference call or by physically locating at the 

primary agency EOC as appropriate. 

 The headquarters ESF #10 focuses initially on 

the following actions: 

 Confirm that members of national and 

regional ESF #10 staffs are notified; 

 Ensure that the primary agency EOC is 

ready to support Federal response activities 

and to coordinate with the HSOC; 

 Establish communications with the affected 

regional ESF #10 elements; 

 Establish communications with designated 

backup regions and with other appropriate 

State and regional elements; 

 Coordinate with other national-level ESFs, 

particularly ESF #5 – Emergency 

Management; 

 Identify extent of oil and hazardous 

materials incidents; 

 Identify initial resource requirements; and 

 For terrorism incidents, provide support as 

required during the response while 

continuing to carry out NCP response 

actions. 

 The regional-level ESF #10 becomes operational 

upon notification from the RRCC. Initial 

actions coordinated under the regional ESF #10 

may include: 

 Alert members of the regional ESF #10; 

 Deploy representatives to the ERT-A and to 

the ERT; 
December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-7 

 National Response Plan 

 Coordinate and communicate with the 

headquarters ESF #10 at the NRCC; 

 Establish communications with the RRCC 

and/or State EOC (according to regional 

plans) to obtain initial damage estimates; 

 As appropriate, coordinate with ESF #10 

elements in nonimpacted regions to obtain 

backup and additional assistance; and 

 Assess the situation, including the nature, 

amount, and locations of actual or potential 

releases of oil and hazardous materials; 

pathways to human and environmental 

exposure; probable direction and time of 

travel of the materials; potential impact on 

human health, welfare, safety, and the 

environment; types, availability, and 

location of response resources, technical 

support, decontamination and cleanup 

services; and priorities for protecting human 

health and welfare and the environment 

through appropriate prevention and/or 

response actions. 

 Upon identification of actual or potential 

releases of oil and hazardous materials, the 

regional lead for ESF #10 closely coordinates 

with the OSC(s) and the RRT (if convened) to 

develop and implement a response strategy. 

 Upon becoming fully operational and throughout 

the response period, the ESF #10 support agency 

representatives (headquarters and regional) 

coordinate with their agencies to meet ESF #10 

needs and carry out ESF actions. The regional 

ESF #10 actions may include: 

 Receiving damage information from 

reconnaissance teams, other ESFs, and 

Federal, State, local, and tribal agencies; 

 Identifying ESF support needs and 

establishing response priorities in 

coordination with Federal, State, local, and 

tribal agencies; 

 Validating priorities and identifying the 

resources required to meet the needs; 

 Working with State, local, and tribal 

governments, other Federal agencies, and 

the private sector to maximize use of 

available regional assets and identify 

resources required from outside the region; 

and initiating actions to locate and move 

resources into the incident area (transport of 

resources to be coordinated with ESF #1 – 

Transportation); 

 Maintaining close coordination with the JFO 

to share information and ensure effective 

response to requests for assistance; and 

 Continuing to coordinate on-scene response 

operations at the ICP as described under 

“Policies” above. 

Because of the potential for response to 

numerous simultaneous events, including 

terrorism incidents, OSCs, as time permits, 

coordinate all significant actions with the ESF 

#10 regional primary agency. Significant 

actions are considered those that relate to 

competition for and commitment of resources 

not under their control, or recommendations to 

State officials as to protective actions, or that 

impact on other response activities or priorities. 
ESF #10-8 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

Responsibilities

ESF Coordinator: The Director of EPA’s Office 

of Emergency Management serves as the ESF 

coordinator and, in partnership with DHS/USCG, 

conducts ESF #10 planning and preparedness 

activities in coordination with the NRT (as Chair) 

and through the NRS. 

Primary Agencies 

EPA 

For incidents for which EPA is the primary agency: 

 Maintains close coordination between EPA 

Headquarters and the affected regional office(s); 

the DHS/USCG, as appropriate; the IIMG; the 

NRCC; other ESFs; and the NRT. 

 Provides damage reports, assessments, and 

situation reports to support ESF #5. 

 Facilitates resolution of conflicting demands for 

hazardous materials response resources and 

ensures coordination between NRT and IIMG 

activities, and RRT and JFO activities, as 

appropriate. Coordinates (through 

Headquarters) the provision of backup support 

from other regions to the affected area. 

 Provides technical, coordination, and 

administrative support and personnel, facilities, 

and communications for ESF #10. 

 Coordinates, integrates, and manages the overall 

Federal effort to detect, identify, contain, 

decontaminate, clean up, or dispose of or 

minimize discharges of oil or releases of 

hazardous materials, or prevent, mitigate, or 

minimize the threat of potential releases. 

 Provides OSCs for incidents within its 

jurisdiction. 

In general: 

 Provides expertise on the environmental effects 

of oil discharges or releases of hazardous 

materials and environmental pollution control 

techniques. 

 Provides Chair for NRT and Co-Chairs for 

RRTs. 

 Manages EPA special teams under the NCP, 

including the Environmental Response Team 

and Radiological Emergency Response Team, 

which provide specialized technical advice and 

assistance to responders. 

 Coordinates, integrates, and provides 

investigative support, intelligence analysis, and 

legal expertise on environmental statutes related 

to oil and hazardous materials incidents, 

particularly regarding criminal cases, in support 

of responders. 

 Manages the National Counter-terrorism 

Evidence Response Team (NCERT) and 

National Enforcement Investigations Center 

(NEIC) Counter-Terrorism Response Team 

(CTRT), composed of investigative and 

scientific personnel to provide investigative, 

scientific, and forensic technical advice, 

assistance, and other threat assessment in 

support of responders. 

 Is designated as sector lead for critical 

infrastructure protection and biomonitoring for 

the water sector under Homeland Security 

Presidential Directive-7 and Homeland Security 

Presidential Directive-9. 

DHS/USCG 

For incidents for which DHS/USCG is the primary 

agency: 

 Maintains close coordination between 

DHS/USCG headquarters and the affected Area 

and District office(s); the EPA, as appropriate; 

the IIMG; the NRCC; other ESFs; and the NRT. 

 Provides damage reports, assessments, and 

situation reports to support ESF #5. 

 Facilitates resolution of any conflicting demands 

for hazardous materials response resources and 

ensures coordination between NRT and IIMG 

activities, and RRT and JFO activities, as 
December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-9 

 National Response Plan 

appropriate. Coordinates (through 

Headquarters) the provision of backup support 

from other districts to the affected area. 

 Provides technical, coordination, and 

administrative support and personnel, facilities, 

and communications for ESF #10. 

 Coordinates, integrates, and manages the overall 

Federal effort to detect, identify, contain, clean 

up, or dispose of or minimize releases of oil or 

hazardous materials, or prevent, mitigate, or 

minimize the threat of potential releases. 

 Provides OSCs for incidents within its 

jurisdiction (including for the coastal zone 

response for incidents for which EPA is the 

primary agency, but the incident affects both the 

inland and coastal zone). 

In general: 

 Provides expertise on environmental effects of 

oil discharges or releases of hazardous materials 

and environmental pollution control techniques. 

 Assists in planning and preparedness efforts as 

Vice Chair of the NRT and Co-Chairs for RRTs. 

 Maintains the National Response Center. 

 Manages the National Strike Force, composed of 

three strike teams located on the Pacific, 

Atlantic, and Gulf coasts, to provide technical 

advice, assistance, and communications support 

for response actions. 

 Offers expertise in domestic and international 

port safety and security, maritime law 

enforcement, ship navigation, and the manning, 

operation, and safety of vessels and marine 

facilities. 

 Maintains continuously staffed facilities that can 

be used for command, control, and surveillance 

of oil discharges and hazardous materials 

releases occurring within its jurisdiction. 
ESF #10-10 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

Support Agencies 

Agency Responsibilities 

Department of Agriculture 

(USDA) 

 Measures, evaluates, and monitors the impact of the emergency incident on 

natural resources under USDA’s jurisdiction, primarily the national forests. 

 Provides predictions of the effects of pollutants on soil and their movements 

over and through soil. 

 Assists in developing protective measures and damage assessments. 

 Assists in the disposition of livestock and poultry contaminated with 

hazardous materials. 

 Provides technical assistance and logistical support. 

Department of Commerce/ 

National Oceanic and 

Atmospheric Administration 

(NOAA) 

 Provides operational weather data and prepares forecasts tailored to support 

the response, through the Interagency Modeling and Atmospheric 

Assessment Center (IMAAC) when activated. 

 Provides expertise on natural resources and coastal habitat, the 

environmental effects of oil and hazardous materials, and appropriate 

cleanup and restoration alternatives. 

 Coordinates NOAA scientific support for responses in coastal and marine 

areas, including assessments of the hazards that may be involved. 

 Predicts pollutant movement, dispersion, and characteristics (marine) over 

time. 

 Provides information on meteorological, hydrological, ice, and 

oceanographic conditions for marine, coastal, and inland waters. 

 Provides charts and maps for coastal and territorial waters and the Great 

Lakes. 

 Conducts emergency hydrographic surveys, search and recovery, and 

obstruction location to assist safe vessel movement. 

Provides OSC and directs response actions for releases of hazardous materials 

from its vessels, facilities, vehicles, munitions, and weapons. 

Department of Defense 

U.S. Army Corps of Engineers (DOD/USACE): Provides response and 

recovery assistance to incidents involving radiological dispersal devices and 

improvised nuclear devices, pursuant to development of a Memorandum of 

Understanding between EPA and DOD/USACE. 

Department of Energy  Provides an OSC and directs response actions for releases of hazardous 

materials from its vessels, facilities, and vehicles.

 Provides advice in identifying the source and extent of radioactive releases 

relevant to the NCP, and in the removal and disposal of radioactive 

contamination.

 Provides additional assistance for radiological incidents pursuant to, or in 

coordination with, ESF #8 –Public Health and Medical Services DOE 

activities.
December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-11 

 National Response Plan 

Agency Responsibilities 

Department of Health and 

Human Services 

 Provides assistance on all matters related to the assessment of health 

hazards at a response and protection of response workers and the public 

health. 

 Determines whether illnesses, diseases, or complaints may be attributable to 

exposure to a hazardous material. 

 Establishes disease/exposure registries and conducts appropriate testing. 

 Develops, maintains, and provides information on the health effects of toxic 

substances. 

 Works in cooperation with EPA and USDA to ensure the proper disposal of 

contaminated food or animal feed. 

Border and Transportation Security Directorate/Customs and Border 

Protection (CBP): Where hazardous materials are transported by persons, 

cargo, mail, or conveyances arriving from outside the United States, CBP 

provides extensive analytical and targeting capabilities through its National 

Targeting Center; full examination capabilities by trained CBP Officers 

equipped with radiation detection and nonintrusive inspection technology; and 

nationwide rapid technical response capabilities through its Laboratory and 

Scientific Services Division. 

Emergency Preparedness and Response Directorate/Federal Emergency 

Management Agency: Provides coordination support during ESF activations, 

as well as recovery and mitigation assistance during federally declared disasters 

or emergencies.

Information Analysis and Infrastructure Protection Directorate 

 Designates an Infrastructure Liaison to address all issues regarding the 

recovery and restoration of critical infrastructure affected by a release of oil 

or hazardous materials. 

 Protective Security Division: Maintains database of sites with hazardous 

materials; provides detailed knowledge of various hazardous material sites 

as a result of site visits and vulnerability assessments; and works to reduce 

the vulnerabilities and risks from terrorist attack at hazardous material sites. 

Department of Homeland 

Security 

Science and Technology Directorate 

 Provides coordination of Federal science and technology resources as 

described in the Science and Technology Support Annex. 

 IMAAC: Provides predictions of hazards associated with atmospheric 

releases for use in emergency response during an Incident of National 

Significance. 
ESF #10-12 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

Agency Responsibilities 

Department of the Interior  Provides scientific/technical advice, information, and assistance to help 

prevent or minimize injury to natural and cultural resources and historic 

properties such as public lands; units of the National Park System; national 

wildlife refuges and fish hatcheries; Alaska Native allotments and 

townsites; wildlife and associated habitat, including threatened and 

endangered species and migratory birds; and national monuments. 

 Provides scientific expertise and assistance in mapping, biological 

resources, geology, and hydrology; earthquakes and other natural hazards; 

minerals; and identification of hazards. 

 Provides expertise in and information on offshore drilling and production 

practices and facilities and offshore minerals; maintains computer models 

for oil spill trajectory analysis and calculation of pipeline oil discharge 

volumes; funds and makes available information from response research; 

and for spills involving Outer Continental Shelf facilities, assists in source 

identification, oversees spill abatement, and approves resumption of 

operations. 

Department of Justice Provides expert advice on complex legal issues, particularly regarding potential 

criminal cases. 

Mine Safety and Health Administration: Provides mobile laboratory 

equipment and technical expertise for gas sampling and analysis. 

Department of Labor (DOL) 

Occupational Safety and Health Administration (DOL/OSHA): Provides 

technical support to EPA, DHS/USCG, and other NRT/RRT agencies, as well 

as to the OSC, regarding hazards to workers engaged in response activities. 

Worker safety and health resources under the Worker Safety and Health 

Support Annex are activated through ESF #5. This assistance may include 24/7 

site safety monitoring, airborne worker exposure sampling and analysis, critical 

incident stress monitoring, development and oversight of the site-specific safety 

and health plan, personal protective equipment selection and distribution and 

training, and respirator fit-testing. The Worker Safety and Health Support 

Annex provides additional information on worker safety and health technical 

assistance. DOL/OSHA support is also directly available to NRT agencies 

under the NCP. 

Department of State Facilitates an integrated response between nations when a discharge or release 

crosses international boundaries or involves foreign flag vessels.

Department of 

Transportation 

Provides expertise on all modes of transporting oil and hazardous materials, 

including information on the requirements for packaging, handling, and 

transporting regulated hazardous materials. 

General Services 

Administration 

Provides logistics and telecommunications support. If ESF #2 – 

Communications or ESF #7 – Resource Support are activated, provides support 

through those ESFs. 
December 2004 ESF #10 – Oil and Hazardous Materials Response Annex ESF #10-13 

 National Response Plan 

Agency Responsibilities 

Nuclear Regulatory 

Commission (NRC) 

Coordinates the Federal response activities for a radiological incident involving 

a facility licensed by the NRC or an Agreement State; shipment of NRC- or 

Agreement State-licensed materials; or radioactive materials licensed under the 

Atomic Energy Act, in accordance with the Nuclear/Radiological Incident 

Annex. The NRC and EPA coordinate their responses to an emergency 

involving both a radiological and chemical release in accordance with joint 

NRC/EPA implementing procedures. 

Other Agencies Other Federal agencies may be called on to provide advice and assistance as 

needed. 
ESF #10-14 ESF #10 – Oil and Hazardous Materials Response Annex December 2004 

 National Response Plan 

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December 2004 ESF #11 – Agriculture and Natural Resources Annex ESF #11-1 

 National Response Plan 

Emergency Support Function #11 – Agriculture and Natural Resources Annex

ESF Coordinator: 

Department of Agriculture 

Primary Agencies: 

Department of Agriculture 

Department of the Interior 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of State 

Department of Labor 

Department of Transportation 

Environmental Protection Agency 

General Services Administration 

U.S. Postal Service 

American Red Cross 

Introduction

Purpose 

Emergency Support Function (ESF) #11 –

Agriculture and Natural Resources supports State, 

local, and tribal authorities and other Federal agency 

efforts to address: (1) provision of nutrition 

assistance; (2) control and eradication of an outbreak 

of a highly contagious or economically devastating 

animal/zoonotic disease, highly infective exotic 

plant disease, or economically devastating plant pest 

infestation; (3) assurance of food safety and food 

security (under Department of Agriculture (USDA) 

jurisdictions and authorities), and (4) protection of 

natural and cultural resources and historic properties 

(NCH) resources prior to, during, and/or after an 

Incident of National Significance. 

Scope 

ESF #11 includes four primary functions: 

 Provision of nutrition assistance by the Food 

and Nutrition Service (FNS): Includes 

determining nutrition assistance needs, obtaining 

appropriate food supplies, arranging for delivery 

of the supplies, and authorizing disaster food 

stamps. 

 Animal and plant disease and pest response: 

Includes implementing an integrated Federal, 

State, local, and tribal response to an outbreak of 

a highly contagious or economically devastating 

animal/zoonotic disease, an outbreak of a highly 

infective exotic plant disease, or an 

economically devastating plant pest infestation. 

Ensures, in coordination with ESF #8 – Public 

Health and Medical Services, that 

animal/veterinary/wildlife issues in natural 

disasters are supported. 

 Assurance of the safety and security of the 

commercial food supply: Includes the 

inspection and verification of food safety aspects 

of slaughter and processing plants, products in 

distribution and retail sites, and import facilities 

at ports of entry; laboratory analysis of food 

samples; control of products suspected to be 

adulterated; plant closures; foodborne disease 

surveillance; and field investigations. 

 Protection of NCH resources: Includes 

appropriate response actions to conserve, 

rehabilitate, recover, and restore NCH resources. 
ESF #11-2 ESF #11 – Agriculture and Natural Resources Annex December 2004 

 National Response Plan 

Policies 

General  Actions undertaken under ESF #11 are coordinated with and conducted cooperatively with 

State, local, and tribal incident management officials and with private entities, in 

coordination with the Joint Field Office (JFO) Coordination Group, the Regional Response 

Coordination Center (RRCC), and National Response Coordination Center (NRCC) as 

required. 

 Each supporting agency is responsible for managing its respective assets and resources after 

receiving direction from the primary agency for the incident. 

Nutrition 

Assistance 

Policies 

 Food supplies secured and delivered under ESF #11 are suitable either for household 

distribution or for congregate meal service as appropriate. 

 Transportation and distribution of food supplies within the affected area are arranged by 

Federal, State, local, and voluntary organizations. 

 ESF #11 officials coordinate with, and support as appropriate, agencies responsible for ESF 

#6 – Mass Care, Housing, and Human Services, involved in mass feeding. 

 ESF #11 officials encourage the use of congregate feeding arrangements as the primary 

outlet for disaster food supplies. 

 Priority is given to moving critical supplies of food into areas of acute need and then to 

areas of moderate need. 

 ESF #11 officials, upon notification that commercial channels of trade have been restored, 

may authorize the use of disaster food stamp program procedures. 

Animal and 

Plant Disease 

and Pest 

Response 

Policies 

 When addressing animal diseases, all animal depopulation activities are conducted as 

humanely as possible while stopping pathogen spread and limiting the number of animals 

that must be euthanized. Disposal methods for infected or potentially infected carcasses and 

plant host material are chosen for their effectiveness in stopping pathogen spread and for 

their minimal impact on the environment. 

 The Secretary of Agriculture can release funds from contingency or program accounts as 

needed to indemnify producers for animals and suspect animal and plant products seized or 

facilities held to control a disease as well as to pay the operational costs of the eradication of 

disease. 

 The Secretary of Agriculture also may declare an Extraordinary Emergency to pay 

compensation and to allow for the use of Federal authorities to take action within a State if 

the affected State is unable to take appropriate action to control and eradicate the disease. 

Food Safety 

and Security 

Policies 

 The Food Safety and Inspection Service (FSIS) is activated upon notification of the 

occurrence of a potential or actual Incident of National Significance by the Department of 

Homeland Security (DHS) that a Federal response is warranted. 

 Actions undertaken are guided by and coordinated with State and local emergency 

preparedness and response officials and homeland security officials and existing USDA 

internal policies and procedures. 

NCH 

Resources 

Protection 

Policies 

 The Department of the Interior (DOI) is the initial primary agency for NCH resources. The 

primary agency for each emergency is determined jointly by DOI, USDA, and the 

Department of Commerce/National Oceanic and Atmospheric Administration 

(DOC/NOAA), and may change over the life of the incident. 

 Actions undertaken under ESF #11 to protect, conserve, rehabilitate, recover, and restore 

NCH resources are guided by the existing internal policies and procedures of the primary 

agency for each incident. 

 The primary agency for each incident coordinates with appropriate ESFs and other annexes, 

including the coordinating agency for the Worker Safety and Health Support Annex, to 

ensure appropriate use of volunteers and their health and safety and to ensure appropriate 

measures are in place to protect the health and safety of all workers. 
December 2004 ESF #11 – Agriculture and Natural Resources Annex ESF #11-3 

 National Response Plan 

Concept of Operations

General 

 USDA, as the coordinator for ESF #11, 

organizes the ESF staff based upon the four core 

functional areas addressed above (see Table 1). 

It organizes and coordinates the capabilities and 

resources of the Federal Government to facilitate 

the delivery of services, technical assistance, 

expertise, and other support for Incidents of 

National Significance that impact the areas 

covered in Table 1. 

 ESF #11 provides for an integrated Federal, 

State, local, and tribal response to an outbreak of 

a highly contagious or economically devastating 

animal/zoonotic (i.e., transmitted between 

animals and people) disease, an outbreak of a 

highly infective exotic plant disease, or an 

economically devastating plant or animal pest 

infestation in the United States. 

 ESF #11 ensures the safety and security of the 

Nation’s commercial supply of food (e.g., meat, 

poultry, and egg products) following a potential 

or actual Incident of National Significance, and 

mitigates the effect of the incident(s) on all 

affected parts of the U.S. population and 

environment. 

TABLE 1. ESF #11 functional categories and responsibilities 

Functional 

Categories 

Nutrition 

Assistance 

Animal and Plant Disease 

and Pest Response 

Food Safety and Security 

Supply 

NCH Resources Protection 

ESF #11 

Primary Agency 

USDA/FNS USDA/APHIS USDA/FSIS DOI 

ESF #11 

Responsibilities 

 Determine 

nutritional 

assistance 

needs 

 Obtain 

appropriate 

food supplies 

 Arrange for 

transportation 

for food 

supplies 

 Authorize 

disaster food 

stamps 

 Implement an integrated 

national-level response to 

an outbreak of an 

economically devastating 

or highly contagious 

animal/zoonotic exotic 

plant disease, or plant 

pest infestation 

 Coordinate veterinary and 

wildlife services in 

affected areas 

 In response to a 

biohazardous event, the 

decontamination and/or 

destruction of animals and 

plants as well as 

associated facilities (e.g., 

barns, processing 

equipment, soil, and 

feeding and growing 

areas) may be required 

 Coordinate with ESF #8 

on animal/veterinary/ 

wildlife issues in disease 

and natural disaster 

issues 

 Inspection and 

verification of meat, 

poultry, and egg 

products in affected 

areas 

 Food-borne disease 

surveillance 

 Coordinate recall and 

tracing of adulterated 

products 

 Coordinate disposal of 

contaminated food 

products 

 Provide inspectors and 

laboratory services to 

affected areas 

 Coordinate NCH resources 

identification and vulnerability 

assessments 

 Facilitate development and 

application of protection 

measures and strategies 

 Assist in emergency 

compliance with relevant 

Federal environmental laws 

during emergency response 

activities, such as emergency 

permits/consultation for 

natural resources use or 

consumption 

 Manage, monitor, and assist 

in or conduct response and 

recovery actions to minimize 

damage to NCH resources 

 Coordinate with ESF #3 and 

#10 on the removal of debris 

affecting NCH resources 

 Coordinate with ESF #3 to 

manage, monitor, or provide 

technical assistance on 

emergency stabilization (and 

during recovery, restoration) 

of shorelines, riparian buffer 

zones, and hillsides to protect 

NCH resources 

 Provide Incident Management 

Teams to assist in NCH 

resource response and 

recovery actions 
ESF #11-4 ESF #11 – Agriculture and Natural Resources Annex December 2004 

 National Response Plan 

 As the primary agency for NCH resources, DOI 

organizes and coordinates the capabilities and 

resources of the Federal Government to facilitate 

the delivery of services, technical assistance, 

expertise, and other support for the protection, 

conservation, rehabilitation, recovery, and 

restoration of NCH resources in prevention of, 

preparedness for, response to, and recovery from 

an Incident of National Significance. 

 ESF #11 identifies, secures, and arranges for the 

transportation of food and/or food stamp 

benefits to affected areas. 

Organization 

Headquarters-Level Response Structure 

The headquarters ESF operates under the direction 

of the USDA coordinator, who is determined based 

upon the assistance needed for the specific incident. 

When the assistance needed involves NCH resources 

protection, the DOI provides the initial headquarters 

direction and coordination. When an incident 

requires assistance from more than one of the ESF 

#11 functions, USDA provides the overall direction. 

 For nutrition assistance, FNS’s National Disaster 

Coordinator is the point of contact and 

coordinates FNS’s response activities with other 

agencies on behalf of FNS’s disaster task force. 

 For animal and plant disease and pest response, 

the Animal and Plant Health Inspection Service 

(APHIS) assumes primary responsibility. 

 For an incident involving food safety and 

security, FSIS assumes primary responsibility. 

 For an incident involving NCH resources 

protection, the DOI Office of Environmental 

Policy and Compliance assumes initial primary 

responsibility. 

 Once ESF #11 is activated, the national response 

is coordinated by USDA at the NRCC. The 

coordinator convenes a conference call with 

appropriate support agencies and non-Federal 

partners to assess the situation and determine 

appropriate actions. The agency then alerts 

supporting organizations and requests that they 

provide representation. 

Regional-Level Response Structure 

 The regional ESF #11 operates under the 

direction of a USDA coordinator, who is 

determined based upon the assistance needed for 

the specific incident. When an incident requires 

assistance from more than one of the ESF #11 

functions, USDA provides the regional point of 

contact within the RRCC and represents ESF 

#11 in its dealings with the JFO Coordination 

Group. When ESF #11 assistance involves only 

NCH resources protection, DOI provides this 

regional function until the primary agency for 

the incident is determined. 

 For nutrition assistance, the FNS Regional 

Disaster Coordinator is the point of contact and 

represents ESF #11 in its dealings with the JFO 

Coordination Group, and is present or available 

for duty at the JFO on a 24-hour basis for the 

duration of the emergency response period. 

 In the event of an outbreak of a highly 

contagious or economically devastating 

animal/zoonotic disease: 

 The State Coordinating Officer, who may be 

the State Veterinarian or other official from 

either the animal health or the emergency 

management community, serves as the 

State’s principal point of contact with the 

Federal Government, represented by the 

Area Veterinarian in Charge for each State. 

 The State activates its State, regional, or 

local emergency operations centers (EOCs), 

as needed, as the State’s base of operations 

for interfacing with local Governments, 

State agencies, and the private sector. 

 The State Veterinarian and Area 

Veterinarian in Charge establishes a Joint 

Operations Center, which serves as the focal 

point for coordinating the disease 

management decisionmaking process. 

 In the event of an outbreak of a highly infective 

exotic plant disease or an economically 

devastating plant pest infestation: 
December 2004 ESF #11 – Agriculture and Natural Resources Annex ESF #11-5 

 National Response Plan 

 The State Plant Health Regulatory Official 

serves as the State’s principal point of 

contact with the Federal Government. 

 The State activates its State, regional, or 

local emergency operations centers (EOCs), 

as needed, as the State’s base of operations 

for interfacing with local governments, State 

agencies, and the private sector. 

 The State Plant Health Director and the 

State Plant Regulatory Official establish a 

Joint Operations Center, which serves as the 

focal point for coordinating the disease or 

pest management decisionmaking process. 

 Regardless of the nature of the disease or pest 

emergency, the State establishes a Joint 

Information Center (JIC) that functions as the 

principal source of information about the disease 

outbreak or pest infestation response in the 

State. The State JIC coordinates closely with 

Federal officials to ensure consistency in the 

information released to the communications 

media and the public. 

 In assisting with disease response, the local or 

county government activates its EOC to provide 

a local base of operations. In some States, a 

county emergency declaration may be needed to 

initiate county response activities. 

 For food supply safety and security, the District 

and Field Offices nationwide coordinate the 

field response activities according to internal 

policies and procedures. A representative of a 

District Office(s) serves as the Senior USDA 

Federal Official of the JFO Coordination Group 

in the affected area. 

 For assistance in protection of NCH resources, 

the DOI Regional Environmental Officer or 

designee is the initial point of contact within the 

RRCC and represents ESF #11 in dealing with 

the Federal Coordinating Officer or Federal 

Resources Coordinator. 

Actions 

Initial Actions 

The ESF #11 coordinator provides information to and/or attends meetings of the Interagency Incident 

Management Group (IIMG) for the duration of the incident. The primary agency for the incident assembles an 

interagency staff to support operations at the NRCC, RRCC, and JFO. 

Nutrition 

Assistance 

 Determines the critical needs of the affected population in terms of numbers of people, their 

location, and usable food preparation facilities for congregate feeding. 

 Catalogs available resources of food, transportation, equipment, storage, and distribution 

facilities and is able to locate these resources geographically. 

 Ensures that all identified USDA food is fit for human consumption. 

 Coordinates shipment of USDA food to staging areas within the affected area. 

 Initiates direct market procurement of critical food supplies that are unavailable from 

existing inventories. 

 Authorizes the Disaster Food Stamp Program. 

Animal and 

Plant Disease 

and Pest 

Response 

 APHIS addresses the potential for outbreaks in multiple States and provides guidance to 

unaffected States in taking immediate precautionary measures within their borders. 

 If a possible intentional pathogen release is reported, animal health authorities immediately 

notify USDA’s Office of Inspector General (OIG), which in turn contacts the DHS 

Homeland Security Operations Center. As the situation warrants, the USDA OIG notifies 

and coordinates with the appropriate law enforcement agencies at the local, State, and 

Federal levels. 
ESF #11-6 ESF #11 – Agriculture and Natural Resources Annex December 2004 

 National Response Plan 

Animal and 

Plant Disease 

and Pest 

Response 

(Continued)

 If criminal activity is suspected in connection with an outbreak, the USDA OIG works 

closely with the responding veterinary or plant diagnostics staff to ensure the proper 

handling and packing of any samples and their shipment to the appropriate research 

laboratory for testing and forensic analysis. The USDA OIG conducts any subsequent 

criminal investigation jointly with other appropriate Federal law enforcement agencies. If 

the outbreak is determined to be a criminal but not a terrorist act, the USDA OIG assumes 

primary Federal responsibility for a law enforcement response. 

 If a terrorist act is suspected in connection with an outbreak, the USDA OIG notifies the 

Weapons of Mass Destruction Unit of the Department of Justice/Federal Bureau of 

Investigation (FBI). The USDA OIG, other appropriate Federal law enforcement agencies, 

and the FBI conduct a joint criminal investigation. 

 The APHIS provides for the inspection, fumigation, disinfection, sanitation, pest 

extermination, and destruction of animals or articles found to be so infected or contaminated 

as to be sources of dangerous infection to human beings and takes such other measures as 

necessary. 

Food Supply 

Safety and 

Security 

 Assesses the operating status of inspected meat, poultry, and egg product processing, 

distribution, import, and retail facilities in the affected area. 

 Evaluates the adequacy of available inspectors, program investigators, and laboratory 

services relative to the emergency on a geographical basis. 

NCH 

Resources 

Protection 

 Determines the critical needs and resources available for NCH resources protection, in 

consultation with State, local, tribal, and private entities. Based on this determination, DOI, 

USDA, and NOAA consult to determine which agency serves as the primary agency for the 

incident. 

 Coordinates provision of necessary assistance within the affected area. 

Ongoing Actions 

Nutrition 

Assistance 

 Expedites requests, if any, for emergency issuance of food stamp benefits after access to 

commercial food channels is restored. 

 Establishes logistical links with organizations involved in long-term congregate meal 

services. 

 Establishes need for and effects replacement of food products transferred from existing FNS 

nutrition assistance program inventories. 

Animal and 

Plant Disease 

and Pest 

Response 

 Provides information and recommendations to the IIMG for incidents involving an outbreak 

of highly contagious/zoonotic animal disease, highly infective exotic plant disease, or 

economically devastating plant pest infestation that may require quarantine actions or that 

may impact intrastate/interstate commerce. 

 Assigns veterinary personnel to assist in delivering animal health care to injured or 

abandoned animals and performing veterinary preventive medicine activities, including the 

conducting of field investigations and the provision of technical assistance and consultation 

as required. 
December 2004 ESF #11 – Agriculture and Natural Resources Annex ESF #11-7 

 National Response Plan 

Food Supply 

Safety and 

Security 

 Inspects and verifies slaughter and processing plants, distribution and retail sites, and import 

facilities at ports of entry. 

 Engages in laboratory analysis activities to screen meat, poultry, and egg products for 

chemical, biological, and radiological agents. 

 Suspends operations of meat, poultry, and egg processing plants as appropriate. 

 Engages in surveillance of food safety/security-related illness, injury, and other consumer 

complaints. 

 Coordinates with State, local, and voluntary organizations to determine the extent to which 

FSIS resources are needed and can be provided. 

 Conducts product tracing to determine the source, destination, and disposition of adulterated 

and/or contaminated products. 

 Controls all identified FSIS-inspected products at inspected establishments that are 

suspected or found to be adulterated through product recall, seizure, and detention and/or 

closures of regulated establishments. 

NCH 

Resources 

Protection 

 Provides scientific/technical advice, information, and assistance to help prevent or minimize 

injury to and to preserve, protect, conserve, stabilize, rehabilitate, or restore NCH resources. 

 Establishes logistical links with organizations involved in long-term NCH resources 

protection, preservation, conservation, rehabilitation, recovery, stabilization, and restoration. 

Responsibilities 

Coordinating Agency: Department of Agriculture 

Agency Functions 

Nutrition Assistance 

Primary Agency: 

Department of 

Agriculture/Food and 

Nutrition Service 

 Determines the availability of USDA foods, including raw agricultural 

commodities (e.g., wheat, corn, oats, and rice) that could be used for human 

consumption and assesses damage to food supplies. 

 Coordinates with State, local, and tribal officials to determine the nutrition 

needs of the population in the affected areas based on the following 

categories: acutely deficient, moderately deficient, self-sufficient, and 

surplus supplies. 

 At the discretion of the Administrator of the FNS, and upon request by the 

State, approves emergency issuance of food stamp benefits to qualifying 

households within the affected area. 

 At the discretion of the Administrator of the FNS, makes emergency food 

supplies available to households for take-home consumption in lieu of 

providing food stamp benefits for qualifying households. 

 Works with State and voluntary agencies to develop a plan of operation that 

ensures timely distribution of food in good condition to the proper location, 

once need has been determined. 
ESF #11-8 ESF #11 – Agriculture and Natural Resources Annex December 2004 

 National Response Plan 

Agency Functions 

Animal Diseases—APHIS, Veterinary Services 

 Detects animal disease anomalies and assigns Foreign Animal Disease 

Diagnosticians to conduct investigations. 

 After diagnosis of disease, circulates warning notice to appropriate Federal 

and State officials in order to facilitate a more timely and efficient response. 

 Coordinates tasks with other ESFs, Veterinary Medical Assistance Teams, 

and voluntary animal care organizations to respond. 

 Coordinates surveillance activities along with ESF #8 – Public Health and 

Medical Services in zoonotic diseases. 

 Coordinates with ESF #8 in the case of a natural disaster in which 

animal/veterinary/wildlife issues arise, to ensure support for such issues. 

Animal and Plant Disease 

and Pest Response 

Primary Agency: 

Department of 

Agriculture/Animal and 

Plant Health Inspection 

Service 

Plant Disease or Pests—APHIS, Plant Protection and Quarantine 

 In an exotic plant disease or plant pest of quarantine importance, the grower 

and/or the State land-grant university diagnostic laboratory or State 

Department of Agriculture diagnostic laboratory contacts the State Plant 

Regulatory Official as well as the State Plant Health Director of the Plant 

Protection and Quarantine program. The Director then notifies the Plant 

Protection and Quarantine program’s regional and headquarters offices. 

 Prior to initiation of an emergency response, the suspect specimen must be 

confirmed by a specialist recognized as an authority by the Plant Protection 

and Quarantine program’s National Identification Services unit. Once 

confirmed, the appropriate Plant Protection and Quarantine Region Director 

and the Assistant Deputy Administrator for Pest Detection and Management 

Programs notifies the State Plant Regulatory Official and the State Plant 

Health Director in the State of origin that the presence of the exotic plant 

disease or plant pest has been confirmed. The Assistant Deputy 

Administrator then notifies the National Plant Board and all trading partners 

of the confirmation.

Food Supply Safety and 

Security 

Primary Agency: 

Department of 

Agriculture/Food Safety and 

Inspection Service 

 Assesses whether meat, poultry, and egg product processors, distributors, 

and importers in the affected area are able to provide safe and secure food. 

The operations of facilities that cannot produce unadulterated products are 

suspended, and other facilities continue to undergo regular or enhanced 

inspection and verification, including laboratory monitoring of food 

samples.

 Works with Federal, State, and local authorities as well as industry to 

conduct tracing, recall, and control of adulterated products. This includes 

proper disposal of contaminated products in order to protect public health 

and the environment in the affected area.

 Provides Geographic Information Systems mapping capability for the meat, 

poultry, and egg product facilities it regulates to assist State and local 

authorities to establish food control zones to protect the public health.
December 2004 ESF #11 – Agriculture and Natural Resources Annex ESF #11-9 

 National Response Plan 

Agency Functions 

NCH Resources Protection 

Initial Primary Agency: 

Department of the Interior 

 Provides scientific/technical advice, information, and assistance to help 

prevent or minimize injury to and to restore or stabilize NCH resources. 

Areas covered include terrestrial and aquatic ecosystems; biological 

resources, including fish and wildlife, threatened and endangered species, 

and migratory birds; historic and prehistoric resources; mapping and 

geospatial data; geology; hydrology, including real-time water flow data; 

earthquakes and other natural hazards; on- and offshore minerals; energy; 

and coal mining. 

 Makes available the response resources of the National Interagency Fire 

Center, such as incident management teams, communications equipment, 

transportation resources, temporary housing and feeding resources, etc., in 

cooperation with USDA and to the extent possible. 

 Provides technical assistance in contract management, contracting, 

procurement, construction inspection, and NCH resources assessments and 

restoration (natural resources), preservation, protection, and stabilization. 

 Provides technical and financial assistance to landowners and communities 

as appropriate to help assess the restoration needs for important fish and 

wildlife habitat and population restoration. 

NCH Resources Protection 

Department of Agriculture 

 Provides technical advice, information, and assistance to help prevent or 

minimize injury to and to restore or stabilize NCH resources. Areas 

covered include: plant materials propagation; soil surveys; drought 

preparedness and mitigation; critical habitat, including environmentally 

sensitive and culturally significant areas; watershed survey, planning, 

protection, and rehabilitation; and reforestation and other erosion control. 

 Provides technical and financial assistance to State and tribal governments 

in developing natural resource management and protection plans, primarily 

for forested areas. 

 Provides emergency financial assistance to State and tribal governments for 

recovery efforts on forested lands as assessment needs are determined and 

funding resources become available. 
ESF #11-10 ESF #11 – Agriculture and Natural Resources Annex December 2004 

 National Response Plan 

Agency Functions 

NCH Resources Protection 

Department of 

Commerce/National Oceanic 

and Atmospheric 

Administration 

 Makes available an environmental data archive for determining baseline 

conditions. 

 Provides contaminant analysis expertise and facilities. 

 Provides aerial mapping and satellite remote sensing for damage 

assessment. 

 Provides detailed site-specific weather forecasts and forecasts of travel time 

for river contaminants. 

 Provides expertise and assistance on coral reefs and coral reef ecosystems. 

 Provides expertise and consultation on marine mammals and essential fish 

habitat issues. 

 Provides seafood inspection capabilities to assess safety, wholesomeness, 

proper labeling, and quality of fish and fishery products through process 

and product verifications, product evaluations and certifications, and 

laboratory analysis. 

 Assesses the availability of DOD food supplies and storage facilities 

capable of storing dry, chilled, and frozen food. 

 Assesses the availability of DOD transportation equipment, material 

handling equipment, and personnel for support. This responsibility is 

confined to the posts, camps, and stations within or adjacent to the affected 

area. 

 Assesses the availability of laboratory and diagnostic support, subjectmatter expertise, and technical assistance that may be provided. 

 Assists animal emergency response organizations, or others as requested 

and appropriate. Provides resources including senior Army Veterinary 

Corps Officers to function as Defense Veterinary Liaison Officers and 

Defense Veterinary Support Officers (who serve as the on-site point of 

contact for DOD veterinary functions) and other military specialists trained 

in foreign animal disease diagnosis, epidemiology, microbiology, 

immunology, entomology, pathology, and public health. 

 Provides laboratory support to assist and augment the capabilities of 

APHIS. 

 Assists in the development of response plans. 

Department of Defense 

(DOD) 

U.S. Army Corps of Engineers (DOD/USACE): Provides expertise and 

resources to assist in the removal and disposal of contaminated and 

noncontaminated debris, to include animal carcasses and debris affecting NCH 

resources. 

Department of Energy In the initial phase of a nuclear or radiological emergency, leads the 

multiagency Federal Radiological Monitoring and Assessment Center 

(FRMAC).
December 2004 ESF #11 – Agriculture and Natural Resources Annex ESF #11-11 

 National Response Plan 

Agency Functions 

Department of Health and 

Human Services (HHS) 

 Determines which foods are fit for human consumption and identifies 

potential problems of contaminated foods. 

 Provides health education in the areas of food preparation and storage. 

 Provides laboratory and diagnostic support, subject-matter expertise, and 

technical assistance as well as field investigators to assist in product tracing, 

inspection and monitoring, and interdiction activities. 

 Provides human health-related information, including surveillance for 

foodborne disease and occupational safety and health issues. 

Department of Homeland 

Security 

 Coordinates with the Infrastructure Liaison concerning all issues regarding 

the recovery and restoration of the associated critical infrastructure sector 

supported by the ESF, including the allocation and prioritization of 

resources, demographic information about the disaster area, and private 

sources of food. 

 Provides additional support in interdicting adulterated products in transport 

and at ports of entry; subject-matter expertise and technical assistance (e.g., 

Customs and Border Protection Agricultural Specialists); and air and 

transport services (e.g., the U.S. Coast Guard), as needed, for personnel and 

laboratory samples. 

 Maintains, through the Information Analysis and Infrastructure Protection 

Directorate, a database of critical infrastructure and key assets and 

maintains detailed information on selected sites derived from site visits and 

collection of vulnerability assessments. 

 Provides assistance on issues relating to disasters on historic properties. 

Animal and Plant Disease 

and Pest Response 

Department of the 

Interior/U.S. Geological 

Survey 

Serves as the point of contact for any zoonotic diseases involving wildlife. 

Assists in responding to a highly contagious/zoonotic disease, biohazard event, 

or other emergency involving wildlife by providing wildlife emergency 

response teams; geospatial assessment and mapping tools; assistance in the 

identification of new emerging and resurging zoonotic diseases; the services of 

a Biosafety Level 3 laboratory for diagnostic disease and biohazard analyses; 

assistance with the prevention, control, and eradication of any highly 

contagious/zoonotic disease involving wildlife; and carcass disposal facilities, 

as appropriate. 

Department of Labor The Occupational Safety and Health Administration provides worker safety and 

health technical assistance during emergency animal health and NCH resources 

protection activities. This assistance may include site safety monitoring, worker 

exposure sampling and analysis, and respirator fit-testing. 

Department of State Facilitates an integrated response between nations when animal and/or plant 

disease outbreaks represent transborder threats. 
ESF #11-12 ESF #11 – Agriculture and Natural Resources Annex December 2004 

 National Response Plan 

Agency Functions 

Environmental Protection 

Agency 

 Provides technical assistance, subject-matter expertise, and support for 

biological, chemical, and other hazardous agents on contaminated facility 

remediation, environmental monitoring, and contaminated agriculture 

(animal/crops) and food product decontamination and disposal. 

 Provides surge capacity for laboratory and diagnostic support. 

 Works with USDA, HHS, and the private sector to identify suitable and 

available antimicrobial and other pesticides to be used for treatment and 

decontamination of pathogens on crops, on environmental surfaces, and in 

water. Approves the use of these pesticides. 

 In the event of a nuclear or radiological emergency, supports the FRMAC 

during the initial phase of the emergency and leads the FRMAC for the later 

phases. Also provides protective action assistance through the Advisory 

Team for the Environment, Food, and Health. 

 Provides investigative support and intelligence analysis for incidents 

involving oil or hazardous materials. 

 Provides technical assistance in determining when water is suitable for 

human consumption and canning. 

General Services 

Administration 

Supports the FNS for any necessary procurement efforts required to meet the 

needs of the affected population. 

American Red Cross Identifies and assesses requirements for food and distribution services on a twophase basis: (1) critical emergency needs immediately after the disaster, and (2) 

longer-term sustained needs after the emergency phase has ended. Coordinates 

the food distribution efforts of other voluntary organizations. 

Department of Justice, 

Department of 

Transportation, and the U.S. 

Postal Service 

All have control over movement of people, conveyances, and/or things. In the 

event of a plant or animal disease they can help enforce a quarantine zone by 

inspection and movement control. 
December 2004 ESF #12 – Energy Annex ESF #12-1 

 National Response Plan 

Emergency Support Function #12 – Energy Annex

ESF Coordinator: 

Department of Energy 

Primary Agency: 

Department of Energy 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Homeland Security 

Department of the Interior 

Department of Labor 

Department of State 

Department of Transportation 

Environmental Protection Agency 

Nuclear Regulatory Commission 

Tennessee Valley Authority 

Introduction

Purpose 

Emergency Support Function (ESF) #12 – Energy is 

intended to restore damaged energy systems and 

components during a potential or actual Incident of 

National Significance. Under Department of Energy 

(DOE) leadership, ESF #12 is an integral part of the 

larger DOE responsibility of maintaining continuous 

and reliable energy supplies for the United States 

through preventive measures as well as restorative 

actions. 

Scope 

ESF #12 collects, evaluates, and shares information 

on energy system damage and estimations on the 

impact of energy system outages within affected 

areas. The term “energy” includes producing, 

refining, transporting, generating, transmitting, 

conserving, building, distributing, and maintaining 

energy systems and system components. 

Additionally, ESF #12 provides information 

concerning the energy restoration process such as 

projected schedules, percent completion of 

restoration, geographic information on the 

restoration, and other information as appropriate. 

Policies 

 Restoration of normal operations at energy 

facilities is the responsibility of the facility 

owners. 

 DOE establishes policies and procedures 

regarding preparedness for and prevention of 

attacks to U.S. energy sources and response and 

recovery due to shortages and disruptions in the 

supply and delivery of electricity, oil, natural 

gas, and other forms of energy and fuels that 

impact or threaten to impact large populations in 

the United States. 

 ESF #12 maintains lists of energy-centric critical 

assets and infrastructures, and continuously 

monitors those resources to identify and correct 

vulnerabilities to energy facilities. 

 For those parts of the Nation’s energy 

infrastructure owned and/or controlled by DOE, 

DOE undertakes all prevention, preparedness, 

response, and recovery activities. 

 ESF #12 addresses significant disruptions in 

energy supplies for any reason, whether caused 

by physical disruption of energy transmission 

and distribution systems, unexpected operational 

failure of such systems, or unusual economic or 

international political events. 
ESF #12-2 ESF #12 – Energy Annex December 2004 

 National Response Plan 

 ESF #12 addresses the impact that damage to an 

energy system in one geographic region may 

have on energy supplies, systems, and 

components in other regions relying on the same 

system. Consequently, energy supply and 

transportation problems can be intrastate, 

interstate, and international. 

 The Cyber Incident Annex to the NRP outlines 

the provision of Federal cyber incident response 

coordination among the Federal departments and 

agencies in response to an Incident of National 

Significance with cyber-related issues. 

Concept of Operations

General 

While restoration of normal operations at energy 

facilities is the primary responsibility of the owners 

of those facilities, ESF #12 provides the appropriate 

supplemental Federal assistance and resources to 

enable restoration in a timely manner. 

Collectively, the primary and support agencies that 

comprise ESF #12: 

 Serve as the focal point within the Federal 

Government for receipt of information on actual 

or potential damage to energy supply and 

distribution systems and requirements for system 

design and operations, and on procedures for 

preparedness, prevention, recovery, and 

restoration; 

 Advise Federal, State, local, and tribal 

authorities on priorities for energy restoration, 

assistance, and supply; 

 Assist industry, State, local, and tribal 

authorities with requests for emergency response 

actions as they pertain to the Nation’s energy 

supply; 

 Assist Federal departments and agencies by 

locating fuel for transportation, communications, 

emergency operations, and national defense; 

 Recommend Federal actions to conserve fuel 

and electric power; and 

 Provide energy supply information and guidance 

on the conservation and efficient use of energy 

to Federal, State, local, and tribal governments 

and to the public. 

Organization 

Headquarters 

 Provides representatives to the Department of 

Homeland Security (DHS) Homeland Security 

Operations Center, Interagency Incident 

Management Group (IIMG), National Response 

Coordination Center (NRCC), Regional 

Response Coordination Center (RRCC), and 

Joint Field Office (JFO), as required. 

 Initially establishes a headquarters-level 

Emergency Management Team, but transfers 

operational authority once field capability is 

established. 

 Assesses fuel and electric power damage and 

energy supply and demand, and identifies 

requirements to repair energy systems. 

 Coordinates with other ESFs to provide timely 

and accurate energy information, recommends 

options to mitigate impacts, and coordinates 

repair and restoration of energy systems. 

 In coordination with DHS and State, local, and 

tribal governments, DOE prioritizes plans and 

actions for the restoration of energy during 

response and recovery operations. 

Region: Currently DOE does not have a regional 

response structure, and responds to energy 

emergencies from its Washington, DC, 

Headquarters. 

State and Local: State and local governments have 

primary responsibility for prioritizing the restoration 

of energy facilities. State and local governments are 

fully and consistently integrated into ESF #12 

operations. 
December 2004 ESF #12 – Energy Annex ESF #12-3 

 National Response Plan 

Private Sector 

 The private sector owns and operates the 

majority of the Nation’s energy infrastructure 

and participates along with the DOE in 

developing best practices for infrastructure 

design and operations. 

 The private sector normally takes the lead in the 

rapid restoration of infrastructure-related 

services after an incident occurs. Appropriate 

entities of the private sector are integrated into 

ESF #12 planning and decisionmaking 

processes. 

Actions 

Pre-Incident 

 In cooperation with the Energy Sector, ESF #12 

develops and, where possible, implements 

standards for physical, operational, and cybersecurity for the energy industry. 

 In cooperation with the Energy Sector, ESF #12 

sponsors the development of cyber-security 

software for the energy industry. 

 ESF #12 conducts energy emergency exercises 

with the energy industry, States, and local 

governments to prepare for energy and other 

emergencies. 

 DOE assists the States in the preparation of State 

Energy Assurance Plans. 

 DOE monitors the energy infrastructure and 

shares information with Federal, State, and 

industry officials. 

Incident 

 Upon activation of ESF #12, DOE Headquarters 

establishes the Emergency Management Team 

and activates DOE disaster response procedures. 

 DOE assesses the energy impacts of the 

incident, including resources needed via 

Emergency Incident and Disturbance Reports 

from the electric power industry, and provides 

assessments of the extent and duration of energy 

shortfalls. 

 Provides representation to the DOE Emergency 

Operations Center, the IIMG, NRCC, RRCC, 

and the JFO, as required. 

 Arranges, as necessary, for ESF #1 –

Transportation representation at the regional 

level. 

Post-Incident 

 Participates in post-incident hazard mitigation 

studies to reduce the adverse effects of future 

disasters. 

 When requested, assists the Department of 

Homeland Security/Emergency Preparedness 

and Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA) in determining the 

validity of disaster-related expenses for which 

the energy industry is requesting reimbursement 

based upon the Stafford Act. 

Responsibilities

Primary Agency: DOE 

 Serves as the focal point for issues and policy 

decisions relating to energy in all response and 

restoration efforts. 

 Monitors energy system damage and repair 

work. 

 Collects, assesses, and provides information on 

energy supply, demand, and prices; and 

contributes to situation and after-action reports. 

 Identifies supporting resources needed to restore 

energy systems. 
ESF #12-4 ESF #12 – Energy Annex December 2004 

 National Response Plan 

 Deploys DOE response teams as needed to 

affected area(s) to assist in response and 

restoration efforts. 

 Reviews and sponsors the energy industry's 

requests for Telecommunications Service 

Priority (TSP) assignments to provision new 

services. 

Support Agencies 

Agency Functions 

Rural Utilities Service (RUS) 

 Provides advice regarding the restoration of electrical power in RUSfinanced systems. This advice includes estimating system damage and the 

need for local assistance. 

 Provides emergency credit to RUS-financed rural electrification systems. 

Department of Agriculture 

Department of Agriculture, Multifamily Housing: Identifies owners of 

available apartments in federally funded multifamily housing to provide shelter 

to emergency response personnel proximal to an electric incident venue. 

Department of 

Commerce/National Oceanic 

and Atmospheric 

Administration 

Provides current and forecast weather for the incident location.

Department of Defense/U.S. 

Army Corps of Engineers 

Coordinates Emergency Power team missions with power-system restoration 

activities to establish priorities and efficiently provide support to a facility 

having power restored. 

Information Analysis and Infrastructure Protection Directorate (IAIP) 

 Develops and maintains a critical infrastructure list of energy facilities. 

 Develops and maintains a critical assets list of energy facilities. 

 Identifies and publicizes threats to specific energy facilities. 

 Coordinates with the private sector to conduct vulnerability assessments 

associated with terrorism and coordinates the implementation of protective 

measures. 

Infrastructure Coordination Division: Coordinates with the Infrastructure 

Liaison concerning all issues dealing with the recovery and restoration of the 

associated critical infrastructure sector, including the allocation and 

prioritization of resources.

IAIP/National Communications System 

 Via ESF #2 – Communications, assists DOE in its efforts to aid the energy 

industry in providing new services or to restore existing services that are 

assigned TSP restoration priorities. 

 Assesses damage to telecommunications identified by DOE as essential for 

energy system restoration (electrical service priorities).

Department of Homeland 

Security 

Science and Technology Directorate: Provides coordination of Federal 

science and technology resources as described in the Science and Technology 

Support Annex.
December 2004 ESF #12 – Energy Annex ESF #12-5 

 National Response Plan 

Agency Functions 

Bureau of Land Management 

 Provides information on energy production and supply on onshore Federal 

lands.

 Assesses damage to energy-related infrastructure.

 Provides engineering and technical support as necessary.

 Develops and maintains information on critical energy-related infrastructure 

on Federal and tribal lands.

Bureau of Reclamation 

 Provides technical assistance for the assessment of hydroelectric facilities 

and flood control actions as they affect energy production.

 Uses Bureau of Reclamation personnel to assist in the repair of damaged 

hydropower generation facilities.

 Modifies operations at Bureau of Reclamation facilities to increase electrical 

generation to supplement losses in areas affected by an incident.

 Uses hydroelectric plant internal restart capabilities to assist in restoring the 

power system if blackouts occur.

Department of the Interior 

Minerals Management Service 

 For Outer Continental Shelf (OCS) facilities, provides energy production and 

well reserve information.

 Assesses energy production damage and projected repair schedules for 

offshore facilities.

 Assists operators in minimizing the disruption of energy production by 

expediting review and approval of repair procedures for damaged facilities 

and/or in the prompt review and approval of proposals to resume production 

through the temporary rerouting of oil and gas production until permanent 

system(s) repair can be affected.

 Provides engineering and technical support as necessary.

 Assists DHS/U.S. Coast Guard in the development of critical asset list of 

OCS oil and gas facilities.

 Monitors and updates critical asset list of OCS oil and gas facilities.

Department of 

Labor/Occupational Safety 

and Health Administration 

Implements processes identified in the Worker Safety and Health Support 

Annex to provide technical assistance during the restoration of the Nation’s 

energy systems.

Department of State  Coordinates with foreign nations and international organizations for 

assistance and information regarding energy supply and system damage. 

 Assists in implementation of emergency-related international energy 

agreements. 
ESF #12-6 ESF #12 – Energy Annex December 2004 

 National Response Plan 

Agency Functions 

Department of 

Transportation 

ESF #1: Assists with transportation of DOE and ESF #12 personnel, energy 

restoration equipment, spare parts, and repair personnel to disaster locations. 

Office of Pipeline Safety: Responds to requests for waivers of restrictions to 

meet emergency requirements. 

Environmental Protection 

Agency (EPA) 

 Responds to requests from State and local officials for EPA to exercise 

enforcement discretion to waive environmental requirements for motor 

vehicle fuel in order to address supply shortages, normally in the context of 

natural disasters or significant disruptions in the fuel production or 

distribution systems. 

 Coordinates the collection of motor vehicle fuel supply information 

necessary to evaluate an enforcement discretion request. 

 Issues enforcement discretions where appropriate to address fuel supply 

shortages. 

Nuclear Regulatory 

Commission 

Regulates the Nation’s civilian use of nuclear fuels and materials to include 

commercial nuclear power plants. NRC provides information and technical 

assessment regarding nuclear powerplants.

Tennessee Valley Authority  Assesses supply, system damage, and repair requirements within the 

Tennessee Valley Authority. 

 Supplies surplus power as required to the power grid. 

 Supplies critical replacement parts and equipment as requested. 

 Supplies technical expertise as requested. 
December 2004 ESF #13 – Public Safety and Security Annex ESF #13-1 

 National Response Plan 

Emergency Support Function #13 – Public Safety and Security Annex 

ESF Coordinators: 

Department of Homeland Security 

Department of Justice 

Primary Agencies: 

Department of Homeland Security 

Department of Justice 

Support Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of Veterans Affairs 

Environmental Protection Agency 

National Aeronautics and Space Administration 

Social Security Administration 

U.S. Postal Service 

Introduction

Purpose 

Emergency Support Function (ESF) #13 – Public 

Safety and Security integrates Federal public safety 

and security capabilities and resources to support the 

full range of incident management activities 

associated with potential or actual Incidents of 

National Significance. 

Scope 

ESF #13 provides a mechanism for coordinating and 

providing Federal-to-Federal support or Federal 

support to State and local authorities to include noninvestigative/non-criminal law enforcement, public 

safety, and security capabilities and resources during 

potential or actual Incidents of National 

Significance. 

ESF #13 capabilities support incident management 

requirements including force and critical 

infrastructure protection, security planning and 

technical assistance, technology support, and public 

safety in both pre-incident and post-incident 

situations. ESF #13 generally is activated in 

situations requiring extensive assistance to provide 

public safety and security and where State and local 

government resources are overwhelmed or are 

inadequate, or in pre-incident or post-incident 

situations that require protective solutions or 

capabilities unique to the Federal Government. 

Policies 

 State, local, tribal, private-sector, and specific 

Federal authorities have primary responsibility 

for public safety and security, and typically are 

the first line of response and support in these 

functional areas. 

 In most incident situations, local jurisdictions 

have primary authority and responsibility for 

law enforcement activities, utilizing the Incident 

Command System on-scene. In larger-scale 

incidents, additional resources should first be 

obtained through the activation of mutual aid 

agreements with neighboring localities and/or 

State authorities, with incident operations 

managed through a Unified Command structure. 

In this context, a State’s resources would include 

members of the State National Guard that the 

Governor calls into State service in a law 

enforcement, security, and/or public safety 

capacity. 

 Through ESF #13, Federal resources supplement 

State, local, tribal, or other Federal agency 

resources when requested or required, as 

appropriate, and are integrated into the incident 

command structure using National Incident 

Management System principles and protocols. 
ESF #13-2 ESF #13 – Public Safety and Security Annex December 2004 

 National Response Plan 

 ESF #13 primary agencies facilitate coordination 

among supporting agencies to ensure that 

communication and coordination process are 

consistent with stated incident management 

missions and objectives. 

 When activated, ESF #13 coordinates the 

implementation of Federal authorities that are 

appropriate for the situation and may provide 

protection and security resources, planning 

assistance, technology support, and other 

technical assistance to support incident 

operations, consistent with Federal agency 

authorities and resource availability. 

 ESF #13 activities should not be confused with 

the activities described in the NRP Terrorism 

Incident Law Enforcement and Investigation 

Annex or other criminal investigative law 

enforcement activities. As the lead law 

enforcement official in the United States, the 

Attorney General, generally acting through the 

Federal Bureau of Investigation (FBI), maintains 

the lead for criminal investigations of terrorist 

acts or terrorist threats by individuals or groups 

inside the United States, or directed at U.S. 

citizens or institutions abroad. ESF #13 

activities are separate and distinct, and should be 

fully coordinated with other activities conducted 

as part of the Attorney General’s overall 

criminal investigation and law enforcement 

responsibilities. 

 In the event that State and local police forces 

(including the National Guard operating under 

State control) are unable to adequately respond 

to a civil disturbance or other serious law 

enforcement emergency, the State legislature (or 

the Governor if the legislature cannot be 

convened) may request, through the Attorney 

General, Federal military assistance under 10 

U.S.C. Chapter 15. The President may also use 

the military in a state to enforce Federal law or 

to protect constitutional rights. Pursuant to 10 

U.S.C. 331-334, the President will ultimately 

determine whether to use the Armed Forces to 

respond to a law enforcement emergency. 

Under Title 10 authority, the President may 

federalize and deploy all or part of any State's 

National Guard. Procedures for coordinating 

Department of Defense (DOD) and Department 

of Justice (DOJ) responses to law enforcement 

emergencies arising under 10 U.S.C. 331-334 

are set forth in the DOD Civil Disturbance Plan, 

February 15, 1991. 

 This annex does not usurp or override the 

policies or mutual aid agreements of any local or 

tribal jurisdiction or government, State 

government, or Federal agency. Law 

enforcement activities and criminal 

investigations are conducted in conformance 

with existing codes and statutes. 

Relationship to Other Plans: ESF #13 provides 

the conduit for utilizing and incorporating the 

extensive network of public safety and security 

coordination established for steady-state prevention 

efforts through a variety of interagency plans. 

Prevention and security plans include but are not 

limited to the following: 

 National Infrastructure Protection Plan; 

 Sector-Specific Plans; 

 National Maritime Security Plan; 

 Area Maritime Security Plans; and 

 Vessel and Facility Security Plans. 
December 2004 ESF #13 – Public Safety and Security Annex ESF #13-3 

 National Response Plan 

Concept of Operations

General 

 ESF #13 is activated when Federal public safety 

and security capabilities and resources are 

needed to support incident operations. This 

includes threat or pre-incident as well as postincident situations. 

 When activated, the primary agencies assess 

public safety and security needs, and respond to 

requests for Federal resources and 

planning/technical assistance from States, 

Federal agencies, or other ESFs. 

 ESF #13 manages support by coordinating the 

implementation of Federal authorities related to 

public safety and security and protection of 

property, including critical infrastructure, and 

mobilizing Federal security resources and 

technologies and other assistance to support 

incident management operations. 

 ESF #13 maintains close coordination with 

Federal, State, local, and tribal officials to 

determine public safety and security support 

requirements and to jointly determine resource 

priorities. 

 The primary agencies maintain communications 

with supporting agencies to determine 

capabilities, assess the availability of resources, 

and track resources that have been deployed. 

Actions 

Headquarters 

 When activated, the primary agencies deploy an 

on-call representative to the National Response 

Coordination Center (NRCC). 

 The primary agencies assess the need for ESF 

#13 resources and coordinate response 

assistance and support in close cooperation with 

regional and field ESF #13 elements. 

 The primary agencies may convene ESF #13 

support agencies in a meeting or by conference 

call to coordinate Federal public safety and 

security assistance efforts. 

 ESF #13 may provide subject-matter experts, 

upon request, to the Interagency Incident 

Management Group (IIMG), Emergency 

Response Team–Advance Element (ERT-A), 

National Emergency Response Team, and 

Federal Incident Response Support Team. 

 During terrorism incidents, ESF #13 activities 

will be closely coordinated with the FBI 

Strategic Information and Operations Center 

(SIOC) and the National Joint Terrorism Task 

Force (NJTTF). 

Regional and Field Levels 

 Depending on the situation, an ESF #13 

representative may participate in the early 

assessment efforts of the ERT-A. 

 When ESF #13 is activated, the on-call 

representative(s) of the primary agencies 

deploy(s) to the Regional Response 

Coordination Center (RRCC) and coordinate(s) 

mission assignments and Federal public safety 

and security support until the Joint Field Office 

(JFO) is established. 

 ESF #13 is included in the Operations Section of 

the RRCC and JFO. 

 During terrorism incidents, ESF #13 primary 

and support agency Federal activities at the local 

level are managed from the FBI Joint Operations 

Center (JOC) prior to the establishment of the 

JFO, and are closely coordinated with the 

RRCC. Once a JFO is established, ESF #13 

activities are managed from the JFO Operations 

Section in accordance with appropriate 

operational security guidelines. 

 During non-terrorism incidents, ESF #13 

primary and support agency Federal activities at 

the local level are managed initially from the 

RRCC, and from the JFO once a JFO is 

established. All ESF #13 activities are closely 

coordinated with the local FBI field office and 

Joint Terrorism Task Force (JTTF). The FBI 

field office/local JTTF may assign liaisons to the 

RRCC or JFO as appropriate. 
ESF #13-4 ESF #13 – Public Safety and Security Annex December 2004 

 National Response Plan 

 ESF #13 security and force protection activities 

at the regional level must be closely coordinated 

with DOJ-led law enforcement and investigation 

activities and intelligence assessments. 

 Resolution of resource and mission conflicts 

involving Federal public safety and security 

assets engaged in emergency operations is done 

by the JFO Coordination Group. 

Incident Management Activities: While State, 

local, tribal, and private-sector authorities have 

primary responsibility for public safety and security, 

ESF #13 provides Federal public safety and security 

assistance to support prevention, preparedness, 

response, and recovery priorities in circumstances 

where locally available resources are overwhelmed 

or are inadequate, or where a unique Federal 

capability is required. This may include but is not 

limited to the following activities, when appropriate: 

 Pre-Incident Coordination: Supporting 

incident management planning activities and 

pre-incident actions required to assist in the 

prevention or mitigation of threats and hazards. 

This includes the development of operational 

and tactical public safety and security plans to 

address potential or actual Incidents of National 

Significance, the conducting of technical 

security and/or vulnerability assessments, and 

the deployment of Federal public safety and 

security resources in response to specific threats 

or potential incidents. 

 Technical Assistance: Providing expertise and 

coordination for security planning efforts and 

conducting technical assessments (e.g., 

vulnerability assessments, risk analyses, 

surveillance sensor architecture, etc.). 

 Public Safety and Security Assessment: 

Identifying the need for ESF #13 support and 

analyzing potential factors that affect resources 

and actions needed, such as mapping, modeling, 

and forecasting for crowd size, impact of 

weather, and other conditions on security, etc. 

 Badging and Credentialing: Assisting in the 

establishment of consistent processes for issuing 

identification badges to emergency responders 

and other personnel needing access to places 

within a controlled area, and verifying 

emergency responder credentials. 

 Access Control: Providing security forces to 

support State and local efforts (or to secure sites 

under Federal jurisdiction) to control access to 

the incident site and critical facilities. 

 Site Security: Providing security forces and 

establishing protective measures around the 

incident site, critical infrastructure, and/or 

critical facilities. 

 Traffic and Crowd Control: Providing 

emergency protective services to address public 

safety and security requirements during 

Incidents of National Significance. 

 Force Protection: Providing for the protection 

of emergency responders and other workers 

operating in a high-threat environment. 

 Security for the Strategic National Stockpile 

(SNS): Providing for the protection of 

personnel and temporary storage facilities during 

distribution of supplies from the SNS. 

 Security Surveillance: Conducting 

surveillance to assist in public safety and 

security efforts, and providing appropriate 

technology support, as required. 

 Specialized Security Resources: Providing 

specialized security assets such as traffic 

barriers; chemical, biological, radiological, 

nuclear, and high-yield explosives detection 

devices; canine units; law enforcement personal 

protective gear; etc. 
December 2004 ESF #13 – Public Safety and Security Annex ESF #13-5 

 National Response Plan 

Responsibilities

ESF Coordinators/Primary Agencies: The 

coordinators/primary agencies are responsible for 

the following: 

 Serve as the headquarters and regional-level 

ESF #13 coordinators and primary agencies, 

represent the ESF #13 agencies on the 

Emergency Support Functions Leaders Group 

and Regional Interagency Steering Committee, 

and coordinate preparedness activities with ESF 

#13 supporting agencies. 

 Provide expertise on public safety and security 

issues to the IIMG, when requested. 

 Manage ESF #13 preparedness activities and 

conduct evaluation of operational readiness, 

including a roster and description of public 

safety and security activities. 

 Maintain close coordination during operations 

between the affected regional office(s), the 

NRCC, other ESFs, local JTTFs, and the 

NJTTF, as required. 

 Ensure that all activities performed under the 

purview of ESF #13 are related to the safety and 

security of the public. If any potential for 

overlap exists, it is the responsibility of the 

primary agencies for ESF #13 to de-conflict 

these issues prior to accepting the mission 

assignment. 

 Facilitate resolution of any conflicting demands 

for public safety and security resources, 

expertise, and other assistance. Coordinate 

backup support from other geographical regions 

to the affected area. 

Support Agencies 

Each support agency maintains its authority and is 

responsible, when appropriate and according to 

resource availability, for providing appropriate 

personnel, equipment, facilities, technical assistance, 

and other support as required. In addition, support 

agencies may be requested to: 

 Provide personnel to staff the Homeland 

Security Operations Center, NRCC, RRCC, 

Incident Command Post, JFO, Joint Information 

Center, and FBI SIOC or FBI JOC (for terrorism 

incidents). 

 Provide periodic reports, as requested, regarding 

agency response operations to the JFO Planning 

Section. 

 Provide technical and subject-matter expertise, 

data, advice, and staff support for operations that 

fall within the domain of each agency. 
ESF #13-6 ESF #13 – Public Safety and Security Annex December 2004 

 National Response Plan 

Agency Functions1

Department of Agriculture/ 

Forest Service 

May provide trained personnel and security resources, and, as appropriate, 

Federal public safety and security authorities for areas under their jurisdiction. 

Department of Commerce 

(DOC) 

Provides overall support regarding weather services during disasters 

and airborne plume prediction. Various components of DOC provide other 

functions such as: 

 National Oceanic and Atmospheric Administration (NOAA): Provides 

law enforcement and security capabilities, nautical and aeronautical 

charting, surveys, tidal and geodetic services, and geo-referenced coastal 

imagery. In addition, NOAA provides support through the Satellite Vessel 

Surveillance System; tracking infrastructure; and public dissemination of 

critical pre-event and post-event information over the all-hazards NOAA 

Weather Radio (NWR) system, the NOAA Weather Wire Service, and the 

Emergency Managers’ Weather Information Network (EMWIN). 

 National Weather Service: Provides weather information and dispersion 

forecasts through its National Centers for Environmental Prediction and its 

local weather forecast offices, as well as meteorology services. Provides 

public dissemination of critical pre-event and post-event information over 

the all-hazards NWR system, NOAA Weather Wire Service, and EMWIN. 

 Office of Oceanic and Atmospheric Research: Provides airborne 

pollution dispersion prediction. 

Department of 

Defense/U.S. Army Corps 

of Engineers 

Provides physical and electronic security systems assistance and expertise. 

Department of Energy 

(DOE) 

 Ensures that capabilities are in place to provide an appropriate response to 

a DOE facility emergency and to nuclear or radiological emergencies 

within the United States or abroad. This includes support to the Domestic 

Emergency Support Team (DEST), FBI, Department of Homeland 

Security (DHS), Nuclear Regulatory Commission (NRC), Environmental 

Protection Agency (EPA), Attorney General, Department of State (DOS), 

and others to provide technical advice on radiological issues for the 

protection of the public and the environment. 

 Provides security support at DOE/National Nuclear Security 

Administration (NNSA) facilities. May require appropriate assistance 

when responding to a location other than a DOE/NNSA facility. 

 

1

 Consistent with the Implementation Guidance in the NRP Base Plan, ESF #13 primary and support agencies will fully 

define the functions of participating agencies and develop public safety and security policies and procedures within 120 days 

of the issuance of the NRP. 
December 2004 ESF #13 – Public Safety and Security Annex ESF #13-7 

 National Response Plan 

Agency Functions1

U.S. Secret Service (USSS): Protects the President and Vice President, their 

families, heads of state, and other designated individuals, and plans and 

implements security designs for designated National Special Security Events. 

DHS/USSS investigates violation of laws relating to counterfeiting of 

obligations and securities of the United States; financial crimes that include, 

but are not limited to, access device fraud, financial institution fraud, identity 

theft, computer fraud; and computer-based attacks on our Nation’s financial, 

banking, and telecommunications infrastructure. Consistent with Federal law 

and regulations, DHS/USSS provides requested support through its law 

enforcement and other components as available. 

Department of Homeland 

Security 

U.S. Coast Guard (USCG): DHS/USCG has primary responsibility for 

maritime homeland security and safety. It maintains numerous law 

enforcement and security capabilities, both locally based through the Captain 

of the Port offices, and strategically located special teams such as the Maritime 

Safety and Security Teams (MSSTs). DHS/USCG may establish security 

zones, inspect and search vessels and waterfront facilities, and supervise and 

control the movement of vessels. Captains of the Port (who also serve as 

Federal Maritime Security Coordinators) coordinate local security planning 

efforts with Federal, State, local, and private-sector organizations. The Coast 

Guard MSSTs are a rapid-response force capable of nationwide deployment to 

meet emerging threats. MSST capabilities include: 

 Maritime interdiction and law enforcement; 

 Anti-terrorism/force protection; 

 Weapons of mass destruction detection; 

 Explosives detection; 

 Commercial port protection/anti-sabotage; 

 Underwater detection; and 

 Canine handling teams. 
ESF #13-8 ESF #13 – Public Safety and Security Annex December 2004 

 National Response Plan 

Agency Functions1

Border and Transportation Security Directorate (DHS/BTS): Includes 

Customs and Border Protection (DHS/BTS/CBP), the Transportation Security 

Administration (DHS/BTS/TSA), and Immigration and Customs Enforcement 

(DHS/BTS/ICE). 

 DHS/BTS/CBP: Uniformed law enforcement officers; Tactical Unit and 

Search, Trauma, and Rescue personnel; specialty vehicles including fixedand rotary-wing aircraft and marine vessels; imaging equipment, such as 

full truck/container-size x-ray and gamma-ray systems; radiation detection 

equipment; jump-team response capabilities and expert reach-back for 

resolution of radiation detection incidents or suspected chemical or 

biological response situations; canine teams for detection of humans as 

well as explosives; and 24/7 analysis and targeting capability on persons 

and cargo. 

 DHS/BTS/ICE: Uniformed law enforcement officers; Criminal 

Investigators and Federal Air Marshals; Special Response, Crisis 

Negotiation, and Fugitive Operations Teams; fixed- and rotary-wing 

aircraft and marine vessels, including aircraft capable of command and 

control, Airborne Early Warning, and radiation search missions; mobile 

command vehicles; radiological measuring/identifier devices; canine 

teams; custodial facilities; and a transportation fleet of secure buses, 

detainee transport vans, and special purpose vehicles. 

 DHS/BTS/TSA: Federal Security Directors (FSDs) and Assistant FSDs 

for Law Enforcement who coordinate emergency response on behalf of 

DHS at airports; and canine explosive-detection teams. 

Science and Technology Directorate (DHS/S&T): Provides rapid S&T 

subject-matter expertise to response units, interagency partners, and State and 

local entities. 

Department of Homeland 

Security (Continued)

Information Analysis and Infrastructure Protection Directorate 

(DHS/IAIP): Through its Protective Security Division, conducts vulnerability 

assessments, performs risk analyses, and coordinates protective measures in 

conjunction with the private sector and State, local, and Federal agencies. 

Department of the Interior 

(DOI) 

DOI may provide trained law enforcement personnel and security resources, 

and, as appropriate, Federal law enforcement, investigative, and security 

authorities for areas under DOI jurisdiction or to other locations if appropriate 

authority is provided by the requesting jurisdiction. 

DOI capabilities include: 

 Special event teams/civil disturbance units to handle large-scale 

demonstrations, special events, and crowd control; 

 Protestor device extrication teams; 

 Hazardous materials technicians and first responders; 

 Horse-mounted units, backcountry tracking teams, snowmobile and ATV 

assets; 

 Aviation assets including fixed- and rotary-wing capability; 

 Marine assets including certified boat operators and divers; and 

 Mobile communications cache and command post. 
December 2004 ESF #13 – Public Safety and Security Annex ESF #13-9 

 National Response Plan 

Agency Functions1

Department of Justice Consistent with Federal law and regulations, DOJ provides requested support 

through its law enforcement or other components as available. 

Department of Veterans 

Affairs 

Provides staff to protect veterans hospitals/homes during an emergency. 

Environmental Protection 

Agency 

EPA’s Office of Criminal Enforcement, Forensics, and Training, which 

incorporates the Criminal Investigation Division (CID) and National 

Enforcement Investigation Center (NEIC), provides assistance as follows: 

 National Counter-Terrorism Evidence Response Team/CounterTerrorism Response Team: Specialized evidence response teams for 

EPA trained in forensic evidence preservation and collection in a 

contaminated environment for a wide range of hazardous materials. 

 CID: Law enforcement arm of EPA that investigates allegations of 

criminal violations of all Federal environmental statutes. 

 NEIC: Technical support center for EPA enforcement and compliance 

assurance programs nationwide that specializes in forensic analysis of 

industrial chemicals. 

National Aeronautics and 

Space Administration 

(NASA) 

As available, NASA assets and capabilities, such as geospatial modeling and 

decision support systems, aircraft with sensors, unmanned aerial vehicles, and 

a search and rescue team, may be utilized. These assets are designed to 

support a NASA event or NASA properties, but may be provided if requested 

for ESF #13 missions. 

Social Security 

Administration (SSA) 

SSA protective and investigative units may be deployed during an emergency. 

U.S. Postal Service (USPS) Subject to the availability of resources and funding, and consistent with the 

Postal Service mission, USPS provides support to worker protection, public 

health, medical prophylaxis, disease surveillance, criminal investigation, 

emergency response, waste disposal, mail security, sampling methods, and 

bioterrorism response operations. 

Private Sector Plays a key role in protecting critical infrastructures and telecommunications 

systems, and partnering with the government on security-related technologies 

and research and development. These entities are coordinated through 

DHS/IAIP during response. 
ESF #13-10 ESF #13 – Public Safety and Security Annex December 2004 

 National Response Plan 

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December 2004 ESF #14 – Long-Term Community Recovery and Mitigation Annex ESF #14-1 

 National Response Plan 

Emergency Support Function #14 – Long-Term Community Recovery and Mitigation Annex

ESF Coordinator: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Primary Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Department of Housing and Urban Development 

Department of the Treasury 

Small Business Administration 

Support Agencies: 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of the Interior 

Department of Labor 

Department of Transportation 

Environmental Protection Agency 

Tennessee Valley Authority 

American Red Cross 

Introduction

Purpose 

Emergency Support Function (ESF) #14 – LongTerm Community Recovery and Mitigation provides 

a framework for Federal Government support to 

State, regional, local, and tribal governments, 

nongovernmental organizations (NGOs), and the 

private sector designed to enable community 

recovery from the long-term consequences of an 

Incident of National Significance. This support 

consists of available programs and resources of 

Federal departments and agencies to enable 

community recovery, especially long-term 

community recovery, and to reduce or eliminate risk 

from future incidents, where feasible. 

Scope 

The policies and concepts in this annex apply to 

appropriate Federal departments and agencies 

following an Incident of National Significance that 

affects the long-term recovery of a community. 

Based on an assessment of incident impacts, ESF 

#14 support may vary depending on the magnitude 

and type of incident and the potential for long-term 

and severe consequences. ESF #14 will most likely 

be activated for large-scale or catastrophic incidents 

that require Federal assistance to address significant 

long-term impacts in the affected area (e.g., impacts 

on housing, businesses and employment, community 

infrastructure, and social services). 

Policies 

 ESF #14 recognizes the primacy of affected 

State, local, and tribal governments and the 

private sector in defining and addressing risk 

reduction and long-term community recovery 

priorities. 

 Federal agencies continue to provide recovery 

assistance under independent authorities to 

State, local, and tribal governments; the private 

sector; and individuals, while coordinating 

activities and assessments of need for additional 

assistance through the ESF #14 coordinator. 

 ESF #14 excludes economic policymaking and 

economic stabilization. The National Economic 

Council, the Council of Economic Advisors, and 

the Department of the Treasury develop all 

national economic stabilization policy. 

 Federal support is tailored based on the type, 

extent, and duration of the event and long-term 

recovery period, and on the availability of 

Federal resources. 
ESF #14-2 ESF #14 – Long-Term Community Recovery and Mitigation Annex December 2004 

 National Response Plan 

 Long-term community recovery and mitigation 

efforts are forward-looking and market-based, 

focusing on permanent restoration of 

infrastructure, housing, and the local economy, 

with attention to mitigation of future impacts of 

a similar nature, when feasible. 

 The Federal Government uses the post-incident 

environment as an opportunity to measure the 

effectiveness of previous community recovery 

and mitigation efforts. 

 ESF #14 facilitates the application of lossreduction building science expertise to the 

rebuilding of critical infrastructure (e.g., in 

repairing hospitals or emergency operation 

centers to mitigate for future seismic or tornado 

risk). 

Concept of Operations

General: ESF #14 provides the coordination 

mechanisms for the Federal Government to: 

 Assess the social and economic consequences in 

the impacted area and coordinate Federal efforts 

to address long-term community recovery issues 

resulting from an Incident of National 

Significance; 

 Advise on the long-term recovery implications 

of response activities and coordinate the 

transition from response to recovery in field 

operations; 

 Work with State, local, and tribal governments; 

NGOs; and private-sector organizations to 

conduct comprehensive market disruption and 

loss analysis and develop a market-based 

comprehensive long-term recovery plan for the 

affected community; 

 Identify appropriate Federal programs and 

agencies to support implementation of the longterm community recovery plan, ensure 

coordination, and identify gaps in resources 

available; 

 Avoid duplication of assistance, coordinate to 

the extent possible program application 

processes and planning requirements to 

streamline assistance, and identify and 

coordinate resolution of policy and program 

issues; and 

 Determine/identify responsibilities for recovery 

activities, and provide a vehicle to maintain 

continuity in program delivery among Federal 

departments and agencies, and with State, local, 

and tribal governments and other involved 

parties, to ensure followthrough of recovery and 

hazard mitigation efforts. 

Organization 

Headquarters: ESF #14 representatives participate 

in pre-incident meetings and pre- and post-incident 

coordinating activities. The Department of 

Homeland Security/Emergency Preparedness and 

Response/Federal Emergency Management Agency 

(DHS/EPR/FEMA) serves as the ESF #14 

coordinator. Each primary agency participates in 

pre-incident planning activities under ESF #14 and 

provides representatives to the National Response 

Coordination Center as requested. Support agencies 

participate in activities as deemed appropriate. 

Regional and Field Operations: The ESF #14 

coordinator and primary agencies meet to determine 

the need to activate ESF #14 elements when the 

nature of the Incident of National Significance is 

likely to require Federal long-term community 

recovery assistance. ESF #14 organizes within the 

Operations Section of the Joint Field Office (JFO). 

Agency representation depends on the nature and 

severity of the incident. 

Actions 

Long-Term Pre-Incident Planning and 

Operations 

 Meets regularly at the national and regional 

levels to ensure procedures and program/contact 

information are up to date, to discuss lessons 

learned from incidents and exercises, and to 

explore ways to leverage available resources by 

creatively packaging Federal assistance. 
December 2004 ESF #14 – Long-Term Community Recovery and Mitigation Annex ESF #14-3 

 National Response Plan 

 Develops coordination mechanisms and 

requirements for post-incident assessments, 

plans, and activities that can be scaled to 

incidents of varying types and magnitudes. 

 Coordinates development of national strategies 

and plans in coordination with ESF #3 – Public 

Works and Engineering; ESF #6 – Mass Care, 

Housing, and Human Services; ESF #10 – Oil 

and Hazardous Materials Response; and others, 

as appropriate, to address key issues for 

catastrophic incidents such as incident housing 

and permanent housing, contaminated debris 

management, decontamination and 

environmental restoration, restoration of public 

facilities and infrastructure, restoration of the 

agricultural sector, and short- and long-term 

community recovery. 

 Involves, as appropriate, State, local, and tribal 

government representatives, local planning and 

building science organizations, NGOs, and 

private-sector organizations in pre-event 

planning activities. 

 Establishes procedures for integration of preincident planning and risk assessment with postincident recovery and mitigation efforts. 

 Develops action plans delineating appropriate 

agency participation and resources available that 

take into account the differing technical needs 

for risk assessment and statutory responsibilities 

by hazards. Plans include scaling to appropriate 

levels of staffing and coordination based on the 

nature and size of the incident. 

Immediately Prior to Incident (when notice is 

available―e.g., hurricane, flood) 

 In coordination with other ESFs, as appropriate, 

uses predictive modeling, such as the Hazards 

U.S. (HAZUS) loss estimation methodology, to 

ascertain vulnerable critical facilities as a basis 

for identifying recovery priorities. 

 Provides early identification of projects to be 

quickly implemented, especially those relating 

to critical facilities based on existing local and 

State plans. 

 In collaboration with the State, assigns Federal 

and State staff for Preliminary Damage 

Assessment teams, if feasible, to identify and 

document economic impact and losses avoided 

due to previous mitigation and new priorities for 

mitigation in the incident-affected area. 

Post-Event Planning and Operations 

 Gathers information from Federal departments 

and agencies and impacted State, local, and 

tribal governments to assess the scope and 

magnitude of the social and economic impacts 

on the affected geographic region. Convenes 

interagency meetings to: 

 Develop an incident-specific Federal action 

plan to delineate specific agency 

participation to support specific community 

recovery and mitigation activities, using preincident Federal, State, local, and tribal 

plans, to the extent appropriate, and take 

actions to avoid duplication of assistance to 

recipients; and 

 Facilitate sharing of information and 

identification of issues among agencies and 

ESFs, and coordinate early resolution of 

issues and the delivery of Federal assistance 

to minimize delays for assistance recipients. 

 Coordinates identification of appropriate Federal 

programs to support implementation of longterm community recovery plans and gaps under 

current authorities and funding. This process 

identifies programs, waivers, funding levels, 

requests for additional authorities, and possible 

new legislation needed to address identified 

program gaps. 

 Coordinates implementation of the 

recommendations for long-term community 

recovery with the appropriate Federal 

departments and agencies if the 

recommendations include program waivers, 

supplemental funding requests, and/or legislative 

initiatives. 

 Within the affected area, coordinates assessment 

of accuracy and recalibration of existing hazard, 

risk, and evacuation modeling used by Federal, 

State, local, and tribal governments. 
ESF #14-4 ESF #14 – Long-Term Community Recovery and Mitigation Annex December 2004 

 National Response Plan 

 Facilitates recovery decisionmaking across 

ESFs. Also facilitates awareness of postincident digital mapping and pre-incident State, 

local, and tribal hazard mitigation and recovery 

planning across ESFs. 

Responsibilities

ESF Coordinator: DHS/EPR/FEMA 

 Convenes meetings pre- and post-incident to 

implement ESF #14. 

 Coordinates drafting and publication of ESF #14 

operational plans and procedures. 

 Represents ESF #14 at interagency planning 

meetings. 

 Serves as primary representative of ESF #14 at 

the JFO and ensures appropriate participation 

from primary and support agencies after 

incidents. 

Primary Agencies 

 Lead planning efforts for areas of agency 

expertise, and lead post-incident assistance 

efforts for areas of department/agency expertise. 

 Identify areas of collaboration with support 

agencies and facilitate the interagency integrated 

assistance delivery, issue resolution, and 

planning efforts. 

Agency Responsibilities 

Department of Agriculture Emergency loans for agricultural sector, technical assistance for agricultural 

market recovery, rural housing, technical assistance for resource conservation, 

and technical and financial assistance for emergency watershed protection. 

Department of 

Commerce/Economic 

Development Administration 

Economic recovery and growth assistance, technical assistance in community 

planning, and economic assessment expertise. 

Department of Homeland 

Security/Emergency 

Preparedness and 

Response/Federal 

Emergency Management 

Agency 

Technical assistance in community and State planning; recovery and mitigation 

grant and insurance programs; outreach and public education; building science 

expertise; and natural hazard vulnerability/risk assessment expertise. 

Department of Housing and 

Urban Development 

Building technology technical assistance, and assistance for: housing; 

community redevelopment and economic recovery; public services; 

infrastructure; mortgage financing; and public housing repair and 

reconstruction. 

Department of the Treasury Economic and financial resilience and vitality, including reliability of public 

and private payments systems and financial flows, and removal of impediments 

to economic activity. 

Small Business 

Administration 

Long-term loan assistance to homeowners, renters, businesses of all sizes, and 

nonprofit organizations for repair, replacement, mitigation, relocation, or coderequired upgrades of incident-damaged property. Loan assistance to small 

businesses to address adverse economic impact due to the incident. 
December 2004 ESF #14 – Long-Term Community Recovery and Mitigation Annex ESF #14-5 

 National Response Plan 

Support Agencies 

Participate in planning efforts for areas of agency expertise, and provide program assistance and expertise as 

appropriate and in coordination with other ESF departments and agencies. Support agencies include: 

Agency Responsibilities 

Economic and Statistics Administration: Performs economic impact 

assessment. 

National Institute of Standards and Technology: Provides building science 

expertise. 

Department of Commerce 

National Oceanic and Atmospheric Administration: Provides natural hazard 

vulnerability analysis expertise and coastal zone management. 

Department of Defense/U.S. 

Army Corps of Engineers 

 Provides technical assistance in community planning and civil engineering, 

and natural hazard risk assessment expertise. 

 Supports the development of national strategies and plans related to housing 

and permanent housing, debris management, and the restoration of public 

facilities and infrastructure. 

Department of Energy  Assists in the economic assessment of an incident based on degradation to 

energy infrastructure. 

 Provides the appropriate support and resources to assist in energy 

infrastructure restoration. 

 Provides technical advice in radioactive debris management. 

Department of Health and 

Human Services 

Provides expertise in long-term health and medical concerns and mental health 

services. 

Border and Transportation Security Directorate, Transportation Security 

Administration: Coordinates security of the Nation’s transportation system in 

times of national emergency. 

Information Analysis and Infrastructure Protection Directorate: Provides 

technical expertise in protective measures for critical infrastructure. 

Department of Homeland 

Security 

Private-Sector Liaison: Provides expertise in private-sector capabilities and 

services; provides coordination with private-sector organizations. 

Department of the Interior Provides technical assistance in community planning, and natural and cultural 

resources expertise; community liaison for federally owned lands and facilities; 

and natural hazard vulnerability analysis expertise. 

Department of Labor Conducts incident unemployment programs; provides job training and retraining 

assistance, and expertise in economic assessment. 

Department of 

Transportation 

Provides technical assistance in transportation planning and engineering and 

transportation assistance programs. 

Environmental Protection 

Agency 

Provides technical assistance for planning for contaminated debris management 

and environmental remediation. 
ESF #14-6 ESF #14 – Long-Term Community Recovery and Mitigation Annex December 2004 

 National Response Plan 

Agency Responsibilities 

Tennessee Valley Authority Provides technical expertise in Federal lands stewardship and electrical grid 

operations. 

American Red Cross Provides mass care services; individual immediate and long-term family 

services; post-event mitigation; referral support; and health and mental health 

services. 
December 2004 ESF #15 – External Affairs Annex ESF #15-1 

 National Response Plan 

Emergency Support Function #15 – External Affairs Annex

ESF Coordinator: 

Department of Homeland Security 

Primary Agency: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Support Agencies: 

All 

Introduction

Purpose 

Emergency Support Function (ESF) #15 – External 

Affairs ensures that sufficient Federal assets are 

deployed to the field during a potential or actual 

Incident of National Significance to provide 

accurate, coordinated, and timely information to 

affected audiences, including governments, media, 

the private sector, and the local populace. ESF #15 

provides the resource support and mechanisms to 

implement the National Response Plan – Incident 

Communications Emergency Policy and Procedures 

(NRP-ICEPP) described in the NRP Public Affairs 

Support Annex. 

Scope 

 ESF #15 coordinates Federal actions to provide 

the required external affairs support to Federal, 

State, local, and tribal incident management 

elements. This annex details the establishment 

of support positions to coordinate 

communications to various audiences. ESF #15 

applies to all Federal departments and agencies 

that may require public affairs support or whose 

public affairs assets may be employed during an 

Incident of National Significance. 

 The provisions of this annex apply to Incidents 

of National Significance, and any National Oil 

and Hazardous Substances Pollution 

Contingency Plan (NCP) response or other event 

designated by the Department of Homeland 

Security (DHS) Assistant Secretary for Public 

Affairs where significant interagency 

coordination is required. 

 ESF #15 is organized into the following 

functional components: Public Affairs, 

Community Relations, Congressional Affairs, 

International Affairs, State and Local 

Coordination, and Tribal Affairs. The primary 

functions of each of these areas are described in 

the “Concept of Operations” section below. 

 ESF #15 provides the resources and structure for 

the implementation of the NRP-ICEPP. Incident 

communications actions contained in the NRPICEPP are consistent with the template 

established in the National Incident Management 

System (NIMS). NCP and Alien Migrant 

Interdiction Operations guidelines also utilize 

DHS Office of Public Affairs (OPA) resources 

and fall under the provisions of this annex. 

Personnel operating under these plans must be 

familiar with the provisions of ESF #15 in the 

event that an incident is elevated to an Incident 

of National Significance. 

Policies 

 Federal planning for external affairs functions 

recognizes State, local, and tribal responsibilities 

for providing information to their citizens. 

Nothing in this document should be construed as 

diminishing or usurping those responsibilities. 

In the unlikely event that State, local, and tribal 

governments are unable to perform these 

responsibilities, the Federal Government may 

provide vital health and safety information to the 

affected population. 
ESF #15-2 ESF #15 – External Affairs Annex December 2004 

 National Response Plan 

 State, local, and tribal external affairs elements 

are fully integrated into ESF #15. 

 The external affairs efforts are coordinated in 

support of a unified message as directed by the 

DHS Assistant Secretary for Public Affairs. 

Concept of Operations

ESF #15 identifies the procedures to resource the 

external affairs processes as described in the NRP. 

External affairs resources are coordinated by the 

ESF #15 representatives in the National Response 

Coordination Center (NRCC) as directed by the 

DHS Assistant Secretary for Public Affairs. ESF 

#15 provides the Federal resource and 

implementation mechanisms to ensure delivery of 

the messages developed in coordination with the 

interagency core group (described in the Public 

Affairs Support Annex) and the Interagency Incident 

Management Group (IIMG). The staff of the DHS 

OPA coordinates messages with public affairs 

representatives from all involved departments and 

agencies. See the Public Affairs Support Annex for 

more detail. 

General 

ESF #15 Coordinator: When directed by the DHS Assistant Secretary for Public Affairs, the ESF #15 

coordinator staffs a position in the NRCC. The ESF #15 representative at the NRCC coordinates resources 

needed for the external affairs mission until it is determined by the DHS Assistant Secretary for Public Affairs, in 

coordination with the NRCC, Regional Response Coordination Center, and Joint Field Office (JFO) leadership, 

that they are no longer necessary. 

Normal external affairs activities of Federal departments and agencies that are not directly related to the incident 

remain under the purview of those agencies and do not require coordination with ESF #15. 

Resource Supports external affairs by: 

Public Affairs (PA)  Coordinating messages with Federal, State, local, and tribal governments 

and establishing a Federal Joint Information Center (JIC). 

 Gathering information on the incident. 

 Providing incident-related information through the media and other sources 

to individuals, families, businesses, and industries directly or indirectly 

affected by the incident. 

 Using a broad range of resources to disseminate information. 

 Monitoring news coverage to ensure that accurate information is 

disseminated. 

 Handling appropriate special projects such as news conferences and press 

operations for incident area tours by government officials and other 

dignitaries. 

 Providing support and advice to the Principal Federal Official, the Federal 

Coordinating Officer/Federal Resource Coordinator, and other members of 

the JFO Coordination Group. 

 Providing basic services, such as communications and supplies, to assist the 

news media in disseminating information to the public. 

 Overseeing the key function of media relations. 
December 2004 ESF #15 – External Affairs Annex ESF #15-3 

 National Response Plan 

Resource Supports external affairs by: 

Community Relations (CR)  Preparing an initial action plan with incident-specific guidance and 

objectives, at the beginning of an actual or potential incident. 

 Conducting the external affairs function in a joint manner between Federal 

and State personnel, when available. Field teams are organized and 

dispersed throughout the affected area. Teams include trained Federal, 

State, tribal, and, if necessary, locally hired persons who know the 

community. 

 Coordinating closely with the affected State(s) to identify community 

leaders (e.g., grassroots, political, religious, educational, business, labor, 

ethnic) and neighborhood advocacy groups to assist in the rapid 

dissemination of information, identify unmet needs, establish an ongoing 

dialogue and information exchange, and facilitate collaborative Federal, 

State, and local planning and mutual support for disaster recovery. 

 Deploying management and field officers simultaneously with other initial 

elements as directed by the ESF #15 coordinator at the JFO. 

Congressional Affairs (CA)  Establishing contact with congressional offices representing affected areas 

to provide information on the incident. 

 Organizing an initial interagency congressional briefing within 18 hours of 

the event when possible and conducting daily briefings thereafter. 

 Arranging for incident site visits for Members of Congress and their staffs. 

 Responding to congressional inquiries. 

 Assisting in the development of written materials for presentations and 

making congressional notifications. 

 Coordinating with the local liaison officers (LNOs) on all CA issues to 

ensure coordinated efforts. 

International Affairs (IA)  Coordinating with the DHS Office of International Affairs liaisons to the 

IIMG and the Department of State (DOS) Operations Center. 

 Coordinating with DOS on all matters requiring international involvement. 

(See the International Coordination Support Annex for more details.) 

 Coordinating the exchange of liaisons, in conjunction with DOS, with 

appropriate countries in the event of an incident affecting multiple nations. 

State and Local 

Coordination (S&L) 

 Promoting Federal interaction with State, local, and tribal governments. 

 Implementing a system of information-sharing among Federal, State, local, 

and tribal governments. 

 Informing State and local elected and appointed officials on response 

efforts, protocols, and recovery programs. 

 Disseminating information with the assistance of State municipal leagues 

and county associations. 
ESF #15-4 ESF #15 – External Affairs Annex December 2004 

 National Response Plan 

Resource Supports external affairs by: 

Tribal Affairs (TA)  Providing a Tribal Relations Officer to coordinate with tribal governments 

on all aspects of incident management operations and report directly to the 

External Affairs Officer or JFO Coordination Group. 

 Supporting the Tribal Relations Operations Element with incident-specific 

subject-matter experts from other departments and agencies, if and when 

required. 

 Depending on the situation, establishing a Tribal Relations Information 

Element within the Tribal Relations Operations Element to manage the 

timely flow of information to and from the tribes involved in the incident. 

 Organizing and managing a Tribal Relations Field Component to facilitate 

Federal Government relations with tribal governments and their incident 

management organizations, communities, victims, and tribal advocacy 

groups. 

Organization 

The DHS Assistant Secretary for Public Affairs, in 

coordination with the NRCC, activates and directs 

ESF #15 procedures. The DHS/EPR/FEMA OPA 

designates a DHS/EPR/FEMA Public Affairs staff 

member as an ESF #15 representative to staff the 

NRCC as directed. During an Incident of National 

Significance, ESF #15 activities are implemented in 

coordination with the DHS OPA components of the 

HSOC and IIMG. The ESF #15 coordinator alerts 

additional supporting departments and agencies to 

provide representatives to the appropriate ESF #15 

location, or to provide representatives who are 

immediately available via telecommunications (e.g., 

telephone, fax, conference calls) to provide support. 

External affairs components collocate with the 

Command Staff as designated in the NIMS and the 

NRP. ESF #15 components provide appropriate 

representatives available to deploy rapidly to the 

incident location. 

Responsibilities

Primary Agency: DHS/EPR/FEMA 

Resources provided by DHS/EPR/FEMA in support 

of ESF #15 missions include: 

 Emergency Alert System (EAS): The Federal 

Communications Commission designed the EAS 

as a tool for authorities to quickly send 

important emergency information to a specific 

area. The EAS is designed to deliver EAS 

messages and to account for the needs of such 

special populations as the deaf and those with 

differing language requirements. (EAS replaced 

the Emergency Broadcast System.) 

DHS/EPR/FEMA is the executive agent for the 

White House for EAS. 

 Activation and Operation: When the 

activation order is given by national authorities 

to DHS/EPR/FEMA, the agency can access 

broadcast stations around the Nation within 

several minutes. Authorities can deliver 

emergency messages and instructions in audio 

format. 

 State Use: The EAS is available for State use. 

States may maintain supporting plans to cover 

EAS operations. DHS/EPR/FEMA coordinates 

EAS management issues with State authorities. 
December 2004 ESF #15 – External Affairs Annex ESF #15-5 

 National Response Plan 

 Mobile Emergency Response Support 

(MERS): DHS/EPR/FEMA’s MERS provides 

mobile telecommunications, operational support, 

life support, and power generation assets for the 

on-site management of all-hazard activities. 

MERS provides a deployable broadcast radio 

capability for multimedia communications, 

information processing, logistics, and 

operational support to Federal, State, and local 

authorities during Incidents of National 

Significance and domestic incidents. MERS is a 

valuable recovery resource to update the public 

and affected population. 

 Recovery Radio Network: DHS/EPR/FEMA 

works with local broadcasters to set up the 

Recovery Radio Network, which provides 

official information hourly, several times a day, 

about the incident response and recovery effort 

by offering a pool feed to local stations. 

Distribution can be provided through the EAS 

network. All broadcasters are required to have 

equipment to monitor and air EAS programs, 

and most primary EAS stations have portable, 

remote pick-up equipment that can be installed 

in the JIC. Alternatively, telephone or two-way 

radio can be used to deliver programming to the 

EAS distribution point. The Recovery Radio 

Network is implemented by a team whose size 

depends on the scope of the incident. 

Support Agencies 

Agency Functions 

Department of 

Commerce/National Oceanic 

and Atmospheric 

Administration (NOAA) 

NOAA Weather Radio (NWR) is a nationwide network of radio stations 

broadcasting continuous weather information direct from a nearby National 

Weather Service (NWS) office. NWR broadcasts NWS warnings, watches, 

forecasts, and other hazard information 24 hours a day. In conjunction with the 

EAS, NWR provides an "all-hazards" radio network, making it a single source 

for comprehensive weather and emergency information. NWR also broadcasts 

warning and post-event information for all types of hazards: natural (e.g., 

earthquakes and volcano activity), manmade (such as chemical or 

environmental incidents), and terrorism-related. 

Department of Justice 

(DOJ), Community Relations 

Service 

The Community Relations Service of DOJ, through a DHS/EPR/FEMA mission 

assignment, can provide conciliation and mediation training and technical 

assistance in matters of race, color, or national origin; conflict resolution; 

problem solving; cultural awareness; and community tension assessments. 

Corporation for National 

and Community Service 

The Corporation for National and Community Service is responsible for 

providing assistance to States and collaborating agencies to perform specific 

functions for disadvantaged or special-needs disaster victims. The Corporation 

for National and Community Service, through a memorandum of understanding 

with DHS/EPR/FEMA, can be provided a DHS/EPR/FEMA mission 

assignment to support the CR function. 

The Corporation for National and Community Service can provide teams of 

trained personnel to be strategically placed in areas of heaviest need to assist 

senior citizens, people with physical or mental disabilities, and low-income 

populations. The Corporation for National and Community Service includes 

AmeriCorps USA, Volunteers in Service to America, the National Civilian 

Community Group, and the Retired Senior Volunteer Program. 

Other Departments and 

Agencies 

Depending on the nature and scope of the incident, all Federal departments and 

agencies support the NRP and are responsible for providing appropriate support 

for ESF #15 as required. 
ESF #15-6 ESF #15 – External Affairs Annex December 2004 

 National Response Plan 

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Support Annexes Page

Introduction ................................................................................................................ SUP-i 

Financial Management ............................................................................................... FIN-1 

International Coordination ......................................................................................... INT-1 

Logistics Management ............................................................................................. LOG-1 

Private-Sector Coordination ......................................................................................PRV-1 

Public Affairs ............................................................................................................PUB-1

Science and Technology............................................................................................. SCI-1 

Tribal Relations .........................................................................................................TRB-1 

Volunteer and Donations Management.................................................................... VOL-1 

Worker Safety and Health ........................................................................................WSH-1 
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December 2004 Support Annexes Introduction SUP-i 

 National Response Plan 

SUPPORT ANNEXES: INTRODUCTION 

Purpose 

This section provides an overview of the Support Annexes to the National Response Plan (NRP). 

Background 

The Support Annexes describe the framework through which Federal departments and agencies; State, local, and 

tribal entities; the private sector; volunteer organizations; and nongovernmental organizations (NGOs) such as the 

American Red Cross coordinate and execute the common functional processes and administrative requirements 

necessary to ensure efficient and effective incident management. During an incident, numerous procedures and 

administrative functions are required to support incident management. The actions described in the Support 

Annexes are not limited to particular types of events but are overarching in nature and applicable to nearly every 

type of incident. In addition, they may support several Emergency Support Functions (ESFs). Examples include 

public affairs, international affairs, and worker safety and health. 

The following section includes a series of annexes describing the roles and responsibilities, when appropriate, of 

Federal departments and agencies, NGOs, and the private sector for those common activities that support the 

majority of incidents. The annexes address the following areas: 

 Financial Management 

 International Coordination 

 Logistics Management 

 Private-Sector Coordination 

 Public Affairs 

 Science and Technology 

 Tribal Relations 

 Volunteer and Donations Management 

 Worker Safety and Health 

SUPPORT ANNEX ROLES AND RESPONSIBILITIES 

Each Support Annex identifies a coordinating agency and cooperating agencies. In some instances, the 

responsibility of coordinating agency is a joint endeavor between two departments. 

The overarching nature of functions described in these annexes frequently involves either support to or 

cooperation of all the departments and agencies involved in incident management efforts. In some cases, actions 

detailed in the annex also incorporate various components of the Department of Homeland Security (DHS) and 

other departments and agencies to ensure seamless integration of and transitions between preparedness, 

prevention, response, recovery, and mitigation activities. 

The responsibilities of the coordinating agency and cooperating agencies are identified below. 
SUP-ii Support Annexes Introduction December 2004 

 National Response Plan 

SUPPORT ANNEX ROLES AND RESPONSIBILITIES (Continued) 

Coordinating Agency 

Coordinating agencies described in the NRP annexes support the DHS incident management mission by providing 

the leadership, expertise, and authorities to implement critical and specific aspects of the response. In accordance 

with Homeland Security Presidential Directive-5, DHS retains responsibility for overall domestic incident 

management. Federal agencies designated as coordinating agencies are responsible for implementation of 

processes detailed in the annexes. 

When the functions of a particular Support Annex are required to assist in the management of an Incident of 

National Significance, the agency serving as the coordinator is responsible for: 

 Orchestrating a coordinated delivery of those functions and procedures identified in the annex; 

 Providing staff for the operations functions at fixed and field facilities; 

 Notifying and subtasking cooperating agencies; 

 Managing any tasks with cooperating agencies, as well as appropriate State agencies; 

 Working with appropriate private-sector organizations to maximize use of all available resources; 

 Supporting and keeping ESFs and other organizational elements informed of ongoing annex activities; 

 Planning for short-term and long-term support to incident management and recovery operations; and 

 Maintaining trained personnel to execute their appropriate support responsibilities. 

Cooperating Agencies 

When the procedures within a Support Annex are needed to support elements of an incident, the coordinating 

agency will notify cooperating agencies of the circumstances. Cooperating agencies are responsible for: 

 Conducting operations, when requested by DHS or the coordinating agency, using their own authorities, 

subject-matter experts, capabilities, or resources; 

 Participating in planning for short-term and long-term incident management and recovery operations and the 

development of supporting operational plans, standard operating procedures, checklists, or other job aids, in 

concert with existing first-responder standards; 

 Furnishing available personnel, equipment, or other resource support as requested by DHS or the Support 

Annex Coordinator; 

 Participating in training and exercises aimed at continuous improvement of prevention, response, and 

recovery capabilities; and 

 Nominating new technologies or procedures that have the potential to improve performance within or across 

functional areas to DHS for review and evaluation. 

When requested, and upon approval of the Secretary of Defense, the Department of Defense (DOD) provides 

Defense Support of Civil Authorities (DSCA) during domestic incidents. Accordingly, DOD is considered a 

cooperating agency for the majority of Support Annexes. For more information on DSCA, refer to the NRP Base 

Plan. 
December 2004 Financial Management Support Annex FIN-1 

 National Response Plan 

Financial Management Support Annex 

Coordinating Agency: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency (Stafford Act declarations) 

Federal agency requesting Federal-to-Federal 

support (non-Stafford Act declarations) 

Cooperating Agencies: 

All 

 

Introduction

Purpose 

The Financial Management Support Annex provides 

basic financial management guidance for all 

participants in National Response Plan (NRP) 

activities. This includes guidance for all 

departments and agencies providing assistance in 

response to major disasters or emergencies declared 

by the President under the Robert T. Stafford 

Disaster Relief and Emergency Assistance Act (the 

Stafford Act) as well as for departments and 

agencies that request/provide Federal-to-Federal 

support in Incidents of National Significance that do 

not involve the Stafford Act. The financial 

management function is a component of Emergency 

Support Function (ESF) #5 – Emergency 

Management. 

The processes and procedures described in this 

annex ensure that funds are provided expeditiously 

and that financial operations are conducted in 

accordance with established Federal law, policies, 

regulations, and standards. 

Scope 

As part of the Secretary’s responsibility to 

coordinate resources under Homeland Security 

Presidential Directive-5 (HSPD-5), this annex is 

applicable to Federal departments and agencies 

(“Federal agencies”) participating and responding 

under the NRP with assistance or relief as 

coordinated by the Department of Homeland 

Security/Emergency Preparedness and 

Response/Federal Emergency Management Agency 

(DHS/EPR/FEMA) under the authorities of the 

Stafford Act, and to Federal agencies requesting 

and/or providing Federal-to-Federal support for nonStafford Act incidents. 

Concept of Operations 

General – Stafford Act Declarations 

 Pursuant to the Stafford Act, the President “may 

direct any Federal agency, with or without 

reimbursement, to use the authorities and 

resources granted to it under Federal law 

(including personnel, equipment, supplies, and 

facilities, managerial, technical, and advisory 

services) in support of State and local assistance 

efforts.” 

 The Disaster Relief Fund (DRF), appropriated to 

DHS/EPR/FEMA, may be available for 

assistance provided in response to a 

Presidentially declared major disaster or 

emergency as defined by the Stafford Act. 

 For expenditures from the DRF, 

DHS/EPR/FEMA shall use generally accepted 

Federal financial principles, policies, 

regulations, and management controls to ensure 

proper accountability of the fund. 
FIN-2 Financial Management Support Annex December 2004 

 National Response Plan 

General – Non-Stafford Act Incidents of 

National Significance 

 A Federal entity with primary responsibility and 

statutory authority for handling an incident (i.e., 

the requesting agency) that needs support or 

assistance beyond its normal operations may 

request DHS coordination and facilitation 

through the NRP. 

 Generally, the requesting agency provides 

funding for the incident consistent with 

provisions of the Economy Act, unless other 

statutory authorities exist. 

 DHS coordinates assistance using the 

multiagency coordination structures in the NRP 

and in accordance with the National Incident 

Management System (NIMS). 

 In accordance with HSPD-5, Federal 

departments and agencies are expected to 

provide their full and prompt cooperation, 

available resources, and support, as appropriate 

and consistent with their own responsibilities for 

protecting our national security, to the Secretary 

of Homeland Security in the exercise of 

responsibilities and missions as the principal 

Federal official for domestic incident 

management. 

Field Financial Management 

 Joint Field Office (JFO): Upon issuance of a 

Presidential disaster or emergency declaration, 

or the occurrence of an Incident of National 

Significance, a Comptroller is deployed to the 

established JFO to oversee policies and 

procedures for financial management, 

acquisitions, and management controls and to 

report funding activity. The Comptroller serves 

as the Finance and Administration Chief and is 

the Senior Financial Advisor to the Principal 

Federal Officer/Federal Coordinating 

Official/Federal Resource Coordinator 

(PFO/FCO/FRC). 

 National Response Coordination Center 

(NRCC): The Comptroller serves as a liaison 

between personnel at the NRCC and the Chief 

Financial Officer (CFO). The Comptroller 

oversees all financial management activities of 

the NRCC and provides the NRCC Director 

with the necessary authority and expertise for 

effective fiscal management during initial 

disaster response activities. During the standdown phase, the Comptroller works with Federal 

agencies to ensure that unneeded funds are 

deobligated as soon as appropriate. 

 Regional Response Coordination Center 

(RRCC): The Comptroller is the CFO’s 

representative to the RRCCs and serves as the 

liaison between the RRCC and the CFO. The 

Comptroller provides the DHS/EPR/FEMA 

Regional Director and Disaster Recovery 

Manager (DRM), if applicable, with the 

necessary expertise and authority essential for 

effective fiscal management during initial 

response activities. During the stand-down 

phase, the Comptroller works with Federal 

agencies to ensure that unneeded funds are 

deobligated as soon as appropriate. 

Funding and Reimbursement 

 Stafford Act Declarations: DHS/EPR/FEMA 

uses the mission assignment (see Attachment 1) 

as an inter/intra-agency document to secure the 

provision of goods and services pursuant to a 

Stafford Act declaration. (See 

www.fema.gov/ofm and “Additional Mission 

Assignment Guidance for Stafford Act 

Declarations” below for more information.) 

 Non-Stafford Act Incidents of National 

Significance: Federal agencies participating in 

the NRP may request and provide Federal-toFederal support by executing inter/intra-agency 

reimbursable agreements, in accordance with the 

Economy Act (31 U.S.C. § 1535) or other 

applicable authorities. Federal agencies 

providing mutual aid support may request 

reimbursement from the requesting agency for 

eligible expenditures. (See Attachment 3, 

Memorandum of Agreement: Mutual Aid for 

Incidents of National Significance (non-Stafford 

Act) for more information.) 
December 2004 Financial Management Support Annex FIN-3 

 National Response Plan 

 The Reimbursement Agreement form used by 

Federal agencies requesting support is the 

Incidents of National Significance Request for 

Federal-to-Federal Support. (See Attachment 3, 

Tab 1.) 

 In accordance with Office of Management and 

Budget (OMB) Circular No. A-11, Federal 

agencies should submit to OMB on the SF-132 

an annual estimate of the amount of 

reimbursable budget authority required to carry 

out their responsibilities under the NRP. 

Responsibilities 

DHS (Stafford Act) and Requesting Agency 

(non-Stafford Act) Chief Financial Officer 

 The CFO uses proper Federal financial 

principles, policies, regulations, and 

management controls to ensure proper 

accountability of funds and provides financial 

management support to Incidents of National 

Significance, such as: 

 Providing advice on financial policy issues 

relative to the Incident of National 

Significance and use of funds; 

 Approving annual overhead rate proposals 

of Federal agencies, if applicable; 

 Expeditious processing of all documented 

and approved requests for reimbursement 

and review of bills prior to processing 

payments to ensure that proper 

documentation supports the expenditures 

claimed; and 

 Performing periodic reviews of open 

obligations to ensure accuracy and 

timeliness and providing financial 

management reports. 

 The CFO appoints a Comptroller from a cadre of 

qualified financial management individuals to 

oversee financial operations and advise on 

financial matters at the NRCC, RRCC, and JFO. 

Comptrollers 

 Comptrollers are responsible for acting as the 

Finance and Administration Chief. Financial 

responsibilities include: 

 Supervising the financial staff at the JFO, 

NRCC, and RRCC, which includes financial 

specialists, financial technicians, and 

contract specialists/contracting officers, 

including those activated under ESF #7 – 

Resource Support; 

 Overseeing travel management at the JFO, 

providing advice and assistance on travel 

policy and serving as the CFO’s travel 

authority at the JFO, and working closely 

with the CFO on complex travel issues; 

 Overseeing contracting and acquisitions 

operations, including credit card purchases 

and grants management responsibilities, and 

coordinating acquisition management 

performed by the contract 

specialists/contracting officers, including 

those activated under ESF #7, with the 

RRCC; 

 Providing policy guidance and necessary 

expertise and authority essential for 

effective fiscal management of expenditures 

to the PFO/FCO/FRC and his/her staff; and 

 Monitoring expenditures, including tracking 

of funds at both object and sub-object code 

levels; tracking and reporting commitments, 

obligations, and disbursements; reviewing 

commitments to ensure proper expenditure 

of funds; and reporting funding activity to 

the PFO/FCO/FRC and CFO on a regular 

basis. 

 Comptrollers work with the JFO program staff 

to ensure adequate funding levels are maintained 

to meet anticipated obligations and expenditures. 
FIN-4 Financial Management Support Annex December 2004 

 National Response Plan 

Cooperating Agencies 

 Cooperating agencies are responsible for 

maintaining documentation to support requests 

for reimbursement, submitting final 

reimbursement requests within the terms of the 

mission assignment or reimbursable agreement, 

and notifying requesting agencies when a task is 

completed and/or when additional time is 

required to complete work in advance of the 

projected completion date. 

 Cooperating agencies are expected to apply 

proper financial principles, policies, regulations, 

and management controls to ensure full 

accountability for the expenditure of funds. 

Financial Controls and Guidance 

General 

 Because timely financial support of response 

activities is crucial to achieving the operational 

objectives of saving lives and protecting 

property, expeditious means are employed to 

facilitate proper financing of operations. 

 Federal agencies must use management controls, 

policies, and procedures to reasonably ensure 

that: 1) programs achieve their intended results; 

2) resources are used consistent with agency 

missions; 3) programs and resources are 

protected from waste, fraud, and 

mismanagement; 4) laws and regulations are 

followed; and 5) reliable and timely information 

is obtained, maintained, reported, and used for 

decisionmaking. 

 Federal agencies are responsible for developing 

and maintaining a cost-effective system of 

management controls to ensure that 

Government-funded activities are managed 

effectively, efficiently, economically, and with 

integrity in order to prevent fraud, waste, and 

mismanagement. 

Management Controls and Automated 

Systems 

 When entrusted with or given statutory 

responsibility for public funds, Government 

employees are, in effect, trustees for the 

taxpayers. These “accountable officers” include 

authorized certifying officers, civilian and 

military disbursing officers, collection officers, 

and other employees who by virtue of their 

employment are responsible for or have custody 

of Government funds. These officers are 

responsible for proper payment of funds for 

which they are accountable. They should ensure 

that all bills are properly documented when 

recommending approval/disapproval of 

expenditures. 

 Each Federal agency is responsible for 

establishing effective administrative control of 

funds and segregation of duties for proper 

management controls. A responsible official of 

each agency should be designated as the Action 

Officer to ensure that actions taken and costs 

incurred are consistent and reasonable. 

 Special care must be taken throughout NRP 

operations to maintain logs, formal records, and 

file copies of all expenditures to provide 

accountability and justification for 

reimbursement. 

 Accountable officials must rely on the adequacy 

of automated systems, controls, and personnel 

who process transactions as detailed in the 

Federal Managers’ Financial Integrity Act (31 

U.S.C. 3512 et seq.), and for recurring 

assessment by agency management of the 

adequacy of accounting systems and 

management controls. 
December 2004 Financial Management Support Annex FIN-5 

 National Response Plan 

Additional Mission Assignment Guidance for Stafford Act Declarations 

 DHS/EPR/FEMA may issue mission 

assignments to other Federal agencies to: 1) 

address a State's request for Federal assistance to 

meet unmet emergency needs; or 2) support 

overall Federal operations pursuant to, or in 

anticipation of, a Stafford Act declaration. The 

mission assignment is issued to a primary 

agency by using FEMA Form 90-129, Mission 

Assignment (see Attachment 1) with, as 

applicable, funding, funding limitations, the 

requirements of the task(s) to be performed, 

completion date, and State cost-share 

requirements. 

 After consultation with the FCO, missionassigned ESF primary agencies may authorize 

support agencies as necessary to accomplish the 

required tasks. If a primary agency determines 

that the services of a support agency are needed, 

the primary agency should provide the support 

agency with written instructions and funding 

limitations. Primary agencies may use any 

appropriate and workable document; the ESF 

Mission Assignment Subtasking Request form 

(see Attachment 2) may be used. Support 

agencies must submit breakdowns of costs by 

sub-object class code to the primary ESF 

agency, which must review and approve the 

documentation before forwarding it to 

DHS/EPR/FEMA for reimbursement. 

 Notwithstanding the documents used, 

support agencies MUST seek reimbursement 

approval from their primary agency, not 

DHS/EPR/FEMA. 

 Advances are generally NOT authorized by 

DHS/EPR/FEMA, but may be authorized by 

the primary agency, based upon terms of 

agreements with the primary agency. 

 The General Services Administration (GSA) 

may function as a procurement agent to obtain 

goods and services for Federal agencies other 

than DHS/EPR/FEMA. In these cases, GSA 

arrangements are independent of 

DHS/EPR/FEMA and all obligations incurred 

for goods and services for the Federal agencies 

are billed directly to the ordering agency. 

Federal agencies may request reimbursement 

from DHS/EPR/FEMA only after receipt of an 

invoice. 

 Additional detail on the mission assignment 

process, including reimbursement and billing 

information, can be found at 

www.fema.gov/ofm. 

Federal Financial Management Resources 

The following is a compendium of resources for 

Federal financial management. It is not meant to be 

all-inclusive, but to be used as a reference for 

general guidance. 

DHS/EPR/FEMA: Regulations promulgated by 

DHS/EPR/FEMA to support implementation of the 

Stafford Act and guide activity under its authority 

comprise Title 44 of the Code of Federal 

Regulations (CFR) and remain in effect until 

superseded. Additional information regarding 

financial management requirements for Stafford Act 

funding can be found at www.fema.gov. 

Federal Accounting Standards Advisory Board 

(FASAB): The FASAB develops and recommends 

Statements of Federal Financial Accounting 

Standards and Statements of Federal Financial 

Accounting Concepts, which are the highest 

authority for generally accepted Federal accounting 

principles. The FASAB is sponsored by three of the 

four principals of the Joint Financial Management 

Improvement Program—the Secretary of the 

Treasury, the Comptroller General of the 

Government Accountability Office (GAO), and the 

Director of OMB. 
FIN-6 Financial Management Support Annex December 2004 

 National Response Plan 

GAO: The GAO Policies and Procedures Manual 

for Guidance of Federal Agencies is a codification of 

material previously issued as General Regulations, 

Accounting Systems Memorandums, Accounting 

Principles Memorandums, Circular Letters, 

Bulletins, and other regulations. The provisions of 

this manual remain applicable to all Federal agencies 

unless superseded by the FASAB standards. 

Department of the Treasury: The Treasury 

Financial Manual for Guidance to Departments and 

Agencies (Treasury Financial Manual) is the official 

publication in which the Department of the Treasury 

issues codified instructions for the areas of 

Accounting Forms (Part 1); Central Accounting and 

Reporting (Part 2); Payroll Deductions, 

Withholdings (Part 3); Disbursing (Part 4); Deposits 

(Part 5); and Other Fiscal Matters (Part 6). 

GSA 

 The Federal Travel Regulations are applicable 

to all Federal agencies for determining per diem 

rates and eligible travel expenses. 

 The Federal Management Regulations include 

the policies and guidelines relating to property 

management and the utilization and disposal of 

property in all Executive agencies (41 CFR 

101). 

 The Federal Acquisition Regulation (FAR) 

sets forth the requirements for procuring 

supplies and services from governmental, 

private, and nonprofit sources. Although 

agencies may have their own internal 

supplements to the FAR, they cannot change the 

basic policies of the FAR (48 CFR) unless 

exempted by law. 

OMB: In consultation with Federal agencies, nonFederal parties, and several key interagency 

planning teams, such as the Chief Financial Officers 

Council and the FASAB, OMB promulgates 

financial management policies for the Federal 

Government in published OMB Circulars. 

Other Authorities: Federal agencies should follow 

other authorities and practices as presented in the 

Hierarchy of Federal Generally Accepted 

Accounting Principles (OMB Form and Content 

Bulletins) and as applicable to their programs. 

 
December 2004 Financial Management Support Annex FIN-7 

 National Response Plan 

Attachment 1 

Mission Assignment Form (Stafford Act Declarations) 

DHS/EPR/FEMA Form 90-129 
FIN-8 Financial Management Support Annex December 2004 

 National Response Plan 

Attachment 1 (Continued) 
December 2004 Financial Management Support Annex FIN-9 

 National Response Plan 

Attachment 2 

ESF Mission Assignment (Stafford Act Declarations) 

Subtasking Request Form 
FIN-10 Financial Management Support Annex December 2004 

 National Response Plan 

Attachment 3 

Memorandum of Agreement: Mutual Aid for Incidents of National Significance 

(Non-Stafford Act) 

I. Parties 

The parties to this Memorandum of Agreement (Memorandum) are the Federal departments and agencies 

listed as signatories to the National Response Plan. 

II. Authorities 

A. Homeland Security Act of 2002 (6 U.S.C. §101 et seq.). 

B. Economy Act (31 U.S.C. §1535). 

C. Other Applicable Federal Statutes including, but not limited to: 

1. Clean Water Act, as amended (33 U.S.C. § 1321) 

2 Oil Pollution Act of 1990 (33 U.S.C. § 2701 et seq.) 

3. Comprehensive Environmental Response, Compensation, and Liability Act, as amended 

(42 U.S.C. § 9601 et seq.) 

4. Small Business Act (15 U.S.C. § 631 et seq.) 

5. Public Health Service Act (42 U.S.C. 201 et seq.) 

6. Reciprocal Fire Protection Act (42 U.S.C. § 1856) 

7. Department of Veterans Affairs Emergency Preparedness Act (38 U.S.C. § 1785) 

D. Homeland Security Presidential Directive-5 (HSPD-5). 

III. Purpose 

The Federal Government’s response to an Incident of National Significance will likely exceed the 

authority or capabilities of any individual Federal department, agency, or their elements (“Federal 

agencies”). Coordination and support within and among the Federal agencies is essential to maximize the 

use of available assets, resources, and expertise under the National Response Plan (NRP) to save lives and 

to protect property, natural resources, and public health and safety, or to lessen or avert the threat of a 

catastrophe in any part of the United States. 

Recognizing that each Federal agency has different expertise and resources, and plays an important role in 

responding to Incidents of National Significance, the purpose of this Memorandum is to create a 

framework for interagency or intra-agency mutual aid for Federal-to-Federal support among participants 

of the NRP when Federal-to-Federal support is requested and provided in the event of an actual or 

potential Incident of National Significance that is not declared a major disaster or emergency under the 

Robert T. Stafford Disaster Relief and Emergency Assistance Act, as amended, 42 U.S.C. §§5121-5206 

(“Stafford Act”). 

This Memorandum does not preclude participating Federal agencies from entering into supplementary 

agreements with other Federal agencies for incidents or events within their respective authorities, nor 

does it affect any other agreement to which a Federal agency may currently be, or decide to be, a party. 

This Memorandum does not preclude Federal agencies from requesting or providing assistance on a 

nonreimbursable basis where authorized. 
December 2004 Financial Management Support Annex FIN-11 

 National Response Plan 

Attachment 3 (Continued) 

A. Operating Assumptions 

1. Based on the incident’s scope and effect, mutual aid requirements may vary depending on 

the magnitude and type of event; the stage of the prevention, preparedness, response, or 

recovery efforts; or the availability of resources, including nonmonetary resources. 

2. A Federal entity with primary responsibility and statutory authority for handling an 

incident (i.e., the requesting agency) that needs support or assistance beyond its normal 

capabilities may request DHS coordination and facilitation through the NRP. 

3. Generally, the requesting agency provides funding for the support consistent with 

provisions of the Economy Act, unless other relevant statutory authorities exist. 

4. DHS coordinates assistance using the multiagency coordination structures in the NRP 

and in accordance with the National Incident Management System. 

5. In accordance with HSPD-5, Federal departments and agencies are expected to provide 

their full and prompt cooperation, available resources, and support, as appropriate and 

consistent with their own responsibilities for protecting national security, to the Secretary 

of Homeland Security in the exercise of responsibilities and missions as the principal 

Federal official for domestic incident management. 

B. Operating Procedures

1. Federal agencies participating in the NRP may request and provide Federal-to-Federal 

support by executing interagency or intra-agency reimbursable agreements, in accordance 

with the Economy Act (31 U.S.C. §1535) or other applicable authorities. 

2. The Reimbursable Agreement form to be used by Federal agencies requesting support is 

the Incidents of National Significance Request for Federal-to-Federal Support (see 

Attachment 3, Tab 1). 

3. The period of support for purposes of reimbursement will be as stated in the reimbursable 

agreements. 

4. All Federal entities shall use generally accepted Federal financial principles, policies, 

regulations, and management controls to ensure proper accountability of their respective 

funds. 
FIN-12 Financial Management Support Annex December 2004 

 National Response Plan 

Attachment 3 (Continued) 

IV. Responsibilities 

A. Federal Agencies Requesting Support: Federal agencies requesting mutual aid pursuant to this 

Memorandum shall be responsible for: 

1. Requesting Federal-to-Federal support by executing reimbursable agreements under this 

agreement. The reimbursable agreements describe work to be performed, date of 

completion, and funding limitations. The requesting agency is responsible for monitoring 

the work progress of the supporting agency. 

2. In conjunction with its supporting agencies, advising the Federal Resource Coordinator 

(FRC) of the type of assistance and support requested, from which agencies support has 

been requested, when the support is provided, and the amount and distribution of funding 

required in support of the Incident. 

3. Overseeing all financial management activities relating to financial operations, ensuring 

that sound financial management practices and standards are applied, and ensuring that 

all funds expended are accounted for in accordance with generally accepted accounting 

principles of the Federal Government. 

4. Coordinating requests with OMB and Congress for adequate funding to meet projected 

expenditures for specific incidents/events, as required. 

5. Ensuring expeditious receipt and review of bills or requests for reimbursement for mutual 

aid provided prior to processing payments, and ensuring that proper documentation 

supports the expenditures claimed. 

6. Reviewing all requests for reimbursement for goods and services from supporting 

agencies before payment. The requesting agency certifies that the expenditures claimed 

have been reviewed, are eligible, and are relevant to the request for mutual aid, and that 

costs are reasonable and supported by proper documentation. 

7. Complying with the requirements of the Economy Act or other applicable statutes. 

B. Federal Agencies Providing Support: Federal agencies providing reimbursable mutual aid 

support pursuant to this Memorandum shall be responsible for: 

1. Maintaining appropriate documentation that clearly identifies the assistance provided to 

the requesting agency and supports requests for reimbursement. 

2. Notifying the requesting agency when a task is completed or when additional time is 

required to complete work in advance of the projected completion date. 

3. Submitting final reimbursement requests after completing a task. Final bills should be 

marked “Final.” 

4. Identifying a staff-level point of contact for financial coordination with other agencies 

and identifying a Headquarters-level point of contact for billing and reimbursement 

issues that cannot be resolved at the staff level. 

5. Applying proper financial principles, policies, regulations, and management controls to 

ensure full accountability for expenditures. 

6. Complying with the requirements of the Economy Act or other applicable statutes. 
December 2004 Financial Management Support Annex FIN-13 

 National Response Plan 

Attachment 3 (Continued) 

V. Reimbursement of Federal Agencies Providing Support 

A. Federal agencies providing mutual aid support under this Memorandum shall request 

reimbursement from the requesting agency for eligible expenditures. Requests for reimbursement 

should include a breakdown of charges by budget sub-object class or as otherwise specified by 

the requesting agency. 

B. Fees for goods or services described in reimbursable agreements are paid from funds cited upon 

delivery. Payments are made using the Treasury Intra-governmental Payments and Collections 

(IPAC) system. 

 

C. All requests for reimbursement must contain adequate documentation to support expenditures 

claimed as reimbursable. The vehicle used to obligate funds for authorized expenditures of 

Federal-to-Federal support is the Incidents of National Significance Request for Federal-toFederal Support. 

D. Federal agencies providing support and receiving reimbursement from the requesting agency for 

goods or services shall record such funds to the appropriation against which charges were made 

to fill the order. In accordance with OMB Circular No. A-11, Federal agencies should submit to 

OMB on the SF-132 an annual estimate of reimbursable budget authority expected to carry out 

their responsibilities under the NRP. 

E. Advances of funds under Federal-to-Federal support reimbursable agreements shall comply with 

the business rules set forth in the OMB Memorandum #M-03-01, dated October 4, 2002. 

F. Nothing in this agreement is intended to and does not obligate funds, nor is this agreement to be 

construed as obligating funds of the parties. 

VI. Other Provisions: Nothing herein is intended to conflict with current law or regulation or agency 

directives of any of the parties. If any terms of this Memorandum are found to be inconsistent with any 

such authority, then those terms shall be invalid, but the remaining terms and conditions are not affected 

by the inconsistency and shall remain in full force and effect.

VII. Liability: Each Federal agency shall be liable for the acts and omissions of its own employees to the 

extent provided by Federal laws or regulations. 

VIII. Effective Date: This Memorandum is effective upon signature by the respective signatory Federal 

agencies.

 

IX. Modification: This Memorandum may be amended at any time to further its purposes, extended, or 

renewed by mutual written agreement of the parties. This Memorandum shall be reviewed on a periodic 

basis, but not less than once every five (5) years.

X. Termination: The terms of this Memorandum, as modified with the consent of all parties, remain in 

effect indefinitely unless either terminated by (1) mutual written agreement of the respective parties or (2) 

the giving of thirty (30) days advance written notice by the respective parties. Notwithstanding any 

termination or withdrawal, the terms of this Memorandum shall remain applicable to any outstanding 

Reimbursable Agreement.
FIN-14 Financial Management Support Annex December 2004 

 National Response Plan 

Attachment 3 (Continued) 

APPROVED BY:

The parties to this Memorandum are the Federal departments and agencies listed as signatories to the National 

Response Plan. 
December 2004 Financial Management Support Annex FIN-15 

 National Response Plan 

Attachment 3, Tab 1 

Incidents of National Significance Request for Federal-to-Federal Support 

Request for Federal-to-Federal Support 

I. Tracking Information (Requesting Agency Only): 

State (if applicable) Action Request No. Program Code/Incident No. Date/Time Received 

II. Parties: 

Requesting Agency Supporting Agency 

Contact 

 

Phone 

 

Contact Phone 

 

Name (specify if billing address is different) Name 

 

Address Address 

City State Zip City State Zip 

III. Duration: 

Projected Start Date: Projected End Date: 

IV. Requested Support: 

Brief description of requested support and basis for determining cost: 

(Attach additional sheet for continuation of explanation, if necessary.) 

________ New Request 

______ Amendment to 

Action Request No.________ 

ESF No. (if applicable) 

 

Quantity 

 

Delivery Location 

 Estimated Amount 

$ 

V. Authority for Request: 

Cite authority for request if not Economy Act:

 FSDF SEE REVERSE for Determination and Finding (if 

Economy Act) 

VI. Funding: 

Agency Location Code 

 

Appropriation Code 

 

Funds Citation 

 

Requesting Agency Program Approval (Signature and Date) Funds Certification Approval (Signature and Date) 

VII. Approvals: 

Approved for Requesting Agency: Approved for Supporting Agency: 

Organization Organization 

Signature Signature 

Title Title 

Conditions of Agreement 

1. Financing: The charges for services shall include both direct and indirect costs applicable to the agreement. 

Advance payments, if authorized, are made on an estimated cost basis. If the estimated advance is different 

from the actual costs, proper adjustment (refund or additional billing) on the basis of the actual costs incurred 

shall be made upon completion of the work. (The frequency of billing, such as monthly, quarterly, etc., must 

be stated in the narrative portion of the form.) 

2. Other Provisions: 
FIN-16 Financial Management Support Annex December 2004 

 National Response Plan 

Attachment 3, Tab 1 (Continued) 

DETERMINATION AND FINDINGS: AUTHORITY TO ENTER INTO A PAYABLE 

INTER/INTRA-AGENCY REIMBURSABLE AGREEMENT UNDER THE ECONOMY ACT

Based on the following determinations and findings, in accordance with the authority of the Economy Act (31 U.S.C. 1535), as implemented in subpart 17.5 

of the Federal Acquisition Regulation (FAR), and as described on Page 1, the requesting agency intends to enter into an inter/intra-agency agreement with 

the supplying agency. 

FINDINGS 

A. The requesting agency has a need for the supplying agency to provide the supplies and/or services as described on Page 1, Block IV. The total 

cost of the agreement is estimated to be $_______________. (If this is a multi-year agreement, the estimated dollar amount should be shown for 

each fiscal year, along with the aggregate/total.) 

B. The supplies and/or services as described on Page 1, Block IV cannot be obtained as conveniently or economically by contracting directly with a 

private source. 

C. Nothing in this requirement conflicts with the authority of the supplying agency. 

D. NOTE: If the agreement requires contracting action by the supplying agency, indicate which of the following applies: 

______ 1. The acquisition will appropriately be made under an existing contract of the supplying agency, entered into before placement of the 

order, to meet the requirements of the supplying agency for the same or similar supplies or services. 

______ 2. The supplying agency has capabilities or expertise to enter into a contract for such supplies or services which is not available within 

the requesting agency. 

______ 3. The supplying agency is specifically authorized by law or regulation to purchase such supplies or services on behalf of other agencies. 

E. Because of the emergency nature of the need, it is in the best interest of the Government to issue an agreement. 

DETERMINATION 

Based on the above findings, I hereby determine that it is in the best interest of the Government to enter into an Interagency Agreement with the supplying 

agency. 

Name of Contracting Officer or Other Official Designated by Requesting Agency Head: 

________________________________________________________________________________________________________ 

Signature of Contracting Officer or Other Official Designated by Requesting Agency Head: 

________________________________________________________________________________________________________ 

Date: __________________________________________________________________________________________________ 

Approval of the Chief Procurement Officer if the supplying agency is not subject to the Federal Acquisition Regulation: 

Name: _________________________________________________________________________________________________ 

Signature: ______________________________________________________________________________________________ 

Date: __________________________________________________________________________________________________ 
December 2004 International Coordination Support Annex INT-1 

 National Response Plan 

International Coordination Support Annex

Coordinating Agency: 

Department of State 

Cooperating Agencies: 

Department of Health and Human Services 

Department of Homeland Security 

Department of Justice 

Department of Transportation 

U.S. Agency for International Development 

Other Federal Agencies 

American Red Cross 

Introduction 

Purpose 

This annex provides guidance on carrying out 

responsibilities for international coordination in 

support of the Federal Government’s response to a 

domestic Incident of National Significance, as 

defined in the National Response Plan (NRP). 

Scope 

The International Coordination Support Annex 

supplements the NRP. The role of the Department 

of State (DOS) within the NRP is to fully support 

Federal, State, local, and tribal authorities in 

effective incident management and preparedness 

planning. An Incident of National Significance will 

likely have international and diplomatic impacts and 

implications that call for coordination and 

consultations with foreign governments and 

international organizations. An incident may also 

require direct bilateral and multilateral actions on 

foreign affairs issues related to the incident, for 

which DOS has independent and sole responsibility. 

DOS’s lead foreign policy role in supporting U.S. 

Government agencies and managing the 

international aspects of a domestic incident 

contributes to a more agile overall U.S. Government 

incident management capability. 

Policies 

 The Secretary of State has direct responsibility 

for policies and activities related to the 

protection of U.S. citizens and U.S. interests 

abroad. 

 In preparing for, responding to, and recovering 

from an actual or potential Incident of National 

Significance, the Secretary of State is 

responsible for coordinating U.S. Government 

relations, policies, and activities as related to 

the international dimension of the crisis. This 

responsibility includes international activities 

that cover the spectrum of prevention, 

preparedness, response, and recovery. 

 International coordination within the context of 

a domestic incident requires close cooperative 

efforts with foreign counterparts and 

multilateral/international organizations. Such 

coordination rests on current national strategies 

to prevent terrorism, enhance security and law 

enforcement cooperation, counter proliferation 

of weapons of mass destruction and dangerous 

materials, and other activities related to 

counterterrorism preparedness and response. 
INT-2 International Coordination Support Annex December 2004 

 National Response Plan 

 DOS supports Department of Homeland 

Security (DHS) and other Federal agency 

efforts by providing knowledge about and 

access to other governments, and in leading and 

facilitating the international aspects of 

management of an Incident of National 

Significance. Similarly, U.S. nationals, 

including U.S. Government officials and 

employees, located abroad at the time of an 

incident may require information, assistance, 

communications or transportation facilities, and 

other services, which may be handled directly 

or in coordination with foreign governments. 

Cooperation with Mexico and Canada related to 

cross-border infrastructure is also coordinated 

with DHS, as provided by U.S. bilateral 

agreements with each country. 

 DOS leverages bilateral and multilateral 

relationships around the world to ensure that the 

U.S. Government can act effectively, thus 

mitigating or limiting both the domestic and 

international impact of the incident. 

 Internationally, DOS is engaged in a wide array 

of diplomatic, counterterrorism, 

nonproliferation, and chemical, biological, 

radiological, nuclear, and high explosives 

(CBRNE)-related efforts throughout the world 

to prevent, disrupt, and deter threats and acts of 

terrorism directed against the homeland and 

U.S. interests abroad. The objectives of these 

efforts are to work with global partners to 

ensure mutual security, to eliminate terrorist 

organizations wherever they may be found, to 

educate foreign governments and populations 

about the global terrorist threat, to help U.S. 

Government partners to enhance the security of 

international borders, to develop partners and 

organic response capabilities, to enhance 

mutual aid partnerships, to coordinate and 

facilitate the U.S. response to a stricken nation, 

and to effectively prevent and respond to any 

terrorist attack or other Incident of National 

Significance, international and domestic, that 

threatens or impacts public health and welfare. 

 Domestically, DOS engages with the Homeland 

Security Council (HSC) and the National 

Security Council (NSC) on a range of issues 

with international dimensions, including 

intelligence-sharing and terrorist-screening 

mechanisms, CBRNE threats, critical 

infrastructure vulnerability and protection, 

aviation and maritime security issues, border 

security enhancements, domestic/international 

public health, law enforcement activities, and 

curbs on terrorist financing. 

 DOS may also engage with the American Red 

Cross, which is part of the International Red 

Cross and Red Crescent Movement. The 

Movement consists of 181 Red Cross and Red 

Crescent Societies throughout the world. The 

American Red Cross International Services 

Department has an International Disaster 

Response Unit, which has the capacity to 

respond to natural and manmade disasters 

around the world at the request of sister 

Societies. International Services also offers 

international and family tracing services with 

the capacity to locate family members separated 

by war or disaster. Both International Services 

units work jointly with Movement partners. 

 DOS or the U.S. Agency for International 

Development (USAID) may use the NRP 

mechanism for Federal-to-Federal support (see 

the NRP Base Plan and the Financial 

Management Support Annex) to facilitate the 

U.S. Government response to overseas 

incidents (or to incidents in other countries) and 

to coordinate U.S. Government assistance from 

supporting departments and agencies to the 

affected nation(s). 
December 2004 International Coordination Support Annex INT-3 

 National Response Plan 

Concept of Operations 

Domestic Coordination 

DOS Executive Secretariat and Operations 

Center Task Force(s) – Domestic Support and 

International Outreach 

DOS’s Executive Secretariat and its Operations 

Center establishes a DOS Task Force upon report of 

an Incident of National Significance. DOS 

Operations also establishes Sub-Task Forces, as 

required. DOS: 

 Reviews its headquarters operational 

capabilities and its national/international 

operability and connectivity. 

 Establishes immediate communication links 

with the Homeland Security Operations Center 

(HSOC) and other U.S. Government agencies. 

 Advises U.S. Embassies/Consulates regarding 

the domestic incident. Provides instruction on 

advising other governments, the United Nations 

(UN), and other multilateral organizations. 

Advises of any possible direct or collateral 

implications for U.S. citizens, businesses, 

and/or interests in other countries, and actions 

to be considered. 

 Provides liaison officers to key operational 

nodes in the Federal, State, or local incident 

management architecture, as required: 

 Interagency Incident Management Group 

(IIMG) 

 DHS HSOC and National Response 

Coordination Center 

 Strategic Information and Operations 

Center, FBI Task Force 

 Joint Field Office 

 Depending on the incident, DOS would likely 

establish an overarching foreign affairs and 

policy advisory group to quickly identify, 

develop, and coordinate operational strategies 

to address DOS responsibilities within the 

overall management of a domestic incident. 

Support to Foreign Missions/Foreign Nationals in 

the United States 

DOS: 

 Has operational responsibility, shared with 

local, State, and Federal authorities, for the 

protection of foreign missions, the UN, and 

other multilateral organizations with missions 

in the United States, and for the safety/security 

of their official personnel. 

 If requested, assists foreign 

Embassies/Consulates in coordinating with 

Federal, State, local, and tribal authorities to 

enable them to provide information to their 

citizens in the United States and to render 

safety/security and other consular assistance. 

 Fields formal international requests for local, 

State, or Federal assistance (e.g., medical 

assistance, evacuations, consular access to 

hospitals and morgues, etc.). 

Foreign Coordination 

Immediate U.S. Government Incident 

Management – Operational Needs 

DOS: 

 Through Embassies/Consulates, coordinates 

U.S. Government communications with other 

nations regarding relevant law enforcement 

actions, investigations, intelligence matters, and 

other activities required to prevent further 

attacks (if an act of terrorism), identify those 

responsible, and/or effect their capture and 

detention. 
INT-4 International Coordination Support Annex December 2004 

 National Response Plan 

 Advises foreign governments on U.S. 

Government actions being considered or 

immediately planned that may have immediate 

international impacts (e.g., travel restrictions, 

border/airspace/coastal closures, disease spread, 

medical response, quarantine, isolation, and risk 

communication). 

Providing Information to Foreign Governments 

and the International Community 

DOS: 

 Coordinates requests for foreign assistance 

based on needs conveyed by DHS or other 

Federal agencies. On behalf of U.S. 

Government departments and agencies, 

facilitates communication with foreign 

governments that can assist and/or support 

immediate and long-range 

response/mitigation/recovery efforts. 

 Advises American citizens, businesses, and 

other U.S. social/economic entities abroad of 

the nature and extent of the situation in the 

United States and any direct effect that the 

incident might have on their safety and security. 

Provides information on the status of the 

incident, and where additional information 

related to the security of family members in the 

United States or the impact on business 

operations in the Nation may be available. 

Ensures the incident-related concerns of 

Americans abroad find resonance within the 

Federal Government as well. 

 Advises foreign governments on real-time 

actions taken or planned, and coordinates U.S. 

Government projections of longer term 

international consequences of the event (e.g., 

disease spread, quarantines, travel restrictions, 

displaced persons, vaccine/medical 

requirements/supplies, etc.). 

 Develops a diplomatic and international public 

affairs and public diplomacy strategy in 

coordination with the NRP incident interagency 

communication core group to communicate 

information concerning the status of the 

incident and highlight U.S. and international 

response and mitigation efforts. Also, develops 

incident-related public affairs strategies 

according to the NRP Incident Communications 

Emergency Policy and Procedures described in 

the Public Affairs Support Annex and the ESF 

#15 – External Affairs Annex. 

DOS as Intermediary for Requests/Offers of 

Assistance 

DOS: 

 Acts as the formal diplomatic mechanism for 

handling U.S. Government requests to other 

nations for assistance in meeting additional, 

ongoing U.S. response needs. Works to 

expedite delivery of such assistance, when 

requests are accepted. Facilitates other requests 

for international assistance as required by U.S. 

Government domestic agencies. 

 Acts as the intermediary for foreign offers of 

assistance to the U.S. Government, including 

those from law enforcement and intelligence 

services. Works with U.S. Government 

departments and agencies to respond 

appropriately to such requests. Works to 

expedite delivery of such assistance, if an offer 

is accepted. Works with DHS to expedite visa 

issuance to and U.S. entry of foreign experts 

needed for event response and/or mitigation. 

Attribution Authorities/Responsibilities Under 

International Law in CBRNE Events 

DOS coordinates with law enforcement agencies to 

determine and verify the origin, sponsorship, source, 

delivery, and responsible party of a CBRNE event 

that may constitute a violation of international laws, 

agreements, and treaties. Achieving such 

determinations requires enhanced international 

cooperation in investigations, extraditions, law 

enforcement actions, trials, and opportunities for 

additional actions to bring perpetrators to justice. 
December 2004 International Coordination Support Annex INT-5 

 National Response Plan 

Military-to-Military, Defense-to-Defense 

Coordinates with the Department of Defense to 

facilitate and garner international military support 

for appropriate response assistance. 

United Nations and Other Multilateral 

Organizations 

Articulates U.S. needs and interests to the world 

community through the UN and other international 

multilateral organizations and, consistent with 

principles of burden-sharing, provides an appropriate 

level of support to these organizations to ensure that 

they are able to carry out their assigned 

responsibilities. The United States also seeks a 

range of specific international support under treaty 

obligations for mutual legal assistance, freezing 

funds, or extradition, as requested by U.S. 

Government law enforcement departments and 

agencies. 

State Coordination With Interagency 

International Affairs Offices 

The International Affairs offices in U.S. Government 

domestic agencies have existing relationships with 

foreign counterpart ministries and agencies, and 

would be primary partners with DOS in coordinating 

with foreign governments on offers of assistance to 

the United States or requests for assistance from the 

United States. 

International Coordination Associated With Emergency Support Functions (ESFs) 

ESF Responsibilities 

ESF #1 – Transportation DOS has responsibility within the U.S. Government for the international 

implications of actions that support airspace and maritime protection 

efforts, including actions related to: 

 Restrictions on international air travel for a period of time; 

 Foreign aircraft landing in, flying from, or overflying U.S. territories; 

and 

 Clearance procedures for visits to U.S. ports by foreign naval and 

public vessels. 

When the U.S. Government considers transportation and border 

restrictions/closures, DOS must provide guidance on overall diplomatic, 

economic, and security implications. 

Potential International Policy Topics: 

 U.S. Government transportation actions must not contravene 

international law/treaties or U.S. sanctions. 

 Transportation restriction and border closure impact on “real-time” 

trade and commerce for U.S., cross-border, and international business. 

 Use of potentially limited transportation assets for evacuations of 

foreign nationals. 
INT-6 International Coordination Support Annex December 2004 

 National Response Plan 

ESF #2 – Communications DOS facilitates international preparedness, protection, and mitigation 

efforts related to cyber-Critical Infrastructure Protection (CIP), and works 

particularly closely with DHS and other Federal agencies on physical and 

cyber-CIP efforts. In conjunction with ESF #2, DOS: 

 Facilitates communications for response to international cyber-CIP 

failures and related incidents. On behalf of U.S. Government 

departments and agencies, facilitates communication with foreign 

governments and multilateral organizations that can assist and/or 

support immediate attribution/mitigation efforts. 

 Works to effect bilateral and multilateral efforts to create a “global 

culture of cybersecurity”―creating effective national information 

network and infrastructure security to ensure the reliability, 

availability, and integrity of global information networks. 

Potential International Policy Topics: 

 Interagency coordination for attribution and/or source of the cyber 

attack, particularly with the Department of Justice and 

DHS/Information Analysis and Infrastructure Protection/National 

Cyber Security Division. 

 The immediate international exchange of vital information to counter 

the threat, enhance the security of information networks, and manage 

the consequences. 

ESF #4 – Firefighting As requested by local, tribal, State, and Federal authorities, DOS 

coordinates with foreign governments on identification and movement to 

the United States of assets and resources for firefighting assistance. 

Generally, these are cross-border response and mitigations efforts from 

Canada and Mexico. Cross-border response and mitigation efforts from 

Canada and Mexico are also coordinated with DHS, if provided for in 

appropriate bilateral agreements with each country. 

ESF #6 – Mass Care, Housing, 

and Human Services 

As requested by local, tribal, State, and Federal authorities, DOS 

coordinates with foreign governments on identification and movement to 

the United States of mass care assets and resources for response and 

recovery activities. 

As requested by foreign missions in the United States, DOS acts as liaison 

with local authorities to enable foreign missions to provide consular access 

and safety/security assistance to its nationals in the United States. 

Potential International Policy Topic: Overflight clearance for assistance 

flights to the United States. 
December 2004 International Coordination Support Annex INT-7 

 National Response Plan 

ESF #8 – Public Health and 

Medical Services 

There are significant, critical relationships between protection of both 

domestic and international populations against biologic attacks, pathogen 

release, or natural outbreaks. A biological attack/release requires 

monitoring and surveillance worldwide, collection of information, and 

sharing of laboratory capabilities and expertise. 

 DOS works with U.S. Government departments and agencies, the 

World Health Organization (WHO), other international organizations, 

and other nations bilaterally on issues related to surveillance activities; 

countermeasures to reduce spread; availability or need of vaccines, 

blood and blood products, and medicines; and delivery agreements. 

 DOS supports Federal agencies to facilitate the transfer of dangerous 

pathogen samples for epidemiological investigations from and to the 

United States. 

 In addition, there is a nexus between public health countermeasures 

and domestic/international law enforcement efforts, 

transportation/travel/border restrictions, and other significant policy 

decisions related to the control and/or isolation of a disease outbreak. 

 DOS's Medical Bureau acts as a conduit of information from the 

WHO, other international health organizations, the Department of 

Health and Human Services, and domestic public health services to 

U.S. Embassies/Consulates, serving the interests of official and private 

U.S. citizens and interests abroad. 

Potential International Policy Topics: 

 Requests for sharing of vaccines and medical supplies from 

international stockpiles and/or the U.S. Strategic National Stockpile. 

 International sharing of disease surveillance information. 

 International sharing of laboratory resources or support, particularly for 

developing countermeasures. 

 Quarantine or isolation of foreign nationals in the United States, or of 

U.S. citizens overseas. 

 Closure of borders, airports, and seaports to reduce international 

spread. 

 Expedited visas and/or U.S. entry of foreign experts for response and 

mitigation. 
INT-8 International Coordination Support Annex December 2004 

 National Response Plan 

ESF #9 – Urban Search and 

Rescue 

 As requested by local, tribal, State, and Federal authorities, DOS 

coordinates with foreign governments on identification and movement 

to the United States of urban search and rescue (US&R) assets and 

resources for response and recovery activities. 

 DOS articulates U.S. needs and interests to the world community 

through the UN, particularly through the Office for the Coordination 

for Humanitarian Affairs (UN/OCHA). (Note: UN/OCHA hosts the 

International Search and Rescue Advisory Group, of which the United 

States, through USAID/Office of Foreign Disaster Assistance, is a 

member. 

Potential International Policy Topic: Requirement for expedited U.S. 

customs clearance for foreign US&R teams responding to a U.S. request. 

(Note: If possible, execute under NATO “Agreement on the Facilitation of 

Vital Cross Border Transport.”) 

ESF #10 – Oil and Hazardous 

Materials Response 

DOS support covers the entire spectrum of incident management; public 

affairs/information; assistance to cross-border communities; assistance to 

foreign Embassies related to their nationals and missions in the United 

States; impacts on international travel, transport, and trade; law enforcement 

and forensic investigations; and coordination of assistance from foreign 

nations. 

Potential International Policy Topics: 

 Possible cross-border contamination. 

 Coordination with the International Atomic Energy Agency (IAEA) for 

determination of the source of radiological material and its removal 

and safeguarding. 
December 2004 International Coordination Support Annex INT-9 

 National Response Plan 

ESF#11 – Agriculture and 

Natural Resources 

DOS facilitates exchange of information and agreements between the 

United States and foreign nations to identify the nature of the threat, impede 

disease spread, and take immediate remedial actions. 

 DOS acts as conduit for information between domestic and foreign 

governmental agencies. 

 DOS ensures rapid distribution of countermeasures into and out of the 

United States. 

 DOS facilitates international sharing of disease surveillance 

information. 

 DOS facilitates international sharing of laboratory resources or 

support, particularly for developing countermeasures. 

Potential International Policy Topics: 

 Possible cross-border spread of diseases. 

 Requests for sharing of vaccines and treatment supplies. 

 Closure of borders to reduce international spread. 

 Trade embargoes placed on U.S. agricultural products. 

 Possible connection of emergence during the event of zoonotic 

diseases (those that can spread from animals to humans). 

ESF #12 – Energy DOS and the Department of Energy (DOE) work with the governments of 

major oil-consuming countries through the International Energy Agency 

(IEA) and in other groups, to maintain readiness to deploy a coordinated 

policy response to energy emergencies, such as a significant, unexpected 

disruption in oil supplies. DOS also initiates contacts with important oil 

producers. DOS and DOE, in coordination with the IIMG, DHS, the HSC, 

and the NSC, coordinate and issue public statements on the incident. 

Potential International Policy Topics: 

 Unexpected, significant supply disruptions that threaten stability of the 

international oil market, the U.S. economy, or the economies of other 

members of the IEA. 

 Requests by other IEA members to initiate a coordinated drawdown of 

strategic oil reserves or invoke the IEA's emergency sharing system. 

ESF #14 – Long-Term 

Community Recovery and 

Mitigation 

DOS works with the international community and all governments on 

response and mitigation efforts to ensure that recovery efforts are initiated 

rapidly, in order to mitigate the impact to the national and global 

economies. 

Potential International Policy Topics: Numerous, but particularly any 

unilateral actions (by other countries or by the United States itself) that 

would prevent international assistance from reaching the United States 

efficiently and effectively (e.g., long-term border or airspace closures). 
INT-10 International Coordination Support Annex December 2004 

 National Response Plan 

ESF #15 – External Affairs For Incidents of National Significance, DOS public affairs and public 

diplomacy efforts work closely with the DHS public affairs effort to ensure 

that the message to foreign governments, the international public, and 

American citizens and U.S. businesses abroad is consistent, timely, and 

effective. 

Potential International Policy Topics: 

 Prompt U.S. Government provision of information to foreign 

governments about issues affecting their citizens. 

 The level of support to foreign missions in the United States, to ensure 

they are capable of assisting their citizens. 

 The level of emergency assistance to foreign nationals from local, 

State, and Federal responders (should be the same as for U.S. citizens). 

 Requests from foreign governments for permission (and possibly 

assistance) to evacuate their citizens from the United States or to a 

separate area within the United States. 

Responsibilities 

Domestic Coordination 

Task Forces/Incident 

Management 

 DOS Executive Secretariat, Office of Crisis Management Support 

 DOS Operations Center 24/7 Operations 

 Bureau of Diplomatic Security (DS), DS Command Center, 24/7 

Operations contacts all DS elements, domestic and foreign 

 Office of Under Secretary for Management 

 Office of the Coordinator for Counterterrorism (S/CT) 

 Office of the Legal Advisor (L) 

Foreign Missions and Assistance 

to Their Nationals in the United 

States 

UN and International 

Organizations 

 Bureau of Diplomatic Security (DS) 

 Office of Foreign Missions (DS/OFM) 

 Bureau of Consular Affairs (CA) 

 Bureau of International Organizations (IO) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 
December 2004 International Coordination Support Annex INT-11 

 National Response Plan 

U.S. Businesses vis-à-vis 

Overseas Operations 

 Bureau of Diplomatic Security (DS) 

 Overseas Security Advisory Council (OSAC) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

Domestic DOS 

Facilities/Personnel 

 Bureau of Diplomatic Security (DS) 

 Headquarters and DS Domestic Regional Offices 

Continuity of 

Operations/Continuity of 

Government 

 Bureau of Administration 

 Office of Emergency Management (A/OPR/OEM) 

Foreign Coordination 

Immediate Operational Needs  Bureau of International Narcotics and Law Enforcement (INL) 

 Bureau of Political-Military Affairs (PM) 

 Bureau of Diplomatic Security (DS) 

 Office of the Coordinator for Counterterrorism (S/CT) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

Information to Foreign 

Governments and International 

Community 

 All functional bureaus/offices 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

 Bureau of Consular Affairs (CA) 

 Office of Overseas Citizens Services (CA/OCS) 

 Bureau of Diplomatic Security (DS) 

 Overseas Security Advisory Council (OSAC) 

 Overseas Security Policy Board (OSPB) 

 Bureau of Political-Military Affairs (PM) 

 Bureau of Public Diplomacy and Public Affairs (R) 
INT-12 International Coordination Support Annex December 2004 

 National Response Plan 

Intermediary for 

Requests/Offers of Assistance 

 All functional bureaus/offices 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific 

 U.S. Agency for International Development (USAID) 

Attribution  Bureau of Verification and Compliance (VC) 

Military-to-Military, Defense-toDefense 

 Bureau of Political-Military Affairs (PM) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

UN and Multilateral 

Organizations 

 Bureau of International Organizations (IO) 

 Bureau of Political-Military Affairs (PM) 

 U.S. Agency for International Development (USAID) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

International Coordination in Emergency Support Functions 

ESF #1 – Transportation  Bureau of Economic and Business Affairs (EB) 

 Office of Transportation (EB/TRA) 

 Bureau of International Organizations (IO) 

 Point of contact with ICAO and IMO 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #2 – Communications  Bureau of Political-Military Affairs (PM) 

 Office of Policy, Plans, and Analysis (PM/PPA) 

 Bureau of Economic and Business Affairs 

Office of International Communications and Information Policy 

(EB/CIP) 

 Bureau of International Narcotics and Law Enforcement 

 Office of Crime (INL/C) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 
December 2004 International Coordination Support Annex INT-13 

 National Response Plan 

ESF #4 – Firefighting  DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #6 – Mass Care, Housing, 

and Human Services 

 Bureau of Diplomatic Security (DS) 

 Office of Foreign Missions (DS/OFM) 

 Bureau of Consular Affairs (CA) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #8 – Public Health and 

Medical Services 

 Bureau of Oceans and International Environmental Science Affairs 

(OES) 

 International Health Affairs (OES/IHA) 

 Office of Medical Services (M/MED) 

 U.S. Agency for International Development (USAID) 

 Bureau of Political-Military Affairs (PM) 

 Bureau of International Organizations (IO) 

 Point of contact with WHO and Pan Am Health Organization 

 (PAHO) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #9 – Urban Search and 

Rescue 

 Bureau of Political-Military Affairs (PM) 

 U.S. Agency for International Development (USAID) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #10 – Oil and Hazardous 

Materials Response 

 Bureau of Political-Military Affairs (PM) 

 Bureau of International Organizations (IO) 

 Point of contact with International Atomic Energy Agency (IAEA) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

East Asia/Pacific, Africa 
INT-14 International Coordination Support Annex December 2004 

 National Response Plan 

ESF #11 – Agriculture and 

Natural Resources 

 Bureau of Economic and Business Affairs (EB) 

 Office of Bilateral Trade Affairs (EB/TPP/ABT) 

 Office of International Energy and Commodity Policy (ESC/IEC) 

 Bureau of Political-Military Affairs (PM) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #12 – Energy  Bureau of Economic and Business Affairs 

Office of International Energy and Commodity Policy (ESC/IEC) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #13 – Public Safety and 

Security 

 Bureau of International Narcotics and Law Enforcement (INL) 

 Office of Crime (INL/C) 

 Bureau of Diplomatic Security (DS) 

 Bureau of Consular Affairs (CA) 

 Bureau of International Organizations (IO) 

Point of contact with UN Office of Drugs & Crimes and Crime 

Commission 

 Legal Adviser’s Office 

 Office of Law Enforcement and Intelligence (L/LEI) 

 Bureau of Verification and Compliance 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #14 – Long-Term 

Community Recovery and 

Mitigation 

 Bureau of Economic and Business Affairs 

 Office of Monetary Affairs (IFD/OMA) 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 

ESF #15 – External Affairs  Bureau of Public Diplomacy and Public Affairs 

 Office of the DOS Spokesman 

 Office of Press Relations, Regional Media Outreach 

 DOS Regional Bureaus 

 Western Hemisphere, Europe, Near East, South Asia, 

 East Asia/Pacific, Africa 
December 2004 Logistics Management Support Annex LOG-1 

 National Response Plan 

Logistics Management Support Annex 

Coordinating Agency: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Cooperating Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of the Interior 

Department of Transportation 

Department of Veterans Affairs 

General Services Administration 

National Aeronautics and Space Administration 

Introduction 

Purpose 

The Logistics Management Support Annex provides 

an overview of the framework through which the 

overall logistics management function operates for 

Incidents of National Significance and describes 

how Federal resources fit into this framework. It 

also describes how the National Response Plan 

(NRP) Emergency Support Functions (ESFs) 

interact to provide support to the affected population 

as well as support to the incident management effort. 

This annex provides an overview of logistics 

management functions, roles, and responsibilities. 

Scope 

This annex: 

 Identifies the components of the Federal 

logistics delivery structure; 

 Provides a concept of operations for logistics 

management in support of the NRP; and 

 Describes how Department of Homeland 

Security/Emergency Preparedness and 

Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA) coordinates 

logistics management with other Federal 

agencies; State, local, and tribal governments; 

and the private sector during an Incident of 

National Significance. 

Policies 

General 

Logistics management during NRP operations is 

conducted primarily within the Logistics Sections of 

the various National Incident Management Systembased organizational elements detailed in the NRP 

Base Plan (i.e., Joint Field Offices (JFOs), 

mobilization centers, Regional Response 

Coordination Centers (RRCCs), and the National 

Response Coordination Center (NRCC). The 

logistics management function is an element of ESF 

#5 – Emergency Management. ESF #5 provides 

staff for the Logistics Section Chief for managing 

the control and accountability for Federal supplies 

and equipment; resource ordering; delivery of 

equipment, supplies, and services; resource tracking; 

facility location and operations; transportation 

coordination; and information technology systems 

services and other administrative services. The 

Logistics Section coordinates closely with ESF #7 – 

Resource Support and implements the procedures of 

this annex. 
LOG-2 Logistics Management Support Annex December 2004 

 National Response Plan 

Materiel Management 

 Logistics personnel find appropriate, timesensitive, and cost-effective ways to fill the 

materiel requirements developed by operations 

personnel. Equipment and supplies are provided 

from current Federal stocks or, if necessary, 

from commercial sources. 

 Nationally, ESF #7 operates under the direction 

of the Director, General Services Administration 

(GSA) Office of Emergency Management 

(OEM). The OEM represents GSA in its 

dealings with the NRCC. 

 GSA is the central procurement authority for the 

Federal Government. All procurement actions 

are made in accordance with current Federal 

laws and regulations. (See ESF #7 – Resource 

Support for more details.) 

Personal Property Management 

 All Federal departments and agencies acting 

within the scope of the Robert T. Stafford 

Disaster Relief and Emergency Assistance Act 

account for personal property in accordance with 

the Federal Management Regulations (41 CFR 

102) and existing agency property management 

policies. This occurs whether property is 

acquired from an agency’s own stock or from 

available Federal excess, or purchased with 

money from the Disaster Relief Fund (DRF). 

 If other Federal agency property is used for 

incident management operations and this 

property is lost, damaged, stolen, or consumed, 

the agency is reimbursed for the cost of property 

if the required documentation is provided to 

DHS. Required documentation is outlined in 

DHS/EPR/FEMA Manual 6150.1, Personal 

Property Management Program. The process for 

requesting reimbursement is detailed in the 

Financial Management Support Annex. 

 DHS/EPR/FEMA directs the disposition of all 

property organically owned, including items 

held by organizations that intend to request 

reimbursement for the item from the DRF. 

Disposition could include transfer to 

DHS/EPR/FEMA, retention by the agency, 

donation to State/local government, or excess, 

disposal, and reutilization action through GSA. 

 Information systems and communications 

devices purchased through the DRF are 

retrieved and returned following each 

operation to the DHS/EPR/FEMA Disaster 

Information Systems Clearinghouse (DISC). 

The DISC rehabilitates and repackages 

items for reuse in other disaster operations. 

 Other equipment and supplies purchased 

with DRF money and issued to support 

responders and field facilities is retrieved 

and returned following each operation to one 

of the DHS/EPR/FEMA logistics centers. 

Returned items are coordinated with 

DHS/EPR/FEMA Headquarters Logistics. 

The logistics centers rehabilitate and 

repackage equipment and supplies for reuse. 

The exceptions (which must be coordinated 

with DHS/EPR/FEMA Headquarters 

Logistics) are: 

 Rapid-response equipment and supplies 

used by the Advance Element of the 

Emergency Response Team (ERT-A), 

which may be retrieved and stored in 

DHS/EPR/FEMA Regional Offices; and 

 Nonstandard or non-mission-capable 

items that will be excessed or disposed 

of at the incident site. 

 Property procured with funds from the DRF may 

be used only in support of disaster response and 

recovery activities, not for non-disaster-specific 

operations. 
December 2004 Logistics Management Support Annex LOG-3 

 National Response Plan 

Facility Management 

All facilities and related support necessary for 

operations are sourced through the following ESFs 

when they are activated and requested to do so: 

 ESF #7 – Resource Support supports the 

requirements for obtaining NRP facilities, 

facility setup, space management, building 

services, and general facility operations. 

 ESF #3 – Public Works and Engineering 

provides operational support for mobilization 

centers, staging areas, and distribution sites for 

all infrastructure and engineering service 

commodities (supplies and equipment) required 

to support assigned Federal and direct-support 

missions. 

 ESF #2 – Communications supports emergency 

telecommunications and information technology 

services for Federal, State, tribal, and local 

incident managers. 

 ESF #8 – Public Health and Medical Services 

supports public health and medical services for 

Federal, State, tribal, and local incident 

managers. 

Transportation Management 

 ESF #1 – Transportation serves as the point of 

contact for requesting transportation assistance 

in support of agencies under the NRP, including 

requests for military transportation. ESF #1, in 

coordination with DHS/EPR/FEMA Logistics, 

determines the mode and carrier for all 

transportation requests. Other ESF 

representatives coordinate transportation 

requirements with ESF #1. 

 DHS/EPR/FEMA Headquarters controls 

movement of Initial Response Resources (IRR) 

items. The affected DHS/EPR/FEMA region, in 

coordination with DHS/EPR/FEMA Logistics, 

selects the IRR items to be moved and 

establishes the order of movement based on 

priority of the mission assignment. The ESF #1 

Emergency Transportation Center (ETC), in 

coordination with the NRCC, determines the 

best mode and source of transportation. 

 ESF #1 remains operational until the 

coordination for the movement of resources can 

be transitioned to DHS/EPR/FEMA Logistics. 

The decision to transition is made in agreement 

with the DHS/EPR/FEMA Operations Section, 

DHS/EPR/FEMA Logistics, the Federal 

Coordinating Officer (FCO)/Federal Resource 

Coordinator (FRC), and the Principal Federal 

Officer (PFO), as appropriate. The ESF #1 ETC 

continues to arrange transportation in support of 

Logistics or other Federal agency retrograde 

operations until deactivated. 

 The Department of Transportation (DOT) 

maintains a national transportation contract 

capable of providing ground, rail, marine, or 

aviation assets. If necessary, DOT, through its 

modal agencies or its support agencies, has the 

capability to contract additional resources. If 

commercial transportation is not available, DOT 

requests Department of Defense (DOD) support 

through the Defense Coordinating Officer or the 

DOD liaison at the NRCC. 
LOG-4 Logistics Management Support Annex December 2004 

 National Response Plan 

Concept of Operations 

Logistical Response Operations 

The structure for Federal NRP logistics depends on 

logistics partners that provide resources to support 

incident-related operations. Logistics support is 

provided for prevention, preparedness, 

response, and recovery actions during all phases of 

incident management. Effective logistics 

management contributes to mission success while 

ensuring all functions are executed in a unified 

manner to reduce costs, ensure appropriate support 

actions, and increase response capability. 

When DHS requires logistics support from the partner Federal agencies, any or all of the following ESFs may be 

activated: 

ESF #1 Transportation DOT 

ESF #2 Communications DHS 

ESF #3 Public Works and 

Engineering 

U.S. Army Corps of Engineers (USACE) 

ESF #7 Resource Support GSA 

ESF #8 Public Health and 

Medical Services 

Department of Health and Human Services (HHS) 

The DHS/EPR/FEMA mobilization center, when 

established, is the focal point for pre-positioning, 

receipt, and distribution of supplies. Forward 

movement of teams, supplies, and equipment is 

managed by the Mobilization Center Manager and 

coordinated with the Logistics and Operations 

Sections. Deployed resources are further processed 

and forwarded by the Logistics Section to one of 

three locations: the incident logistics base, an 

Operations Section staging area, or a State/Federalcontrolled distribution point. 

Initial Actions 

 Interagency logistics providers are alerted and 

logistics teams are selected to provide staff for 

the NRCC, RRCC, and JFO. Logistics 

reservists are alerted and deployed as required. 

 Logistics personnel assigned to the NRCC, 

RRCC and JFO perform the following functions: 

 Participate, with operations and other 

contingency staffs, in coordination and 

decisionmaking meetings, situational 

awareness coordination, incident action 

planning, and conference calls; 

 Translate operations-generated requirements 

into incident- or contingency-specific 

logistics plans for leadership approval; 

 Establish communications and coordination 

among Federal logistics partners to locate 

and stand-up mobilization centers; 

 Begin transporting resources with 

Movement Coordination Center (MCC) 

support. Coordinate deployment support of 

IRR items and other response resources to 

the mobilization centers and other points; 

 Provide resource tracking; and 

 Analyze requests for Federal resources to 

determine cost-effective and timely means 

to meet requirements. 
December 2004 Logistics Management Support Annex LOG-5 

 National Response Plan 

Ongoing Actions 

 Logistics personnel transition into logistics 

management activities. They execute logistics 

functions as follows: 

 The Materiel Management function provides 

supplies and equipment to the incident(s). 

After coordinating with internal Federal 

sources, GSA procures supplies and services 

needed. The goal is to provide supplies and 

equipment at the location and in the 

quantities required in the most timely and 

cost-effective manner and track all 

resources. 

 Property Management accounts for personal 

property at all operational levels. The 

Federal Government retains title to 

accountable property unless it is transferred 

to State or local governments. Several 

agencies have the capability to establish 

receiving and distribution operations at the 

mobilization centers and support property 

management teams by maintaining property 

accountability on items stored at or issued 

from these locations. 

 The NRCC, RRCC, and JFO logistics roles and 

responsibilities focus on providing and 

coordinating delivery of required resources to 

sustain operations. 

Demobilization 

 As response operations begin to diminish, 

Incident Commanders demobilize Federal 

agencies from their respective operations. 

 The Logistics Sections may remain active for 

several days following demobilization of the 

NRCC, RRCC, and JFO for the following 

closeout activities: 

 Coordinating and conducting activities 

associated with retrieving (or disposing of 

locally if no longer serviceable), 

refurbishing, and restocking all Federal 

assets used during the disaster operation; 

 Ensuring that all equipment and supplies are 

accounted for in accordance with 

appropriates regulations, and resources 

tracking is completed and closed out; and 

 Participating in internal and external 

Remedial Action Management Program 

reviews. 

 Federal logistics partners begin preparation 

activities in anticipation of the next event. In the 

case of identified shortfalls in supporting the 

operation, the DHS/EPR/FEMA Logistics 

Branch may meet with other Federal logistics 

providers to develop a corrective action plan to 

improve the Federal logistics support structure 

and implementation. 

Resources Fulfillment Cycle 

This section of the annex addresses the overall 

methodology used to anticipate and subsequently 

fulfill requirements of victims during Incidents of 

National Significance.1

 The Federal logistics 

response to Incidents of National Significance is 

dependent upon many factors, but requires a 

continuing assessment that dictates the degree and 

scope of response. 

Overview 

 After the NRCC accomplishes an initial 

situational assessment (in coordination with the 

RRCC), DHS/EPR/FEMA decides whether to 

“push” response supplies, equipment, and teams 

to a location closer to the incident area. The 

purpose of this is to decrease the time it takes to 

fulfill a validated request for Federal assistance. 

Once this decision is made, a mobilization 

center(s) is activated near but not necessarily 

within the impacted area. This mobilization 

center(s) then serves as a forward logistics 

center to house and maintain Federal resources 

in anticipation of a validated request for Federal 

assistance. All Federal assets at the mobilization 

center(s) remain under the oversight of the 

Logistics Section of the NRCC when it is 

 

1

 Certain Federal agencies have independent authority to respond 

to an incident site directly after notification of the incident. Once 

the ESFs are activated, those resources are provided in 

accordance with this annex. 
LOG-6 Logistics Management Support Annex December 2004 

 National Response Plan 

activated and actively involved in brokering 

resources for the impacted area. When the 

NRCC is not activated, the mobilization 

center(s) is under the oversight of the Logistics 

Response Center of the DHS/EPR/FEMA 

Logistics Branch. 

 The Mobilization Center Manager(s) is 

responsible for all life-support functions of the 

members of the team, as well as the life support 

for all responders who are awaiting entry to the 

impacted area. The Mobilization Center 

Manager(s) is also responsible for the 

safeguarding of all nonhuman resources that 

arrive at the center(s). 

 The NRCC Director establishes an MCC when 

required. The MCC obtains transportation 

services and provides for oversight of 

transportation assets into and out of the incident 

area. All Federal agencies should notify the 

MCC when transportation arrangements are 

made, so that resources can be tracked and 

reception plans executed. 

 Once the JFO is operational, the JFO staff 

receives and processes requests for Federal 

assistance. Those requests are validated at the 

beginning of the resource adjudication cycle. 

The process of meeting requirements, from the 

identification of the need to the delivery of the 

Federal resource, is explained below. In Federal 

response operations, the actual cycle starts when 

the State submits a request for Federal assistance 

and ends when the Federal resource is delivered 

to the State. 

Process 

The ordering, sourcing, transportation, issuing, and 

movement of Federal resources generally follows the 

procedural steps outlined below: 

 Resources needed to provide relief to victims of 

an Incident of National Significance are 

identified. Resources can involve supplying 

equipment or services. 

 The local jurisdiction attempts to fill the need 

from existing resources. If they do not have the 

resource, they pass the requirement on to their 

county or State jurisdiction. 

 When the State receives the requirement, the 

State attempts to fill the need. This may be done 

from existing resources, through commercial 

sources, or through Emergency Management 

Assistance Compacts (EMACs) or mutual aid 

agreements. If the State cannot fill the need, it 

submits a request for Federal assistance to the 

JFO Operations Section. 

 The JFO Operations Section determines if the 

resource is available in staging areas to fill the 

requirement. If the resource is not available, the 

requirement is passed through ESF #5 – 

Emergency Management to the Logistics 

Section. 

 The Logistics Section Chief has several options 

available to fill requirements: 

 Fill the requirement from the resources 

located at the logistics base; 

 Fill the requirement by direct mission 

assignment to another Federal agency; 

 Prepare a requisition and recommend 

commercial sources for goods and services 

to the Finance/Administration Section as 

applicable; or 

 If the resource is still not readily available, 

the Logistics Section Chief passes the 

requirement through the RRCC to the 

NRCC. 

 Once the NRCC receives the validated request 

for Federal assistance, the NRCC determines 

how and if the requirement can be fulfilled. 
December 2004 Logistics Management Support Annex LOG-7 

 National Response Plan 

 Once the source is identified, the resource is 

delivered to the location specified by the 

Logistics Section Chief. The Logistics Section 

Chief is responsible for all transfer of Federal 

assets to State control. This may occur at the 

following locations: 

 Incident Command Post 

 Logistics base 

 Operations Section staging area 

 State staging area or distribution point 

 Directly where the resource is needed 

 If the resource was filled from existing Federal 

resources, replenishment activities begin 

immediately to replace the resource. 

Responsibilities 

See Table 1 for agency roles and responsibilities. 

Coordinating Agency: DHS/EPR/FEMA 

 Delivers IRR items (food, water, powergeneration equipment, temporary emergency 

shelters, comfort items, etc.) located at logistics 

centers and in Pre-Positioned Disaster Supply 

caches located nationwide. 

 Possesses temporary (portable) housing located 

nationwide at logistics centers. 

 Provides equipment caches for the following 

assets located at logistics centers and other 

locations nationwide: 

 Urban Search and Rescue Incident 

Management Teams 

 Mobilization centers 

 National Disaster Medical System response 

teams 

 Emergency Support Teams 

 Federal Incident Response Support Teams 

 Domestic Emergency Support Team 

 Mobile Emergency Response System teams 

consisting of personnel, life-support 

equipment, team and personal 

communications equipment, etc. 

 Disaster medical supplies and equipment 

located at logistics centers and various 

locations nationwide 

 MCC located at DHS/EPR/FEMA 

Headquarters 

 Mobilization Center Manager 

 Property Management Teams 

 Logistics Resource Center located at 

DHS/EPR/FEMA Headquarters 

 Logistics Closeout Assistance Teams 
LOG-8 Logistics Management Support Annex December 2004 

 National Response Plan 

Cooperating Agencies 

Department of Agriculture/ 

Forest Service (USDA/FS) 

 Provides staff for and support to mobilization centers when authorized by a 

DHS/EPR/FEMA mission assignment. 

 Provides assistance for transportation tracking and supply accountability at 

the mobilization centers. 

Department of Defense/U.S. 

Army Corps of Engineers 

Provides logistics resources to support the preparation and execution of ESF #3 

– Public Works and Engineering activities. USACE may also provide staff for 

the mobilization centers when a mission is assigned by DHS/EPR/FEMA. 

Department of the Interior 

(DOI) 

The DOI bureaus provide management and support of DHS/EPR/FEMA 

mobilization centers when activated under a DHS/EPR/FEMA mission 

assignment. In addition, DOI provides assistance for transportation tracking 

and supply accountability at the mobilization centers. 

Department of 

Transportation 

Provides the resources for operating the MCC. It arranges for transportation 

services under a national emergency transportation contract. 

General Services 

Administration 

Contracts telecommunications support, arranges for the facilities needed by the 

Federal response teams, and requisitions or contracts for supplies and 

equipment as part of its ESF #7 responsibilities. GSA can provide a contract 

officer with unlimited warrant. GSA may also provide staff for the 

mobilization centers when mission assigned by DHS/EPR/FEMA. 

Other Federal Departments 

and Agencies 

Refer to Table 1 for a list of logistics activities undertaken by other Federal 

departments and agencies in support of the Logistics Management Support 

Annex. 
December 2004 Logistics Management Support Annex LOG-9 

 National Response Plan 

TABLE 1. Agency roles and responsibilities matrix 

Logistics Functions 

Federal Partner ESF Coordinator Subsistence Energy (oil and electricity) Administrative Supplies Petroleum Products Engineering and Construction Materials Personal Demand Items (water and ice) Major End Items: Mobile Units Medical Materiel Property Management Facility Management 

Telecommunications Mgmt. 

Transportation Management 

Comments 

DHS/EPR/ 

FEMA 

ESF #5 ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ Responsible for NRP logistics planning and 

execution. When additional resources are 

needed, the other ESFs are activated through 

mission assignments. 

USDA/FS ESF #4 ■ ■ ■ ■ Provides staff to mobilization centers when 

mission assigned. 

DOC ■ ■ Provides technical expertise on structural 

surveys as well as the procurement of 

external consulting services. 

DOD ■ ■ ■ ■ ■ ■ ■ ■ ■ When requested through ESF #7 and 

approved by DOD. 

DOD/USACE ESF #3 ■ ■ ■ ■ Provides water, ice, construction materials, 

and engineering services when activated 

under ESF #3 and ESF #6. 

DOE ESF #12 ■ In accordance with ESF #12, coordinates with 

energy industries to assist in meeting critical 

fuel, lubricant, and electrical power needs 

unable to be met by Federal or State actions. 

HHS ESF #8 ■ ■ Provides medical supplies and response teams 

when ESF #8 is activated. Also staffs field 

hospitals. 

DOI ■ ■ ■ ■ Provides management and support of 

DHS/EPR/FEMA mobilization centers when 

authorized by DHS/EPR/FEMA or when 

activated under mission assignment by ESF 

#7. 

DOT ESF #1 ■ Staffs the MCCs and manages transportation 

resources when ESF #1 is activated. 

VA ■ ■ ■ ■ ■ ■ Provides technical assistance in identifying 

and procuring medical supplies and other 

medical services. 

GSA ESF #7 ■ ■ ■ ■ ■ ■ ■ ■ ■ ■ When activated, provides contracting, 

regional telecommunications, facilities, 

supplies, and other services. 

NASA ■ Provides available space, buildings, airports, 

and telecommunications as may be required 

for emergency support operations. 
LOG-10 Logistics Management Support Annex December 2004 

 National Response Plan 

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December 2004 Private-Sector Coordination Support Annex PRV-1 

 National Response Plan 

Private-Sector Coordination Support Annex 

Coordinating Agency: 

Department of Homeland Security 

Cooperating Agencies: 

All 

Introduction 

Purpose 

This annex describes the policies, responsibilities, 

and concept of operations for Federal incident 

management activities involving the private sector 

during actual or potential Incidents of National 

Significance. In this context, the annex further 

describes the activities necessary to ensure effective 

coordination and integration with the private sector, 

including the Nation’s critical infrastructure, key 

resources, and other business and industry 

components. 

Scope 

 This annex applies to all Federal agencies 

operating under the National Response Plan 

(NRP) in a potential or actual Incident of 

National Significance that involves the private 

sector in any of the following ways: 

 Impacted organization or infrastructure1

 Response resource 

 Regulated and/or responsible party 

 Member of the State emergency 

management organization 

 Because the NRP provides an integrated national 

framework that includes the private sector in 

incident management activities, this annex 

addresses only those aspects of incident 

management regarding the private sector that 

must be emphasized because of their uniqueness 

or importance. 

 

1 That falls within the definition of “Critical Infrastructure 

and Key Resource (CI/KR),” as described in Homeland 

Security Presidential Directive-7 (HSPD-7), Critical 

Infrastructure Identification, Prioritization, and Protection, 

and as they relate to the NRP.

 This annex does not alter existing private-sector 

responsibilities for emergency management 

under the law. Existing contractual or other 

legal relationships between Federal agencies and 

the private sector are not supplanted by this 

annex. 

 The roles and interfaces of volunteer and 

nongovernmental organizations are detailed in 

the Volunteer and Donations Management 

Support Annex. 

 The roles of Sector Specific Agencies (SSAs), as 

defined in HSPD-7, are addressed in more detail 

in the Emergency Support Function (ESF) 

Annexes. 

 Detailed processes, procedures, and protocols 

for incident management coordination with the 

private sector are developed and promulgated 

separately by the Department of Homeland 

Security (DHS). 

Policies 

 The Federal Government encourages 

cooperative relations between private-sector 

organizations and State, local, and tribal 

authorities regarding prevention, preparedness, 

mitigation, response, and recovery activities 

related to Incidents of National Significance. It 

works cooperatively on incident planning, 

communication, and operational execution 

activities with these entities. 
PRV-2 Private-Sector Coordination Support Annex December 2004 

 National Response Plan 

 The Federal Government encourages processes 

that support informed cooperative 

decisionmaking. It takes actions that engage the 

private sector at the strategic (e.g., chief 

executive officer (CEO), corporate president, or 

other senior leadership, etc.) and operational 

levels to ensure: 

 Effective and efficient use of private-sector 

and Federal resources; 

 Timely exchange of information; and 

 Public and market confidence in times of 

crisis or catastrophe. 

 

 The Federal Government encourages extensive 

two-way sharing between the public and private 

sectors of operational information and 

situational awareness relative to potential or 

actual Incidents of National Significance. The 

Federal Government works cooperatively to 

develop and apply processes, procedures, and 

communications protocols that support such 

sharing at the strategic leadership and 

operational levels. 

 The Federal Government encourages members 

of the CI/KR community to organize sectorcoordinating and information-sharing 

mechanisms suitable for their sectors or areas of 

concern. 

 The Federal Government encourages owners and 

operators of those infrastructure elements whose 

disruption may have national or regional impact 

to develop appropriate emergency response 

plans and information-sharing processes and 

protocols tailored to the unique requirements of 

their respective sectors or industries, and 

mapped clearly to regional, State, local, and 

tribal emergency response plans and 

information-sharing networks. 

 The Federal Government encourages privatesector organizations to develop and maintain 

capabilities needed to respond to and manage a 

complete spectrum of incidents and 

emergencies, except in cases where the 

capabilities are inherently governmental in 

nature. 

 In certain circumstances, Federal law requires 

appropriate authorities to include private-sector 

representatives in incident management planning 

and exercises; when not required, it encourages 

such participation whenever practical. 

 The Federal Government may direct privatesector response resources in some cases in which 

contractual relationships exist. The Government 

also retains its full authorities to oversee and 

control as appropriate infrastructure involved in 

an incident. Through the Defense Production 

Act2

 and the Homeland Security Act, DHS has 

the authority to redirect production and 

distribution of certain incident management 

resources, if required. 

 The Federal Government treats information 

provided by the private sector, from receipt 

through destruction, in a manner consistent with 

applicable statutes and regulations. These 

handling procedures include Protected Critical 

Infrastructure Information, providing exemption 

from disclosure, to protect from unauthorized 

disclosure appropriately designated proprietary 

or otherwise sensitive company information. 

 The Federal Government avoids actions that 

disrupt existing relationships between voluntary 

aid providers at the local, State, or national level 

when eliciting additional offers of goods and 

services. 

 The Federal Government conducts after-action 

critiques of the procedures detailed in this annex 

with private-sector participants when they are 

exercised in national-level, DHS-sponsored 

exercises; it shares such critiques appropriately 

with private-sector participants. 

 

2 See the Defense Production Act of 1950, as amended, 

as referenced in the section on private-sector roles and 

responsibilities in the NRP Base Plan.
December 2004 Private-Sector Coordination Support Annex PRV-3 

 National Response Plan 

Concept of Operations

General 

 The operational concept for incident 

management involving the private sector is the 

concept specified in the NRP and the National 

Incident Management System. 

 The concept of operations in this annex covers 

the specific organizations and actions developed 

which are required to effectively and efficiently 

integrate incident management operations with 

the private sector. These are detailed in the 

sections that follow. 

Organizations for Operations With the 

Private Sector 

General: Specialized organizations that facilitate 

coordination with the private sector are designed to 

provide for critical needs as listed below. 

 Processes to determine the impact of an incident 

on the sector involved, as well as to forecast 

cascading effects of interdependencies between 

sectors. 

 Procedures for communication that facilitate a 

shared situational awareness across industry and 

infrastructure sectors and between the public and 

private sectors. 

 Procedures for coordination and priority-setting 

for incident management support and response, 

and the rationing or prioritizing of the delivery 

of goods and services after an incident. 

 Processes to inform Federal Government 

decisionmakers to help determine appropriate 

recovery and reconstitution measures, 

particularly in cases where they may result in 

indemnity, liability, or business losses for the 

private sector. 

 Procedures for the Federal Government to 

obtain, under the Defense Procurement Act and 

other authorities, goods and services necessary 

for the restoration and recovery of CI/KR and 

other key elements of the economy on a priority 

basis. 

Department of Homeland Security: In the event 

of a potential or actual Incident of National 

Significance, the DHS Office of the Secretary 

coordinates strategic communications with CEOs, 

senior officials, or individuals specifically 

designated by these private-sector leaders to engage 

in such communications on their behalf. Further, the 

Secretary of Homeland Security utilizes a privatesector advisory group with representatives from 

across the spectrum of CI/KR, business, and 

industry, as well as nongovernmental organizations 

(NGOs), to provide advice on incident management 

and emergency response issues affecting their 

constituencies. The Office of the Secretary assigns 

the responsibility for private-sector threat or incident 

communications to appropriate organizations within 

DHS. These organizations are detailed below. 

 Private Sector Office (DHS/PSO): The 

DHS/PSO encourages private-sector 

preparedness for incident management by 

identifying and promoting private-sector 

community efforts, including security activities 

in national preparedness, prevention, response, 

and recovery efforts, promoting educational 

efforts to prepare for natural disasters or terrorist 

incidents, and encouraging the identification and 

sharing of best practices. DHS/PSO provides a 

representative to the Homeland Security 

Operations Center (HSOC) and Interagency 

Incident Management Group (IIMG) to enable 

strategic coordination with the private sector 

during potential or actual Incidents of National 

Significance. 

 Information Analysis and Infrastructure 

Protection/Infrastructure Coordination 

Division (DHS/IAIP/ICD): The 

DHS/IAIP/ICD supports prevention, 

preparedness, response, and recovery efforts 

involving the CI/KR community, in accordance 

with HSPD-7, and other private-sector entities as 

appropriate, through facilitating and 

coordinating protection and response planning, 

procedures, and exercises. DHS/IAIP/ICD 

implements the programmatic policy and 

strategy for information-sharing. Three key 

DHS/IAIP/ICD functions are: 
PRV-4 Private-Sector Coordination Support Annex December 2004 

 National Response Plan 

 National Infrastructure Coordination: 

Within the HSOC, the National 

Infrastructure Coordinating Center (NICC) 

monitors the Nation’s CI/KR on an ongoing 

basis, and provides a coordinating 

mechanism to share and exchange 

information with the private sector and the 

HSPD-7 SSAs. In a potential or actual 

Incident of National Significance, the NICC 

is a key component in providing situational 

and operational information as well as a 

capability to monitor and share information 

with other private-sector entities as required. 

 Critical Infrastructure Preparedness 

Planning and Coordination Support: 

DHS/IAIP/ICD facilitates the development, 

implementation, and exercise of CI/KR’s 

national response plans across sectors, and 

other industry sectors as appropriate. 

DHS/IAIP/ICD supports sectors in 

developing their own sector coordination 

and information-sharing mechanisms. 

 Infrastructure Liaison During NRP 

Operations: In an Incident of National 

Significance involving the implementation 

of the NRP, DHS/IAIP/ICD provides a 

representative to the National Response 

Coordination Center (NRCC) and to the 

IIMG, to enable coordination with the 

CI/KR community at the national level. 

DHS/IAIP/ICD also deploys an 

Infrastructure Liaison to the Regional 

Response Coordination Center 

(RRCC)/Joint Field Office (JFO) to provide 

regional-level coordination and liaison 

functions to the CI/KR community for the 

RRCC/JFO Coordination Staff, in support of 

the JFO Coordination Group. The 

Infrastructure Liaison: 

 Serves as the principal advisor regarding 

national and regional CI/KR, and other 

relevant businesses and industry; 

 Coordinates with private-sector entities, 

SSAs, and State, local, and tribal 

governments; 

 Acts as liaison between national- and 

regional-level CI/KR, the private sector, 

and the JFO by conveying information 

about the Nation’s CI/KR and privatesector status; 

 Facilitates operational-level 

communication with the private sector 

during an incident; and 

 Communicates with the DHS/IAIP/ICD 

representative at the IIMG, NRCC, and 

NICC. 

The Infrastructure Liaison focuses on the 

broad impacts and status of actions relating 

to affected CI/KR, as opposed to the direct 

provision of goods or services. Restoration 

of critical infrastructure and operational 

coordination with impacted 

telecommunications, energy, and other 

utilities and systems is conducted through 

the established ESFs. 

Sector-Specific Agencies 

 Under overall DHS coordination as indicated in 

HSPD-7, SSAs identify, prioritize, and 

coordinate the protection of CI/KR sectors to 

prevent, deter, and mitigate the effects of 

deliberate efforts to destroy, disrupt, 

incapacitate, or exploit them. 

 Under HSPD-9 and HSPD-10, certain SSAs are 

required to take actions to identify and prioritize 

CI/KR sectors for establishing protection 

requirements, develop awareness and early 

warning capabilities to recognize threats, and 

enhance response and recovery procedures. 

Private-Sector Involvement With Incident 

Management Organizations: Private-sector 

involvement with incident management 

organizations is determined in large measure by the 

nature, scope, and magnitude of the incident. For 

most incidents, private-sector involvement is 

centered on internal, local, and State organizations; 

for Incidents of National Significance, industry, 

State, and Federal organizations become more 

involved; for truly catastrophic incidents, State and 

Federal organizations have primary responsibilities, 

and provide proactive resource and operational 

support functions to save lives and contain the 

incident. 
December 2004 Private-Sector Coordination Support Annex PRV-5 

 National Response Plan 

 Private-Sector Incident Management 

Organizations: Private entities such as 

businesses and industry associations develop, 

validate, exercise, and implement security and 

business continuity plans to ensure their 

capability to deliver goods and services to 

customers and as a responsibility to their 

owners. Assessments of and contingency plans 

for the disruption of a private entity’s supply 

chain and other dependencies are usually 

included in this planning. In many communities, 

private-sector owners and operators coordinate 

their security programs and continuity/ 

contingency programs and plans with State, 

local, and tribal governments’ emergency 

response plans. A number of industry sectors 

have developed information-sharing 

arrangements to facilitate coordination necessary 

to share homeland security information with 

competitors and with governments. 

 State and Local Incident Management 

Organizations: Many States coordinate across 

regions to support various response activities. 

Their incident management organizations act as 

conduits for requests for Federal assistance 

when an incident exceeds local and privatesector capabilities. 

The on-scene incident command and 

management organization is located at the 

Incident Command Post. It is typically 

comprised of incident management officials and 

responders from Federal, State, local, and tribal 

agencies. It may include private-sector and 

nongovernmental organizations when 

appropriate. 

 Federal Incident Management Organizations: 

Private-sector as well as State, local, tribal, and 

nongovernmental organizations are encouraged 

to assign liaisons to the JFO to facilitate 

interaction, communication, and coordination. 

In some instances, the JFO Coordination Group 

may include NGO and/or private-sector 

representatives. 

Notification and Reporting 

 Private-sector organizations, like Federal, State, 

local, tribal, and nongovernmental organizations, 

report threats, incidents, and potential incidents 

to the HSOC using existing jurisdictional 

incident reporting mechanisms and reporting 

channels. The HSOC receives threat and 

operational information regarding incidents or 

potential incidents from these jurisdictions and 

makes an initial determination to initiate the 

coordination of Federal incident management 

activities. 

 In partnership with the HSOC, the DHS/IAIP 

manages the daily analysis of incident-related 

reports and information. This management 

includes maintaining communications with 

private-sector critical infrastructure informationsharing mechanisms. Such communications 

includes conducting daily polling of the standing 

information-sharing mechanisms for incidents 

and abnormalities by the NICC. 

Actions Related to Operations With the 

Private Sector 

Pre-Incident 

 DHS/PSO facilitates the development and 

presentation of general educational programs for 

the private sector that increase awareness and 

understanding of terrorist threats, and 

encourages the sharing of appropriate 

information and use of best practices that 

contribute to early warning of potential 

incidents. 

 DHS/IAIP/ICD facilitates and encourages the 

organization of industry sectors to cooperate on 

information-sharing and other prevention and 

mitigation activities. 

 DHS/IAIP/ICD maintains relationships with the 

CI/KR sector to identify requirements for 

capabilities and support. DHS/IAIP/ICD 

develops and implements programs and 

capabilities that continuously improve the twoway exchange of information with the private 

sector to contribute to more effective alerts, 

warnings, and advisories. 
PRV-6 Private-Sector Coordination Support Annex December 2004 

 National Response Plan 

 DHS/IAIP/ICD maintains situational/operational 

awareness of CI/KR through the NICC working 

in conjunction with the information-sharing 

mechanisms. It assesses the data it receives to 

identify anomalies in sector operations, working 

closely with CI/KR owners and operators. After 

assessing information on incidents and threats, it 

disseminates alerts, warnings, and advisories for 

both government and private-sector entities. 

 DHS/IAIP/ICD, with support from other entities 

within DHS and in conjunction with relevant 

SSAs, encourages, facilitates, and coordinates 

CI/KR and other industry sectors to develop and 

implement industry best practices for 

preparedness, perform sector-wide preparedness 

planning and implementation, plan coordination 

with regional and local government plans, and 

perform cross-sector integration of plans. 

 DHS/IAIP/ICD supports sector-specific and 

cross-sector exercises and provides 

representation in exercises led by the private 

sector and State and local governments. 

Initial Actions: Actions are initiated at the IIMG, 

NRCC, and RRCC to facilitate coordination with 

relevant private-sector entities. The ESFs also 

implement established protocols for coordination 

with private-sector counterparts at the national and 

regional levels. 

 To facilitate private-sector coordination, DHS 

assigns representatives to the various NRP 

organizations. 

 At the IIMG, the DHS/PSO representative 

acts as a liaison to communicate at a 

strategic level to private-sector leadership. 

The IIMG private-sector liaison coordinates 

communication with private-sector senior 

leadership and with the NRCC to maintain 

awareness of resource needs that can be met 

by voluntary donations and nonprofit crisis 

support organizations. They also coordinate 

the assessment of the economic impact of 

the incident with private-sector senior 

leaders and other Federal department or 

agency liaisons as appropriate. 

 At the HSOC, the DHS/IAIP/ICD 

representative monitors the operational 

status of CI/KR and facilitates coordination 

and sharing of situational awareness with 

and among the CI/KR and other industrial 

sectors as needed. The NICC coordinates 

between the owners and operators of CI/KR 

and other private assets, and the appropriate 

SSAs to ensure that they are informed 

regarding activities pertaining to their areas 

of responsibility. SSAs coordinate with the 

NICC to ensure that it is informed regarding 

CI/KR vulnerabilities and activities. 

 At the RRCC and JFO, the DHS/IAIP/ICD 

Infrastructure Liaison supports the Principal 

Federal Official (PFO)/Federal Coordinating 

Officer (FCO)/Federal Resource 

Coordinator (FRC). The Infrastructure 

Liaison acts as the point of contact and 

facilitates coordination with the nationallevel NRP elements and appropriate ESF 

representatives regarding local/regional 

matters relating to CI/KR and the private 

sector. The Infrastructure Liaison provides 

analysis and recommendations to the 

PFO/FCO for restoration of the 

infrastructure and related allocation and 

prioritization of resources. 

 Emergency Support Functions: At the NRCC, 

RRCC, and JFO, the ESFs establish contact with 

private-sector counterpart organizations and/or 

industry to assist in assessment of impacts and 

identification of resources available to support 

potential or actual incident management efforts. 

In some circumstances, priorities of incident 

management actions are developed by a 

partnership of Federal, State, and private-sector 

entities. 

Ongoing Actions 

 For any incident losses, the private sector first 

seeks reimbursement from insurance and then 

may seek Federal disaster assistance, primarily 

in the form of low-interest disaster loans from 

the U.S. Small Business Administration. 

 DHS/PSO and other DHS entities, as assigned, 

assist and facilitate private-sector relationships 

with DHS as they implement recovery plans and 

return to normal operations. 
December 2004 Private-Sector Coordination Support Annex PRV-7 

 National Response Plan 

 DHS/IAIP/ICD maintains situational awareness 

through the recovery of CI/KR and acts as a 

conduit of information to and from sectors 

through the NICC. DHS/IAIP/ICD assists or 

facilitates infrastructure owners and operators in 

restoration of facilities, working under existing 

authorities, in coordination with private-sector 

organizations and consortia that are organized 

for these purposes. 

Responsibilities 

Department of Homeland Security 

 Develops plans, frameworks, and relationships, 

and facilitates coordinated incident response 

planning with the private sector at the strategic, 

operational, and tactical levels. 

 Shares information, including threats and 

warnings, before, during, and after an incident. 

 Informs and orients the private sector on the 

contents of the NRP, and encourages and 

facilitates the development and coordination of 

equivalent private-sector planning. 

 Coordinates and conducts national and regional 

incident management functions with the private 

sector and State, local, and tribal governments. 

 Develops, implements, and operates 

information-sharing and communication 

strategies, processes, and systems with 

homeland security stakeholders. 

Sector-Specific Agencies 

 The primary agency(ies) for each ESF is 

responsible for developing and maintaining 

working relations with its associated privatesector counterparts through partnership 

committees or other means (e.g., ESF #2, 

Communications – telecommunications 

industry; ESF #10, Oil and Hazardous Materials 

Response – oil and hazardous materials industry; 

etc.). 

 SSAs are responsible for exercising their ESF 

authorities for recovery of CI/KR sectors owned 

and operated by the private sector. 

Private-Sector Entities 

 Private-sector organizations support the NRP 

either through voluntary actions to help ensure 

business continuity or by complying with 

applicable laws and regulations. 

 Private-sector organizations accept an 

appropriate measure of responsibility for sharing 

information with the government, identifying 

risks, performing vulnerability assessments, 

developing contingency and response plans, 

enhancing their overall readiness, implementing 

appropriate prevention and protection programs, 

and donating or otherwise providing goods and 

services through contractual arrangement or 

government purchases to assist in response and 

recovery from an incident. 

 Certain organizations are required by existing 

law and regulation to bear the cost of planning 

and response to incidents, regardless of cause. 

In the case of an Incident of National 

Significance, these private-sector organizations 

are expected to mobilize and employ the 

resources necessary and available in accordance 

with their plans to address the consequences of 

incidents at their own facilities or incidents for 

which they are otherwise responsible. 
PRV-8 Private-Sector Coordination Support Annex December 2004 

 National Response Plan 

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December 2004 Public Affairs Support Annex PUB-1 

 National Response Plan 

Public Affairs Support Annex 

Coordinating Agency: 

Department of Homeland Security 

Cooperating Agencies: 

All 

Introduction 

Purpose 

This Public Affairs Support Annex describes the 

interagency policies and procedures used to rapidly 

mobilize Federal assets to prepare and deliver 

coordinated and sustained messages to the public in 

response to Incidents of National Significance and 

other major domestic emergencies. 

Scope 

As part of the Secretary of Homeland Security's 

responsibility to coordinate incident management 

under Homeland Security Presidential Directive-5, 

the National Response Plan Incident 

Communications Emergency Policy and Procedures 

(NRP-ICEPP) provides detailed guidance to Federal 

incident communicators on activities to be initiated 

in conjunction with potential or actual Incidents of 

National Significance. It is applicable to all Federal 

departments and agencies responding under the 

NRP. It establishes mechanisms to prepare and 

deliver coordinated and sustained messages 

regarding potential or actual Incidents of National 

Significance and provides for prompt Federal 

acknowledgement of an incident and communication 

of emergency information to the public during 

incident management operations. 

The NRP-ICEPP is comprised of two components of 

the NRP: the Public Affairs Support Annex, which 

describes the interagency policies and procedures for 

incident and communications with the public, and 

the ESF #15 – External Affairs Annex, which 

outlines resources and capabilities for public affairs. 

The NRP-ICEPP is supported by the NRP Incident 

Communications Emergency Supplement (NRPICES). The NRP-ICES contains supporting 

guidance and instructions for incident 

communications with the public and is distributed on 

a limited basis to core-group Federal departments 

and agencies. 

The policies and procedures outlined in these 

documents are based on, and flow through, the NRP, 

the National Incident Management System (NIMS), 

the Joint Information System (JIS), and the Incident 

Command System (ICS). All of these elements are 

integrated with and supported through the ESF #15 

resource management structure. 

Policies 

The NRP institutes an integrated concept, termed 

“incident communications,” as the approach used to 

manage communications with the public during 

Incidents of National Significance. Incident 

communications incorporates the following 

processes: 

 Control: Identification of incident 

communications coordinating, primary and 

supporting departments and agency roles, and 

authorities for release of information. 

 Coordination: Specification of interagency 

coordination and plans, notification, activation, 

and supporting protocols. 

 Communications: Development of message 

content such as incident facts, health risk 

concerns, pre-incident and post-incident 

preparedness recommendations, warning issues, 

incident information, messages, audiences, and 

strategies for when, where, how, and by whom 

the messages will be delivered. 

General guidance on the authority to release 

information is in accordance with existing plans, 

operational security, law enforcement protocols, 

designated coordinating and primary agency 

assignments, and current procedures. 
PUB-2 Public Affairs Support Annex December 2004 

 National Response Plan 

Nothing in this annex limits the authority of State, 

local, and tribal authorities from releasing 

information regarding an incident under their 

jurisdiction, particularly if it involves immediate 

health and safety issues. State, local, and tribal 

authorities retain the primary responsibility for 

communicating health and safety instructions for 

their citizens. 

Integration and teamwork among Federal, State, 

local, and tribal authorities is essential. State, local, 

and tribal authorities are encouraged to contact 

Department of Homeland Security (DHS) Public 

Affairs as they release initial or follow-on 

information. DHS Public Affairs engages with 

State, local, and tribal authorities as soon as possible 

during an actual or potential incident to synchronize 

overall incident communications to the public. 

Concept of Operations 

General 

 During an incident, Federal, State, local, and 

tribal authorities share responsibility for 

communicating information regarding the 

incident to the public. These actions are a 

critical component of incident management and 

must be fully integrated with all other 

operational actions to ensure the following 

objectives are met: 

 Delivery of incident preparedness, health, 

response, and recovery instructions to those 

directly affected by the incident; and 

 Dissemination of incident information to the 

general public. 

 The Joint Information Center (JIC) structure 

provides a supporting mechanism to develop, 

coordinate, and deliver messages; it supports the 

Incident Commander or Unified Command and 

the associated elements of the ICS. 

 A Federal core group develops, coordinates, and 

delivers information and instructions to the 

public related to: 

 Federal assistance to the incident-affected 

area; 

 Federal departmental/agency response; 

 National preparations; 

 Protective measures; 

 Impact on nonaffected areas; and 

 Federal law enforcement activities. 

Assignments to this core group are determined 

by the DHS Office of Public Affairs (OPA) in 

accordance with jurisdictional and statutory 

responsibilities, operational tasks, areas of 

expertise and responsibility, and the nature and 

location of the incident. 

 The DHS OPA has primary responsibility for 

coordinating the Federal incident 

communications effort by: 

 Identifying the Federal department and 

agency participants in the core group, and 

arranging conference calls and other 

activities necessary for coordination; 

 Providing a leadership role during domestic 

incidents when significant interagency 

coordination is required; and 

 Providing coordination with the Homeland 

Security Council (HSC) and other entities 

within the Executive Office of the President 

on matters related to dissemination of 

incident-related information to the public. 

Communications Team 

The Federal Government operates as a team to 

ensure successful incident communications with the 

public. From initial notifications to final recovery 

actions, the Federal team must operate and speak 

with a unified voice and consistent message that is 

coordinated not only with the different Federal 

authorities involved in an incident, but also with 

affected State, local, and tribal authorities. 

The organizational approach for public affairs and 

incident communications with the public relies on 

the following organizations and positions: 
December 2004 Public Affairs Support Annex PUB-3 

 National Response Plan 

Core Group of Federal Agencies: At the Federal 

level, incident messages are developed, coordinated, 

and delivered by an interagency core group of the 

key departments and agencies involved in the 

incident. 

Joint Information Center: A JIC is a central point 

for coordination of incident information, public 

affairs activities, and media access to information 

regarding the latest developments. In the event of a 

potential or actual Incident of National Significance, 

JICs are established to coordinate Federal, State, 

local, tribal, and private-sector incident 

communications with the public. Major 

announcements, daily briefings, and incident updates 

from the JIC are coordinated through DHS Public 

Affairs, affected State, local, and tribal leadership, 

and the interagency core group prior to release. This 

must be closely assessed and agreed upon in the 

early stages of an incident by all involved in incident 

communications with the public. 

 National JIC: Initially, a virtual JIC is 

established to coordinate information among 

affected States, Federal departments, and 

agencies. If necessary, a National JIC may be 

established. If established, Federal departments 

and agencies may be requested to provide 

representatives to the National JIC. A National 

JIC may be used when an Incident of National 

Significance is expected to be of a long duration 

(i.e., weeks or months) and when the incident 

affects a large area(s) of the country. 

 Incident JIC: The incident JIC is the physical 

location from which public affairs professionals 

from organizations involved in the response 

work together to provide critical emergency 

information, media response, and public affairs 

functions. The JIC serves as a focal point for the 

coordination and dissemination of information to 

the public and media concerning incident 

prevention, preparedness, response, recovery, 

and mitigation. The JIC may be established at 

an on-scene location in coordination with State, 

local, and tribal agencies depending on the 

requirements of the incident. In most cases, the 

JIC is established at or is virtually connected to 

the Joint Field Office (JFO), under the 

coordination of DHS Public Affairs. 

 JIC Staffing Components: JIC 

organization and staffing components are 

based on the template established in the 

NIMS. 

 JIC Information Management: The JIC 

develops, coordinates, and disseminates 

unified information. Information issued by 

the JIC is cleared internally through the JFO 

Coordination Group to ensure consistency. 

This formal approval process ensures 

protection of law enforcement-sensitive 

information. 

 Multiple JICs: Procedures and processes 

specified in the NIMS and the NRP-ICEPP 

should be employed whenever multiple JICs 

are operating in support of the same or 

related incidents and jurisdictions. This 

ensures mutual awareness and consistency 

in messaging and public instructions 

between all participants. 

DHS Principal Federal Official (PFO) Public 

Affairs Director: The PFO is supported by a 

dedicated DHS Public Affairs Director who 

functions as the press secretary, coordinates media 

activities for the PFO, provides strategic 

communications guidance to the JIC, and serves as a 

designated Federal spokesperson when directed by 

the PFO and/or DHS Public Affairs. 

The organizational approach for public affairs and 

incident communications with the public also 

includes the following systems: 

 Virtual JIC: A virtual JIC links all participants 

through technological means (secure or 

nonsecure) when geographical restrictions, 

incident management requirements, and other 

limitations preclude physical attendance by 

public affairs leadership at a central location. 

 National Incident Communications 

Conference Line (NICCL): The NICCL is a 

standing conference line designated, maintained, 

and supported by DHS Public Affairs as the 

primary means for interagency incident 

communications information-sharing during an 

Incident of National Significance. DHS Public 
PUB-4 Public Affairs Support Annex December 2004 

 National Response Plan 

Affairs provides guidance to Federal interagency 

public affairs headquarters staffs through the 

NICCL. 

 Homeland Security Information Network 

(HSIN): HSIN provides the incident 

communications team with an encrypted online 

Web system for record communications, chat 

room capability, and a real-time capability to 

post and review documents. The HSIN also is 

used by the DHS Homeland Security Operations 

Center (HSOC) to coordinate homeland security 

operations with interagency participants. DHS 

Public Affairs manages access, account support, 

and administrative issues relating to the HSIN 

for public affairs coordination. 

 Connectivity and Operations Center Support: 

In the event that normal communications are lost 

or degraded, the core group communicates with 

DHS Public Affairs through respective Federal, 

State, local, and tribal emergency operations and 

command centers. The HSOC provides support 

for this task. Department and agency incident 

communications continuity of operations 

(COOP) plans should incorporate relocation and 

alternate operating location provisions. 

Managing Incident Communications 

When an actual or potential Incident of National 

Significance occurs, Federal participants must 

immediately work together to manage incident 

communications with the public. This section 

describes incident communications control processes 

that delineate primary roles, primary agency 

functional areas, and authority for release of 

information. 

Initial Actions: The HSOC Senior Watch Officer 

and the DHS Assistant Secretary for Public Affairs 

(AS/PA) have specific responsibilities for immediate 

actions in the event of an incident. These include: 

 Incident of National Significance: The HSOC 

Senior Watch Officer notifies the DHS AS/PA, 

who in turn directs implementation of the NRPICEPP and immediate public affairs staffing 

support to the Interagency Incident Management 

Group (IIMG). 

 Other Domestic Incidents: The NRP-ICEPP 

may be implemented by the DHS AS/PA for 

other domestic emergencies where enhanced 

incident control, coordination, and 

communications among participating Federal 

departments and agencies are necessary. The 

DHS AS/PA advises the HSOC prior to 

implementation of the NRP-ICEPP for other 

major emergency situations. 

Assignments: Upon activation of the NRP, DHS 

Public Affairs coordinates the Federal activities 

related to incident communications with the public. 

Departments, agencies, and other authorities may 

retain primary incident communications 

responsibility for specific tasks. Primary 

assignments are confirmed during initial conference 

calls and may include the following: 

 Incident management 

 Law enforcement 

 Medical or health 

 Family assistance and victim issues 

 Technical or forensic matters 

 Environmental 

 Protective measures 

 Search and rescue 

 Preparedness 

 Recovery assistance 

 Federal personnel management 

Core Group Participants: Public affairs core 

group participation is flexible and scalable, 

depending on the nature and scope of the incident. 

As appropriate, the public affairs core group may 

consist of representatives from the following: the 

White House, DHS, the Department of Agriculture, 

the Department of Commerce/National Oceanic and 

Atmospheric Administration (NOAA), the 

Department of Defense, the Department of Energy 

(DOE), the Department of Health and Human 

Services (HHS), the Department of the Interior, the 

Department of Justice/Federal Bureau of 

Investigation (FBI), the Department of 

Transportation, the Department of Veterans Affairs, 

the Environmental Protection Agency, the Nuclear 

Regulatory Commission (NRC), the Office of 

Personnel Management, the U.S. Postal Service, and 

the American Red Cross. 
December 2004 Public Affairs Support Annex PUB-5 

 National Response Plan 

Initial Coordination: Establishing communications 

paths with participants is a primary objective during 

the first minutes of plan activation. These paths 

provide a streamlined process to ensure that 

appropriate participants and decisionmakers are 

linked together (by virtual or other means) to 

manage incident communications with the public. 

DHS Public Affairs establishes communications 

paths to enable the following: 

 Headquarters Level: Consultation with White 

House Communications; consultation with DHS 

senior leadership, including the IIMG and 

HSOC. 

 Interagency Level: Consultation with the 

Federal interagency core group. The NICCL is 

activated and used to communicate with the 

interagency core group. State, local, tribal, and 

nongovernmental organizations may be included 

in the NICCL as required. Interagency core 

group participants are designated and a virtual 

headquarters-level JIC assesses control, 

coordination, and communications issues for 

incident communications with the public. The 

initial conference assesses and assigns primary 

agency roles and reaches agreement on releases, 

talking points, and sustaining communications 

effort and strategy. 

 Incident Site: When an incident occurs within 

their jurisdiction, State, local, and tribal 

authorities take the lead to communicate public 

information regarding the incident. DHS Public 

Affairs makes every attempt to establish contact 

with the incident site(s) and participating 

Federal, State, local, and tribal communicators 

to gain incident facts, operational response 

updates, media coverage, and messages under 

consideration or already delivered. 

 News Media: Contact with key news media to 

inform them about the incident and its status, 

provide initial information to counter 

speculation and rumors, and make available, 

where necessary or known, immediate health 

and safety guidance. Departments and agencies 

should closely coordinate media queries during 

this critical phase to ensure that the approved 

interagency plan is being executed. 

Sustaining Coordination: Leadership for incident 

communications with the public uses the JIS and 

incident communications processes to organize and 

operate a sustained, integrated, and coordinated 

strategy ensuring the delivery of timely, accurate, 

and consistent information to the public. Resources 

for these activities are provided through ESF #15. 

This sustained coordination effort includes Federal, 

State, local, tribal, and nongovernmental entities 

involved with incident communications with the 

public. DHS Public Affairs coordinates department 

and independent agency headquarters-level incident 

communications with the public as necessary 

throughout the incident, focusing on both the 

incident locale and nonaffected areas to ensure 

continuity and synchronization between the Federal, 

State, local, and tribal incident communications 

teams. 

Actions Supporting Incident 

Communications With the Public 

Actions supporting incident communications with 

the public are keyed to the major components of 

incident management and incorporate special 

considerations as appropriate to the specific 

circumstances associated with the incident. Phasing 

of incident communications actions and special 

considerations that relate to incident 

communications with the public are detailed in the 

following subsections. 

Actions Relating to Incident Management 

Components 

 Prevention: Prevention measures are 

coordinated between DHS and FBI to ensure 

that a unified message is delivered to the public. 

Prevention incident communications with the 

public include: 

 Public information detailing changes in the 

Homeland Security Advisory System 

(HSAS) status level; 

 Public information describing protective 

measures; 

 Requests by law enforcement authorities for 

public assistance, information, and 

cooperation; and 
PUB-6 Public Affairs Support Annex December 2004 

 National Response Plan 

 Public information describing homeland 

security threats. 

 Preparedness: Preparedness for incident 

communications activities includes those 

measures taken before an incident to prepare for 

or mitigate the effects. Preparedness as it relates 

to incident communications with the public 

includes: 

 Evacuation, warning, or precautionary 

information to ensure public safety and 

health; 

 Public education and supporting 

documentation; 

 Federal, State, local, and tribal incident 

communications; 

 Media education, including weapons of 

mass destruction (WMD) information; 

 Exercises and training with risk 

communications; 

 Identifying subject-matter experts for 

availability during an incident; 

 Preparation and readiness to develop and 

deploy public service announcements and 

health advisory information; and 

 Testing and coordination of emergency 

broadcast and alerting systems. 

 Response: Response processes mitigate the 

effects of unanticipated problems and facilitate 

orderly management of an incident. Response 

activities for incident communications with the 

public include: 

 Rapid mobilization of incident 

communications resources to prepare and 

deliver coordinated and sustained messages 

according to a well planned strategy. DHS 

Public Affairs coordinates the Federal 

incident communications response; 

 Immediate and continuing dissemination of 

health or safety instructions, if necessary. 

This may also include evacuation or 

decontamination instructions; 

 Coordination of initial Federal 

announcements regarding an incident with 

State, local, and tribal authorities to ensure 

that the public is receiving a consistent 

message; 

 Activation of ESF #15 to support the 

incident communications effort with 

appropriate resources; 

 Making available pre-identified subjectmatter experts to the media to provide 

accurate scientific, medical, and technical 

response information; 

 Designation of a Public Affairs Director to 

support the PFO, if one is designated; 

 Establishment of a JIC to support the JFO 

and ICS; 

 Designation of a Public Information Officer 

(PIO) to coordinate field-level Federal 

public information and manage the JIC; 

 Dissemination of information to the public 

on reassurance that authorities are 

implementing response and recovery actions 

to ensure the health, safety, and security of 

the public; 

 Communications to other, nonaffected 

States about incident details, preparedness 

measures, and reassurance; 

 Deployment of public affairs resources from 

other Federal departments and agencies as 

required by the scope of the incident; and 

 Development and implementation of a joint 

sustaining communications plan and effort 

by Federal, State, and local authorities. 
December 2004 Public Affairs Support Annex PUB-7 

 National Response Plan 

 Recovery: Incident communications and public 

affairs efforts are sustained as long as necessary 

to continually reassure, inform, and respond to 

public information needs. These efforts are 

closely coordinated with State, local, and tribal 

authorities. Recovery programs include 

mitigation components designed to avoid 

damage from future incidents. Typical recovery 

actions for incident communications with the 

public may include: 

 Providing public information on incident 

response and progress in restoring normalcy. 

Emphasis is placed on mitigating or 

reducing social and emotional anxiety and 

concern; 

 Providing public information on disaster 

assistance and support resources; and 

 Recognition of the efforts of responders, 

citizens, and the private sector. 

Incident Action Special Considerations 

 Objectives: Communication objectives during 

an Incident of National Significance are focused 

on delivering information regarding incident 

facts, health and safety, preparedness, and 

response/recovery activity and instructions. 

Citizens are reassured that authorities are 

executing coordinated response plans and are 

provided with frequent updates on incident facts 

and important instructions. Throughout all 

phases of incident management, public 

confidence and credibility must be maintained, 

particularly if WMD are involved or threatened. 

 Coordination Strategy: A critical element in 

building a successful strategy among Federal, 

State, local, and tribal incident communications 

leaders is to reach consensus as soon as possible 

on the coordination and synchronization of 

incident communications with the public. State, 

local, and tribal authorities take a lead incident 

communications role within their respective 

jurisdictions, while the Federal core group 

coordinates communications covering Federal 

assistance to the affected area, Federal 

departmental/agency response, national 

preparations, protective measures, impact on 

nonaffected areas, and Federal law enforcement 

activities. Mutual agreement and maintenance 

of this relationship remains a high priority 

throughout the incident. 

 Messaging Considerations: Incidents of 

National Significance place a large demand on 

normal public affairs processes and 

organizations. Advance planning, pre-incident 

coordination and mutual awareness, and 

exercises all serve to mitigate this. However, 

public affairs professionals must take into 

account the following: 

 Developing the Message: The nature of an 

incident and restrictions it may create could 

inhibit the ability of the Federal, State, local, 

and tribal incident communications team to 

develop a communications strategy and 

message. This could include loss of 

communications or transportation 

restrictions. This could also be exacerbated 

if relocation by participating departments 

and agencies is required. 

 Delivering the Message: Message delivery 

during an Incident of National Significance 

may require use of all available 

communications media and resources. 

Development of aggressive and creative 

solutions when traditional tools of 

communication are not available should be 

assessed and planned for throughout the 

incident. 

 Receiving the Message: The public, 

especially those who require evacuation or 

other guidance, must have the capability to 

receive the message. This may be difficult 

if the affected area has suffered significant 

loss of normal power or personal and mass 

communications capability. The ability of 

the public to receive messages and 

instructions must be considered throughout 

an incident, and be made known to incident 

management leadership on a recurrent basis 

so that appropriate delivery mechanisms and 

resources are implemented. 
PUB-8 Public Affairs Support Annex December 2004 

 National Response Plan 

 Risk Communications: Professionals who 

support this annex should be trained and 

conversant in risk communications and employ 

its major principles during incident 

management. 

 Information Security: An Incident of National 

Significance or other domestic emergency may 

involve classified or sensitive information. 

Public information and public education efforts 

in support of Incidents of National Significance 

and major domestic incidents must be conducted 

using the proper protocol and procedures for 

handling of classified or sensitive information. 

Operational leadership and the communications 

team must take into account the security of 

classified and sensitive law enforcement 

information, together with the responsibility to 

provide the public with critical emergency 

information and protective action guidance. 

 Rumors and Misinformation: The incident 

communication core group and JIC use media 

monitoring, community relations reports, and 

other techniques to identify rumors, 

misinformation, inaccurate reports, or other 

potential issues. The core group and JIC provide 

a rapid-response capability to research problems, 

develop an aggressive communications strategy, 

and ensure dissemination of accurate 

information to minimize the potential for release 

of conflicting information and potential for 

panic or loss of public confidence. 

 Scientific/Medical Support and Messaging: 

Public information must be correct and 

consistent with scientific and medical 

recommendations. The core group and JIC must 

rapidly translate complex scientific and medical 

processes into public information, statements for 

senior officials, and instructions that can be 

readily absorbed by the media or acted on by the 

public. The immediate involvement of agency 

subject-matter experts is critical to ensure 

effective, accurate, and timely incident 

communications with the public. 

 Nonaffected Areas: Instructions are provided 

to nonaffected areas to enhance preparedness 

and minimize the impact on health and safety of 

those in potentially threatened areas. 

 HSAS: The core group and JIC incorporates 

threat status information within messaging as 

appropriate. To that end, if a level is increased, 

it is appropriate to cite protective measures 

being put in place to better protect the Nation, a 

particular region, and citizens. 

 Public Alerting and Mass Communications 

Systems: These systems provide nearimmediate capability to warn or instruct the 

public on natural, manmade, or terrorist 

incidents. Subject to the availability of power 

and normal utilities, they provide a key mass 

communications resource for national leadership 

to employ during an incident. They may employ 

tools to reach the broadest audience including 

mass communications media, Web, other 

electronic means, and nontraditional resources. 

 Spokespersons: Spokespersons are identified 

as early in the incident response process as 

possible. Spokespersons may include incident 

management leadership and public affairs 

professionals. Federal, State, local, and tribal 

incident communications with the public must 

ensure that spokespersons are fully prepared 

with current information and incident facts, 

incident messages, and incident management 

roles and responsibilities. Scientific, technical, 

and medical experts should be identified and 

available for briefings and interviews throughout 

the incident. These experts are critical to 

ensuring that a message is clearly transmitted 

into common terms and is received by the 

audience with credibility. 

 Multilanguage Communications: The incident 

communications team ensures that non-Englishspeaking populations in both affected and 

nonaffected areas receive the same incident 

information and public instructions. This should 

be considered throughout the course of the 

incident. The ESF #15 coordination team, 

through community relations and other 

resources, has a prominent role in meeting this 

requirement. 

 Web Site Coordination: DHS Public Affairs 

frequently updates its Web site during an 

Incident of National Significance. Pre-incident 

development of incident-related Web pages 
December 2004 Public Affairs Support Annex PUB-9 

 National Response Plan 

expedites posting. It is essential that Federal, 

State, local, and tribal incident communications 

staffs frequently review Web site material to 

ensure consistency and accuracy in the unified 

message. Federal departments and agencies 

ensure that Web pages documenting incident 

activity are appropriately linked to the DHS 

Web site and posted language is consistent with 

approved public affairs guidance. 

 Preparedness: Preparedness communications 

guidance and messaging support is provided 

through a number of resources, including: 

 Web Sites: The DHS Web site, ready.gov, 

and Web sites from DOE, HHS, NRC, the 

Centers for Disease Control and Prevention, 

and other Federal departments and agencies 

provide authoritative and scientifically based 

information on threats, health preparedness, 

and recovery-phase actions. 

 Technical Experts: Interviews with 

subject-matter experts, technical experts, 

and nongovernmental authorities can 

summarize incident issues in layman’s 

terms. These subject-matter experts are 

made available to the news media to provide 

fact-based information and objective 

analysis of an incident and related issues. 

 Public Service Announcements: Subject 

to the nature of the Incident of National 

Significance, DHS Public Affairs may 

develop and distribute national public 

service announcements to educate and 

reassure the public about an incident and 

related medical or preparedness concerns. 

 Response: General planning guidance for 

incident communications with the public is 

contained in Table 1 at the end of this annex. 

This matrix reflects incident actions and 

commensurate incident communications 

response activities for a nonspecific Incident of 

National Significance. Key communications 

phase activities are summarized. 

 Recovery: Incident communications with the 

public during recovery, which include the range 

of comprehensive DHS/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency (DHS/EPR/FEMA), other 

Federal, and State and local community relations 

efforts, are directed at assisting victims and their 

families, restoring the affected community, and 

instilling public confidence in the reconstitution 

of government operations and services. 

 Medical and Mental Health Support: Federal 

resources, State and local authorities, the 

American Red Cross, and other agencies and 

organizations provide mental health assistance 

and support to the public following an Incident 

of National Significance. This includes efforts 

to mitigate concerns, anxiety, and fear from new 

attacks or incidents, and to instill public 

confidence in the capabilities of responders, 

authorities, and plans. 

 Many incidents do not rise to the level of an 

Incident of National Significance or require the 

direct involvement by the Secretary of 

Homeland Security. However, DHS and its 

OPA may assume responsibility or provide a 

major role during these domestic incidents when 

significant interagency coordination is required. 

Notification, activation, and response processes 

are discussed in preceding sections of this 

annex. Communications with the public during 

major domestic incidents are based on the 

following activities: 

 DHS Public Affairs assesses the 

requirements for incident communications 

with the public in coordination with the 

HSOC and coordinates Federal public 

affairs activities for the incident, unless 

otherwise directed by the Secretary; 

 DHS Public Affairs contacts the affected 

State, local, and tribal counterparts and, 

through mutual agreement, confirms 

primary roles and plans; 

 DHS Public Affairs identifies a core Federal 

department and agency participant group 

(usually based on operational participation), 

and arranges conference calls and 

coordination; and 
PUB-10 Public Affairs Support Annex December 2004 

 National Response Plan 

 In coordination with participating State, 

local, and tribal counterparts, the core 

Federal departmental/agency group develops 

and delivers public information and 

instructions. Primary assignments are 

determined in accordance with jurisdictional 

and statutory responsibilities, operational 

tasks, areas of expertise and responsibility, 

and the nature and location of the incident. 

Responsibilities 

Coordinating Agency: DHS 

DHS, through the AS/PA and OPA: 

 Plans, prepares, and executes Federal leadership 

and ESF #15 resource management during 

Incidents of National Significance and other 

domestic incidents; 

 Coordinates plans, processes, and resource 

support to field operations for incident 

communications with the public through ESF 

#15, coordinates incident communications plans 

and processes with the White House Office of 

Communications and HSC, and coordinates 

interagency core group and JIC plans and 

processes; 

 Designates a Public Affairs Director to support 

the incident PFO, if one is designated; 

 Coordinates Federal plans and processes for 

incident communications with the public with 

State, local, and tribal authorities as necessary; 

 Coordinates plans and processes for incident 

communications with the public with 

nongovernmental organizations; and 

 Disseminates information related to incidents to 

the public. 

Federal Departments 

Federal departments and independent agencies: 

 Plan, prepare, and execute their respective 

processes for incident communications with the 

public during potential or actual Incidents of 

National Significance; 

 In conjunction with strategic communications 

guidance from DHS, assume certain primary 

agency responsibilities for incident 

communications with the public when assigned 

or consistent with specific departmental and 

agency authorities. For example, the 

Department of State assumes primary 

responsibility for public affairs issues during a 

potential or actual Incident of National 

Significance which involves another nation, 

aliens, foreign-owned transportation modes, or 

international policy issues; 

 Disseminate incident information to the public 

within their functional areas of responsibility; 

and 

 Ensure that departmental and agency plans 

incorporate the provisions contained in the NRP 

for incident communications with the public. 

Responsibilities for NRP-ICEPP 

Administration 

Responsibilities for the ongoing management, 

maintenance, update, and administration of the NRPICEPP are assigned as follows: 

 Responsibility: The DHS AS/PA is responsible 

for preparation, management, and maintenance 

of the NRP-ICEPP. 

 Oversight: The HSC provides oversight and 

coordination of policy issues relating to the 

NRP-ICEPP. The HSC and the DHS AS/PA 

jointly coordinate interagency clearance on the 

NRP-ICEPP, pending changes, exercise and 

incident lessons learned, and resolution of 

interagency coordination issues. Interagency 

Policy Coordinating Committees review and 

comment on proposed routine changes to the 

NRP-ICEPP. 
December 2004 Public Affairs Support Annex PUB-11 

 National Response Plan 

 Recurrent Review: The DHS AS/PA reviews 

the NRP-ICEPP annually. Urgent changes are 

coordinated through the interagency process in 

an expeditious manner as necessary throughout 

the year. 

 Exercises and the National Exercise Program 

(NEP): The NRP-ICEPP is the primary Federal 

plan for incident communications with the 

public and is to be used for interagency 

exercises and those scheduled within the NEP. 

 Incident Communications Public Affairs 

Coordination Committee (ICPACC): The 

ICPACC is a Federal interagency contact group 

incorporating public affairs representatives from 

all Cabinet departments and independent 

agencies to increase awareness, teamwork, and 

interoperability among Federal incident 

communications staffs. The ICPACC is not 

charged to conduct formal policy review, but 

may assess interagency issues process matters 

dealing with the Public Affairs Support Annex. 

The DHS AS/PA manages the ICPACC. 
PUB-12 Public Affairs Support Annex December 2004 

 National Response Plan 

TABLE 1. Interagency Incident Communications Planning Guide 

INTERAGENCY INCIDENT COMMUNICATIONS PLANNING GUIDE 

INCIDENT OF NATIONAL SIGNIFICANCE – RESPONSE PHASE 

Incident Time Incident Activity Actions 

First Hour  Incident 

 First official reports 

 Unconfirmed facts and rumors 

 First media reports 

 Potential live TV reports 

 Public has immediate need for 

information and possible health 

and safety instructions 

 Media has immediate need for 

facts, information, and subjectmatter experts 

 Witness media reports 

 Victim family reports 

 Potential incident video 

 Unconfirmed casualty reports 

 Potential voluntary or directed 

evacuations 

 HSOC notified of an incident 

 IIMG activated 

 NRP-ICEPP activated 

 NICCL activated 

 DHS Public Affairs initiates communications 

path contacts, including contact with incident 

site 

 Special media line activated 

 State and local authorities may make first 

releases about the incident 

 Initial health and safety release 

 Emergency Alert System may be activated 

 NOAA Weather Radio may be used to 

broadcast warning information 

 Interagency NICCL assesses: 

 Control/leads 

 Coordination/planning 

 Communications, first release 

 Initial strategy for incident communications 

with the public developed by interagency 

core group; focuses on Federal incident 

response, protective measures, and 

reassurance 

 Secretary of Homeland Security and/or other 

senior officials make first formal 

announcements 

 State and local authorities in affected area(s) 

lead incident site communications while 

Federal and interagency effort focuses on 

support to affected area and national issues 

 DHS initiates contact with nonaffected State 

incident communications officials 

 Splash Web page posted by DHS; links to 

other interagency Web sites 

 Subject-matter experts identified to media 

 Federal Government status announcement 

from: 

 OPM when the affected area includes the 

National Capital Region (NCR) 

 Federal Executive Boards outside the 

NCR 
December 2004 Public Affairs Support Annex PUB-13 

 National Response Plan 

TABLE 1. Interagency Incident Communications Planning Guide (Continued) 

INTERAGENCY INCIDENT COMMUNICATIONS PLANNING GUIDE 

INCIDENT OF NATIONAL SIGNIFICANCE – RESPONSE PHASE 

Incident Time Incident Activity Actions 

First Day  Continuing heavy media coverage 

 Media questions on the new alert 

status (if changed) and safety of 

the Nation and citizens 

 Response and recovery continues 

 Potential rumors 

 Continuing victim and family 

coverage in media 

 Search and rescue operations 

 Possible decontamination issues 

 Delivery of medicines, as 

appropriate 

 Arrival of supporting Federal 

resources, including PFO, medical, 

incident response, law 

enforcement, and incident 

communications with the public 

 Questions from media on why the 

incident happened and potential 

incidents elsewhere in the Nation 

 Interagency effort continues to focus on 

Federal incident response, protective 

measures, and reassurance; messaging 

includes deterrent measures, preparedness, 

and disaster assistance 

 HSAS level changed if necessary and 

protective measures incorporated in 

interagency plan for incident 

communications with the public 

 DHS Public Affairs continues close 

coordination with HSOC 

 Statements by national leadership 

 JIC established to support JFO and 

incorporate Federal, State, and local 

authorities; JIC performs functions per NIMS 

 ESF #15 is activated and employed to 

coordinate resources for incident 

communications with the public 

 Daily briefing routine established in 

coordination with all Federal, State, and local 

authorities 

 PFO Public Affairs Director designated and 

deployed 

 Participating Federal departments and 

agencies publish supporting releases in 

accordance with interagency plan 

 Messaging addresses potential medical or 

health safety instructions 

 DHS Public Affairs coordinates preparation 

and distribution of nationally televised public 

service and health advisories 

 Federal and other Web pages updated, 

coordinated, and linked 

 JIC distributes statistical information, 

graphics, video, and photos as appropriate 
PUB-14 Public Affairs Support Annex December 2004 

 National Response Plan 

TABLE 1. Interagency Incident Communications Planning Guide (Continued) 

INTERAGENCY INCIDENT COMMUNICATIONS PLANNING GUIDE 

INCIDENT OF NATIONAL SIGNIFICANCE – RESPONSE TO RECOVERY PHASES 

Incident Time Incident Activity Actions 

First Week  Response and recovery continues 

 Potential diminishing media 

coverage 

 Continuing victim and family 

coverage 

 Search and rescue operations 

 Possible decontamination issue 

 Disaster recovery, assistance 

support, and effectiveness of 

government and responder efforts 

 Delivery of medicines, as 

appropriate 

 Continued deployment and 

progress of supporting Federal 

resources, including medical, 

incident response, law 

enforcement, and incident 

communications with the public 

 Interagency effort continues to focus on 

Federal incident response, protective 

measures, and reassurance; messaging 

includes deterrent measures, preparedness, 

and disaster assistance 

 Daily briefing routine continues in 

coordination with all Federal, State, and local 

authorities 

 DHS Public Affairs continues close 

coordination with HSOC 

 JIC supports JFO; JIC performs standard 

functions and coordinates with PFO Public 

Affairs Director 

 ESF #15 resource coordination continues 

 Federal participating departments and 

agencies continue to release supporting 

updates in accordance with interagency plan 

 DHS Public Affairs coordinates nationally 

televised public service and health advisories 

 Subject-matter experts continue to be made 

available 

 Federal and other Web pages updated, 

coordinated, and linked 

 JIC distributes statistical information, 

graphics, video, and photos as appropriate 

 Potential VIP visits to incident 
December 2004 Public Affairs Support Annex PUB-15 

 National Response Plan 

TABLE 1. Interagency Incident Communications Planning Guide (Continued) 

INTERAGENCY INCIDENT COMMUNICATIONS PLANNING GUIDE 

INCIDENT OF NATIONAL SIGNIFICANCE – RECOVERY PHASE 

Incident Time Incident Activity Actions 

Recovery  Media coverage greatly diminished 

 Potential formal investigations 

 Emphasis on victims, cause of the 

incident, and effectiveness of 

response and recovery effort 

 Identification of personal stories 

and special situations 

 Impact of incident on the 

nonaffected States and society 

 Federal interagency effort focuses on plan 

recovery, and support and assistance to 

victims and affected populations 

 ESF #15 resource coordination continues 

 Preparedness measures and readiness to 

manage follow-on incidents 

 JIC continues to provide briefings with 

Federal, State, and local team to support 

recovery plan 

 JIC continues to document and release 

information on plan execution, recovery 

efforts, and disaster recovery assistance 

 Responders identified for recognition 
PUB-16 Public Affairs Support Annex December 2004 

 National Response Plan 

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December 2004 Science and Technology Support Annex SCI-1 

 National Response Plan 

Science and Technology Support Annex

Coordinating Agency: 

Department of Homeland Security/Science and 

Technology Directorate 

Cooperating Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of the Interior 

Department of Justice 

Department of State 

Environmental Protection Agency 

National Aeronautics and Space Administration 

Nuclear Regulatory Commission 

Introduction 

Purpose 

The Science and Technology Support Annex 

describes the national framework through which the 

Department of Homeland Security/Science and 

Technology Directorate (DHS/S&T) coordinates 

with other Federal agencies, in consultation with 

State, local, and tribal entities and the private sector, 

to leverage the Nation’s scientific and technical 

resources to prepare for, respond to, and recover 

from Incidents of National Significance. It ensures 

that policymakers and responders at all levels 

receive coordinated, consistent, accurate, and timely 

scientific and technical information, analysis, advice, 

and technology support. 

Scope 

This annex: 

 Describes how DHS coordinates with other 

Federal agencies and State, local, and tribal 

governments, the private sector, and academia, 

where applicable, on preparedness, response, 

and recovery activities in support of the National 

Response Plan (NRP). 

 Outlines roles and responsibilities for preincident and post-incident science and 

technology support. 

 Outlines a structure for coordination of scientific 

and technological support and response to 

Incidents of National Significance. 

 Outlines a process to provide scientific and 

technical recommendations to Federal 

Government decisionmakers to assist in 

determining appropriate protective measures in 

the context of potential or actual Incidents of 

National Significance. 

Policies 

The underlying principles for the role of the Federal 

Government in coordinating scientific and technical 

support are as follows:

 Planning employs the most effective means to 

deliver scientific and technical support, 

including the use of resources from the private 

sector and nongovernmental organizations, and 

resources owned or operated by Federal 

agencies. 

 Planning recognizes State policies and plans 

used to deliver and receive scientific and 

technical support, as well as State-established 

methods for determining support requirements. 
SCI-2 Science and Technology Support Annex December 2004 

 National Response Plan 

 Support is centrally managed and regionally 

delivered. DHS manages and coordinates 

requests for scientific and technical support at 

DHS Headquarters through the Homeland 

Security Operations Center (HSOC) and/or 

Interagency Incident Management Group 

(IIMG). 

 The primary resource for Federal prediction of 

atmospheric hazards dispersion is the 

Interagency Modeling and Atmospheric 

Assessment Center (IMAAC). 

Concept of Operations 

General: DHS/S&T is responsible for DHS 

scientific and technical support and coordinates with 

other appropriate departments and agencies in 

response to actual or potential Incidents of National 

Significance. 

Organization 

 DHS/S&T provides the core coordinating 

architecture of the Federal scientific and 

technical support capability. To accomplish its 

mission, DHS/S&T works with a variety of 

Federal Government, private sector, and 

nongovernmental organizations that are capable 

of providing expert scientific and technical 

information, analysis, and advice, and state-ofthe-art technology support. 

 The Federal response to an Incident of National 

Significance utilizes the combined resources 

(scientific expertise, research and development 

capabilities, etc.) of various NRP departments 

and agencies, tailored to the scenario at hand. 

DHS/S&T communicates emerging science and 

technology needs to appropriate Federal 

agencies through HSOC representatives, the 

IIMG, and the National Response Coordination 

Center (NRCC). Federal science and technology 

resource identification and standard operating 

procedures for accessing these resources are 

developed by an interagency working group led 

by DHS/S&T. 

 Using NRP protocols, mission assignments for 

scientific and technical needs are coordinated 

through ESF #5 – Emergency Management and 

passed on to the cooperating agencies for 

support. 

 Major science and technology components 

include: 

 Homeland Security Operations Center: 

The HSOC provides Federal scientific and 

technical support elements with relevant 

situational awareness and threat information 

reports. DHS/S&T provides an S&T 

Coordination Desk liaison and an on-call 

S&T Coordinator for the HSOC. The S&T 

Coordination Desk Officer serves as the 

principal staffer responsible for receiving, 

documenting, forwarding, and tracking 

scientific and technical support requests. 

While on-call scientific and technical 

support assets are mobilized, the S&T 

Coordination Desk Officer may also serve as 

an emergency resource for delivering direct 

scientific and technical support to the field. 

The S&T Coordination Desk Officer has 

access to extensive technical databases and 

reference materials on all topics related to 

chemical, biological, radiological, nuclear, 

and high-yield explosive (CBRNE) weapons 

of mass destruction (WMD). 

 Interagency Incident Management 

Group: DHS/S&T provides a senior S&T 

representative to the IIMG who provides 

direct operational scientific and technical 

support for DHS and coordinates with other 

agencies to ensure that the CBRNE subjectmatter expert augmentation needs of the 

IIMG are met. For some responses, preestablished subject-matter expert groups are 

part of ESF or Incident Annex planning 

efforts, and provide appropriate technical 

advice. 
December 2004 Science and Technology Support Annex SCI-3 

 National Response Plan 

 National Response Coordination Center: 

When the NRCC is activated for an Incident 

of National Significance, DHS/S&T assigns 

a representative to ESF #5 to coordinate and 

facilitate deployment and use of scientific 

and technical resources. 

 Headquarters S&T Coordination Team: 

The S&T Coordination Team is a 

multidisciplinary staff that provides 

coordination of Federal scientific and 

technical support programs and response 

activities. Operating from DHS 

Headquarters, the S&T Coordination Team 

is responsible for staffing and coordinating 

requests for Federal scientific and technical 

support. The S&T Coordination Team 

serves as the central source of information at 

the DHS Headquarters level regarding the 

status of ongoing and planned Federal 

scientific and technical support operations. 

The S&T Coordination Team also facilitates 

coordination between regions in the context 

of multiregion scientific and technical 

support operations. All team deployments 

are coordinated with the NRCC, the 

Regional Response Coordination Center 

(RRCC), and/or the Joint Field Office (JFO). 

 Scientific and Technical Advisory and 

Response Teams (STARTs): STARTs are 

composed of the experts in key specialty 

areas related to CBRNE WMD effects and 

countermeasures. The teams are primarily 

designed to provide rapid scientific and 

technical support through virtual links; 

however, they can be deployed to the field 

with short notice. Once activated, STARTs 

are coordinated and supported by DHS field 

components, the RRCC, and the JFO. The 

teams can provide expert scientific and 

technical information, analysis, and advice, 

and state-of-the-art technology support. 

STARTs function in an indirect response 

support capacity. They do not provide direct 

services, such as decontamination, medical 

and health care, or recovery. All activations 

and deployments are coordinated with the 

NRCC/RRCC and/or the JFO. 

 Interagency Modeling and Atmospheric 

Assessment Center: The IMAAC is 

responsible for the production, coordination, 

and dissemination of consequence 

predictions for an airborne hazardous 

material release. The IMAAC generates the 

single Federal prediction of atmospheric 

dispersions and their consequences utilizing 

the best available resources from the Federal 

Government. Guided by an interagency 

memorandum of agreement, several Federal 

agencies and departments support IMAAC 

planning and operations. 

Responsibilities 

Coordinating Agency: When the NRP is 

activated in response to a potential or actual Incident 

of National Significance, DHS, in coordination with 

other Federal departments and agencies, is 

responsible for: 

 Orchestrating the Federal scientific and technical 

support to affected States/regions; 

 Maintaining STARTs capable of providing 

short-notice subject-matter expert assessment 

and consultation services; 

 Coordinating the scientific and technical 

operational priorities and activities with other 

elements of DHS and Federal departments and 

agencies; 

 Providing DHS/S&T liaisons to other Federal, 

State, and/or local emergency operations centers, 

as requested; 

 In coordination with responsible agencies and 

when deemed appropriate, deploying emerging 

technologies and utilization of advanced 

research facilities; and 

 Executing contracts and procuring scientific and 

technical support services consistent with the 

Financial Management Support Annex of the 

NRP. 
SCI-4 Science and Technology Support Annex December 2004 

 National Response Plan 

Cooperating Agencies: Cooperating agencies 

provide representation to interagency working 

groups led by DHS/S&T that are used to identify 

Federal science and technology resources and the 

mechanisms to effectively access and coordinate 

those resources during NRP-related activities. S&T 

cooperating agencies provide a wide range of 

capabilities including research and development, 

laboratory analysis, and computer modeling. 
December 2004 Tribal Relations Support Annex TRB-1 

 National Response Plan 

Tribal Relations Support Annex

Coordinating Agency: 

Department of Homeland Security 

Cooperating Agencies: 

Department of Agriculture 

Department of Health and Human Services 

Department of the Interior 

All others 

Introduction

Purpose 

This annex describes the policies, responsibilities, 

and concept of operations for effective coordination 

and interaction of Federal incident management 

activities with those of tribal governments and 

communities during potential or actual Incidents of 

National Significance. The processes and functions 

described in this annex help facilitate the delivery of 

incident management programs, resources, and 

support to tribal governments and individuals. 

Scope 

This annex applies to all Federal departments and 

agencies working under the National Response Plan 

(NRP) in response to an Incident of National 

Significance that involves tribes recognized by the 

Federal Government. 

Since tribal government entities are fully integrated 

into the NRP, this annex addresses only those factors 

in the relationship between Federal departments and 

agencies and the federally recognized tribes that are 

unique or warrant special considerations. 

The guidance provided in this annex does not 

contravene existing laws governing Federal 

relationships with federally recognized tribes. 

Policies 

 The Department of Homeland Security (DHS), 

in cooperation with other Federal departments 

and agencies, coordinates tribal relations 

functions for actual and potential Incidents of 

National Significance. 

 State Governors must request a Presidential 

disaster declaration on behalf of a tribe under the 

Stafford Act; however, Federal departments and 

agencies can work directly with tribes within 

existing agency authorities and resources in the 

absence of such a declaration. 

 Federal departments and agencies comply with 

existing laws and Executive orders mandating 

that the Federal Government deal with Indian 

tribes on a government-to-government basis, 

reflecting the federally recognized tribes’ right 

of self-government as sovereign domestic 

dependent nations. A tribe may, however, opt to 

deal directly with State and local officials. 

 Federal departments and agencies involved in 

potential or actual Incidents of National 

Significance consult and collaborate with tribal 

governments on matters affecting the tribes and 

must be aware of the social, political, and 

cultural aspects of an incident area that might 

affect incident management operations. 

 Federal departments and agencies provide 

appropriate incident management officials with 

access to current databases containing 

information on tribal resources, demographics, 

and geospatial information. 
TRB-2 Tribal Relations Support Annex December 2004 

 National Response Plan 

Concept of Operations

General 

Federal departments and agencies conduct incident 

management operations involving federally 

recognized tribal governments in accordance with 

the NRP and the National Incident Management 

System. Tribal relations functions, resources, and 

liaison operations are coordinated through 

Emergency Support Function (ESF) #15 – External 

Affairs. 

Organization 

A Tribal Relations Element is established in the 

Joint Field Office (JFO) to provide the operational 

capability for collecting and sharing relevant 

incident information, alerting and deploying required 

tribal relations staff to or near the affected area, and 

ensuring compliance with Federal laws relating to 

tribal relations. 

For incidents that directly impact tribal jurisdictions, 

a tribal representative may be included in the JFO 

Coordination Group, as required. 

Actions 

 Through ESF #15, the DHS Office of State and 

Local Government Coordination and 

Preparedness (DHS/OSLGCP), in consultation 

with cooperating agencies, coordinates 

requirements for the Tribal Relations Element at 

the JFO during Incidents of National 

Significance. 

 The Tribal Relations Element at the JFO works 

directly with the designated representative of the 

affected tribal government. The designated 

tribal representative may be authorized by the 

tribal government to: 

 Be responsible for coordinating tribal 

resources to address the full spectrum of 

actions to prevent, prepare for, respond to, 

and recover from incidents involving all 

hazards and Incidents of National 

Significance including terrorism, natural 

disasters, accidents, and other contingencies; 

 Maintain extraordinary powers to suspend 

tribal laws and ordinances, such as to 

establish a curfew, direct evacuations, and 

order a quarantine; 

 Provide leadership and play a key role in 

communicating to the tribal nation, and in 

helping people, businesses, and 

organizations cope with the consequences of 

any type of domestic incident within the 

tribe’s jurisdiction; 

 Negotiate and enter into mutual aid 

agreements with other tribes/jurisdictions to 

facilitate resource-sharing; 

 Request State and Federal assistance 

through the Governor of the State when the 

tribe’s capabilities have been exceeded or 

exhausted; and 

 Elect to deal directly with the Federal 

Government. 

Responsibilities

Coordinating Agency: DHS 

 DHS, through OSLGCP, has primary 

responsibility for implementing consistent tribal 

relations policies and procedures during 

potential or actual Incidents of National 

Significance. 

 DHS is responsible for coordinating data-sharing 

by other agencies and departments that have 

responsibilities for collecting and maintaining 

data relevant to incident management for 

incidents that involve tribes. 
December 2004 Tribal Relations Support Annex TRB-3 

 National Response Plan 

 DHS is responsible for coordinating and 

designating staff for the Tribal Relations 

Element at the JFO. The Tribal Relations 

Element may include representatives from other 

departments and agencies, as appropriate and as 

jurisdictions dictate. 

Cooperating Agencies 

Department of Agriculture (USDA) 

USDA directly supports tribal nations by providing 

education, training, and support to enable the 

response to emergency incidents. USDA also 

provides expertise and support concerning food 

safety and security, plant and animal health, and 

other homeland security issues including border 

security. 

Department of Health and Human Services 

(HHS) Indian Health Service 

In consultation with tribal officials, the Indian 

Health Service provides comprehensive public 

health services and acute (emergency) care directly, 

through contract health services (nontribal 

contractor), or through self-determination health care 

contracts or compacts with American Indian and 

Alaska Native organizations. These comprehensive 

health services include all aspects of environmental 

health, as well as mental health and social services. 

HHS/Centers for Disease Control and Prevention 

(HHS/CDC) 

In consultation with tribal officials, HHS/CDC 

directly participates in the emergency response and 

provides expertise and epidemiological support in 

the event that an incident involves a biological 

agent. Working with tribal health officials and the 

Indian Health Service, HHS/CDC assesses health 

impacts and needs in support of tribal efforts. 

HHS/Food and Drug Administration (HHS/FDA) 

In consultation with tribal officials, HHS/FDA 

directly participates in any emergency response 

aimed at an act of terrorism that contaminates food 

or pharmaceutical industry products affecting tribal 

lands. 

Department of the Interior/Bureau of Indian 

Affairs (DOI/BIA) 

In consultation with tribal officials, DOI/BIA 

provides, either by itself, by contract with a tribe, or 

both, a broad variety of services in an emergency 

including basic law enforcement protection, fire 

protection, emergency social services assistance to 

affected individuals and families, and support for all 

Federal agencies responding to the incident. Also, 

DOI/BIA assesses impacts on trust lands, resources, 

and infrastructure and supports tribal efforts 

commensurate with trust responsibilities. DOI/BIA 

responsibilities include: 

 In support of ESF #15, providing liaison officers 

to ensure coordination with tribal governments 

on all aspects of incident management 

operations, and working closely with DHS to 

ensure tribal relations actions are carried out in 

accordance with established Federal 

Government policies and procedures; 

 In conjunction with the incident-affected tribes, 

assisting in providing an efficient and reliable 

flow of incident-related information between the 

tribes and the Federal Government; and 

 Supplying staff and resources as requested by 

DHS for the Tribal Relations Element of the 

JFO. 
TRB-4 Tribal Relations Support Annex December 2004 

 National Response Plan 

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December 2004 Volunteer and Donations Management Support Annex VOL-1 

 National Response Plan 

Volunteer and Donations Management Support Annex

Coordinating Agency: 

Department of Homeland Security/Emergency 

Preparedness and Response/Federal Emergency 

Management Agency 

Cooperating Agencies: 

Department of State 

Department of Transportation 

General Services Administration 

Corporation for National and Community Service 

National Voluntary Organizations Active in 

Disaster 

Introduction

Purpose 

The Volunteer and Donations Management Support 

Annex describes the coordinating processes used to 

ensure the most efficient and effective utilization of 

unaffiliated volunteers and unsolicited donated 

goods during Incidents of National Significance. 

Scope 

This annex provides guidance on the Federal role in 

volunteer and donations management. Any 

reference to volunteer services and donated goods in 

this annex refers to unsolicited goods and 

unaffiliated volunteer services. This guidance 

applies to all agencies with direct and indirect 

volunteer and/or donations responsibilities under the 

National Response Plan. 

Policies 

 State, local, and tribal governments, in 

coordination with Voluntary Organizations 

Active in Disaster (VOAD), have primary 

responsibility for the management of unaffiliated 

volunteer services and unsolicited donated 

goods. 

 The donation management process must be 

organized and coordinated to ensure that State, 

local, and tribal jurisdictions are able to take 

advantage of the appropriate types and amounts 

of donated goods and services in a manner that 

precludes interference with or hampering of 

incident management operations. 

 The Department of Homeland 

Security/Emergency Preparedness and 

Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA) coordinates with 

other Federal agencies to ensure unaffiliated 

volunteers and unsolicited donated goods are 

effectively used during an Incident of National 

Significance. 

 Federal and State governments look principally 

to those voluntary organizations with established 

volunteer and donations management structures 

to receive and ensure utilization of appropriate 

volunteers and donated goods. 

 The Federal Government encourages cash 

donations to recognized nonprofit voluntary 

organizations with relevant experience. 

 The Federal Government encourages individuals 

interested in volunteering personal services to 

participate through the local Citizen Corps 

Council and/or to affiliate with a recognized 

nonprofit voluntary organization. 

 All activities, functions, and services are 

provided in accordance with existing Federal 

statutes, rules, and regulations. 

 Full use of existing nongovernmental 

organizational volunteer and donations 

management resources is encouraged before 

seeking assistance of the Federal or State 

governments. 

 Donations of blood products are referred to in 

the ESF #8 – Public Health and Medical 

Services Annex. 
VOL-2 Volunteer and Donations Management Support Annex December 2004 

 National Response Plan 

Concept of Operations

Volunteer and donations management operations 

may include the following: a Volunteer and 

Donations Coordination Team led by the State 

Volunteer and Donations Coordinator, a phone bank 

functioning at the State and Federal levels, a 

coordinated media relations effort, effective liaison 

with other emergency support functions, and a 

facilities management plan to include a Volunteer 

Reception Center, donations warehouse, donations 

staging area, and Donations Coordination Center, as 

needed. 

Requests for support under this annex from Federal, 

State, local, and tribal authorities generally are 

coordinated through the Regional Response 

Coordination Center (RRCC). However, depending 

on the situation, coordination may occur at the 

National Response Coordination Center (NRCC). 

DHS/EPR/FEMA provides Volunteer and Donations 

Management staff to the NRCC, RRCC, and Joint 

Field Office, as required. 

Donated Goods Management Function 

 Management of unsolicited donated goods 

involves a cooperative effort by Federal, State, 

local, and tribal governments; voluntary and 

community-based organizations; the business 

sector; and the media. 

 DHS/EPR/FEMA supports the State Volunteer 

and Donations Coordinator and voluntary 

organizations. The affected State, local, and 

tribal governments, in conjunction with their 

voluntary organization partners, are responsible 

for developing donations management plans and 

managing the flow of donated goods during 

incident management operations. 

 Federal support may include: 

 Assistance in establishing a Donations 

Coordination Team, a Donations 

Coordination Center, and a donations 

staging area and warehouse; 

 Development of a Donated Goods Facility 

Management Plan; 

 Technical and managerial support; 

 A national network of information and 

contacts to assist donations specialists in the 

field; and 

 Communications support as necessary. 

Volunteer Management Function 

 Management of unaffiliated volunteers requires 

a cooperative effort by Federal, State, local, and 

tribal governments; voluntary and communitybased organizations, such as Citizen Corps 

Councils; faith-based organizations; the private 

sector; and the media. 

 DHS/EPR/FEMA supports the State Volunteer 

and Donations Coordinator and voluntary 

organizations. The affected State, local, and 

tribal governments, in partnership with 

voluntary organizations, are responsible for 

developing plans that address the management 

of unaffiliated volunteers during incident 

response and recovery. 

 Federal support may include: 

 Assistance in establishing a Volunteer 

Coordination Team and a Volunteer 

Reception Center; 

 Technical and managerial support; 

 A national network of information and 

contacts to assist volunteer management 

specialists working in the field; and 

 Communications support as necessary. 
December 2004 Volunteer and Donations Management Support Annex VOL-3 

 National Response Plan 

Responsibilities

Headquarters-Level Responsibilities: 

DHS 

 Designates a headquarters-level point of contact 

for the management of volunteers and donated 

goods. 

 Makes early contact with the key Volunteer and 

Donations Coordinators from national voluntary 

organizations and the affected region regarding 

the issue of unaffiliated volunteers and 

unsolicited donated goods. 

 Provides program guidance, and other assistance 

as appropriate, based on the affected region's 

request for assistance. 

 Provides support and assistance to the field, 

especially regarding international offers of 

assistance, large corporate offers, or other 

collection drives. 

 Expedites the entry of approved individuals into 

the United States, in coordination with the 

Department of State (DOS) and the NRCC 

donations specialist. 

 Provides training and technical assistance as 

required. 

 Refers offers of gifts to the appropriate Federal 

agency or department for review and processing. 

 DHS/Border and Transportation 

Security/Customs and Border Protection 

(DHS/BTS/CBP), in coordination with the 

NRCC Volunteer and Donations specialist and 

the Department of State/Office of Emergency 

Management (DOS-A/OPR/OEM), expedites 

the entry of approved donated items into the 

United States. 

Regional-Level Responsibilities: DHS 

 Designates a regional point of contact for 

volunteers and donated goods who coordinates 

with the RRCC. 

 Assists the State Volunteer and Donations 

Coordinator with: 

 Establishing a Volunteer and Donations 

Coordination Team; 

 Setting up a Volunteer and Donations 

Coordination Center, including a volunteer 

and donations hotline; 

 Ensuring the appropriate donations receiving 

and distribution facilities are established and 

operating effectively; 

 Coordinating with Joint Information Center 

(JIC) staff on public service announcements, 

press releases, and other media-related 

support; 

 Coordinating with the DHS Voluntary 

Agency Liaison, congressional affairs, 

community relations, logistics, the Defense 

Coordinating Officer, and other Federal 

agencies as necessary; and 

 Preparing input for situation reports, 

briefings, and VIP visits as necessary. 
VOL-4 Volunteer and Donations Management Support Annex December 2004 

 National Response Plan 

Cooperating Agencies 

Department of State The DOS-A/OPR/OEM serves as the conduit to all U.S. Embassies and 

Consulates worldwide, providing them with information on DHS, State, local, 

tribal, and voluntary organization policies and procedures on unaffiliated 

volunteers and unsolicited donated goods management. 

 As required, coordinates all actions and special issues with related agencies 

(e.g., U.S. Agency for International Developmenting (USAID)) concerning 

foreign offers of assistance and special requirements. 

 Informs the NRCC Volunteer and Donations specialist of offers being 

made by foreign governments and provides assistance as necessary. 

 Coordinates with the NRCC Volunteer and Donations specialist to ensure 

all foreign donors receive acknowledgment of the assistance they provide. 

Department of 

Transportation 

 Provides information on transportation routes as necessary. 

 Provides guidance and support on transportation rules, regulations, and 

requirements as needed. 

General Services 

Administration 

Provides equipment, supplies, and facilities as required. 

National Voluntary 

Organizations Active in 

Disaster 

 Assists in providing information on affiliated volunteer and solicited 

donations management operations of member agencies. 

 Assists in providing information on unaffiliated volunteer and unsolicited 

donations management involving national, State, and local VOAD 

collaboration. 

 Provides technical assistance, as needed, to member organizations and 

State and local VOADs regarding their unaffiliated volunteer and 

unsolicited donations management activities. 

Corporation for National and 

Community Services 

Provides trained volunteer and donations management personnel as needed. 
December 2004 Worker Safety and Health Support Annex WSH-1 

 National Response Plan 

Worker Safety and Health Support Annex

Coordinating Agency: 

Department of Labor/Occupational Safety and 

Health Administration 

Cooperating Agencies: 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Environmental Protection Agency 

Introduction

Purpose 

The Worker Safety and Health Support Annex 

provides guidelines for implementing worker safety 

and health support functions during potential or 

actual Incidents of National Significance. This 

annex describes the actions needed to ensure that 

threats to responder safety and health are anticipated, 

recognized, evaluated, and controlled consistently so 

that responders are properly protected during 

incident management operations. 

Scope 

 This annex addresses those functions critical to 

supporting and facilitating the protection of 

worker safety and health for all emergency 

responders and response organizations during 

potential and actual Incidents of National 

Significance. While this annex addresses 

coordination and provision of technical 

assistance for incident safety management 

activities, it does not address public health and 

safety. 

 Coordination mechanisms and processes used to 

provide technical assistance for carrying out 

incident safety management activities include 

identification and characterization of incident 

hazards, assessments and analyses of health risks 

and exposures to responders, medical 

monitoring, and incident risk management. 

Policies 

 Emergency Support Function (ESF) #5 – 

Emergency Management activates the 

Department of Labor/Occupational Safety and 

Health Administration (DOL/OSHA) as the 

coordinator for worker safety and health 

technical support. DOL/OSHA then implements 

the activities described in this annex. 

 DOL/OSHA assistance and coordination, as 

described in this annex, also may be requested 

during the course of an incident if specific needs 

are identified by other ESFs or individual 

agencies. 

 Private-sector and Federal employers are 

responsible for the safety and health of their own 

employees. 

 State and local governments are responsible for 

worker health and safety pursuant to State and 

local statutes, and in some cases 40 CFR 311, 

Worker Protection. This responsibility includes 

allocating sufficient resources for safety and 

health programs, training staff, purchasing 

protective clothing and equipment as needed, 

and correcting unsafe or unsanitary conditions. 

 This annex does not replace the primary 

responsibilities of the government and 

employers; rather, it ensures that in fulfilling 

these responsibilities, response organizations 

plan and prepare in a consistent manner and that 

interoperability is a primary consideration for 

worker safety and health. 

 Several Federal and State agencies, including 

DOL/OSHA and the Environmental Protection 

Agency (EPA), have oversight authority for 

responders and response operations. While 
WSH-2 Worker Safety and Health Support Annex December 2004 

 National Response Plan 

these agencies retain their authorities, they are 

expected to work cooperatively and proactively 

with Federal, State, local, and private-sector 

responders prior to and during response 

operations to ensure the adequate protection of 

all workers. 

 Worker safety and health representatives work 

with the Joint Information Center (JIC) 

regarding the release of general occupational 

safety and health information. 

Concept of Operations

General 

DOL/OSHA coordinates Federal safety and health 

assets to provide proactive consideration of all 

potential hazards; ensures availability and 

management of all safety resources needed by 

responders; shares responder safety-related 

information; and coordinates among Federal 

agencies, State, local, and tribal governments, and 

private-sector organizations involved in incident 

response. 

Organization 

Headquarters Level 

 DOL/OSHA coordinates the activities of the 

Federal agencies that provide the core 

architecture for worker safety and health 

technical support during an Incident of National 

Significance or when otherwise directed. 

 DOL/OSHA and cooperating agencies provide 

staff to support the Joint Field Office (JFO) 

Safety Coordinator/Incident Command Post 

(ICP) Safety Officer. DOL/OSHA and 

cooperating agencies also may serve as technical 

specialists in other JFO elements as required. 

Regional and Field Level 

Representatives from Federal, State, local, and tribal 

governments and the private sector involved in 

incident characterization, stabilization, and cleanup 

meet at least daily to identify and resolve conflicts, 

share information, and provide the JFO Safety 

Coordinator/ICP Safety Officer with the information 

necessary to manage responder safety and health 

risks. 

Pre-Incident Coordination 

Coordination Through Existing Organizations 

and Committees 

 DOL/OSHA supports and is a member of the 

National Response Team under the National Oil 

and Hazardous Substances Pollution 

Contingency Plan (NCP). 

 Pre-incident coordination also involves other 

existing interagency committees that focus 

attention on responder health and safety. 

NRP Worker Safety and Health Support 

Coordination Committee 

This standing committee provides the proactive 

integration of worker safety and health assets needed 

for preparedness at all levels of government. 

 DOL/OSHA coordinates this group through 

regular meetings and interagency exercises. 

 DOL/OSHA and the cooperating agencies report 

to the Emergency Support Function Leaders 

Group at least twice yearly on the status of 

worker safety and health asset readiness. 

Pre-Incident Planning Guidance Development 

and Distribution 

 DOL/OSHA works with organizations such as 

the National Institute of Environmental Health 

Sciences (NIEHS) Worker Education and 

Training Program (WETP) National 

Clearinghouse for Worker Safety and Health 

Training to consolidate responder safety- and 

health-related guidance documents, regulations, 

and resources in one location. This information 

is provided to other agencies, responders, and 
December 2004 Worker Safety and Health Support Annex WSH-3 

 National Response Plan 

response organizations, including State and local 

public health departments and emergency 

management agencies. 

 DOL/OSHA’s Hazardous Waste Operations and 

Emergency Response Standard (HAZWOPER) 

requires training for responders based on the 

anticipated roles they will play during response 

to a hazardous substance release (see 29 CFR 

1910.120(q)). 

 DOL/OSHA works with other organizations that 

develop and fund responder training to ensure 

their curricula are consistent in content and 

message for each level of responder (skilled 

support, operations level, etc.) and that they 

support the preparedness objectives listed in the 

National Incident Management System (NIMS). 

These organizations include the Department of 

Homeland Security/Office of State and Local 

Government Coordination and Preparedness 

(DHS/OSLGCP), the EPA (HAZWOPER/ 

Emergency Response Training Program), 

NIEHS, organizations that develop related 

consensus standards, and other State and local 

government programs. 

Proactive Coordination of Technical Assets and 

Reach-back Capabilities: DOL/OSHA and 

cooperating agencies develop and disseminate an 

inventory of expertise and resources available for 

response to Incidents of National Significance, and 

coordinate development of a strategy for their 

deployment. 

Prevention Guidance Development and 

Distribution: DOL/OSHA coordinates with 

cooperating agencies to develop and disseminate 

information on the likely hazards associated with 

potential incidents and the preventive actions that 

can be taken to reduce or eliminate illnesses and 

injuries that may result from hazardous exposure. 

Actions 

The worker safety and health assets of DOL/OSHA 

and cooperating agencies support the following 

actions at the headquarters, regional, and field levels 

by: 

 Providing occupational safety and health 

technical advice and support to the JFO Safety 

Officer and Coordination Group, to the ICP 

Safety Officer(s) involved in incident 

management, and, if appropriate, at all incident 

sites; 

 Undertaking site-specific occupational safety 

and health plan development and 

implementation, and ensuring that plans are 

coordinated and consistent among multiple sites, 

as appropriate; 

 Identifying and assessing health and safety 

hazards and characterizing the incident 

environment, to include continued monitoring of 

incident safety on a 24/7 basis; 

 Carrying out responder personal exposure 

monitoring, on a 24/7 basis, including taskspecific exposure monitoring for: 

 Chemical and biological contaminants; and 

 Physical stressors (e.g., noise, heat/cold, 

ionizing radiation); 

 Providing responder medical surveillance and 

medical monitoring and, in conjunction with 

HHS, evaluating the need for longer term 

epidemiological medical monitoring and 

surveillance of responders; 

 Assessing responder safety and health resource 

needs and identifying sources for those assets; 

 Developing, implementing, and monitoring an 

incident personal protective equipment (PPE) 

program, including the selection, use, and 

decontamination of PPE; implementation of a 

respiratory protection fit-test program; and 

distribution of PPE; 

 Collecting and managing data (exposure data, 

accident/injury documentation, etc.) to facilitate 

consistent data-formatting and data-sharing 

among response organizations; 

 Communicating with labor unions, contractors, 

and other organizations regarding responder 

safety and health issues; 
WSH-4 Worker Safety and Health Support Annex December 2004 

 National Response Plan 

 Coordinating and providing incident-specific 

responder training; 

 Providing psychological first aid during and 

after incident response and recovery activities; 

and 

 Identifying, in coordination with HHS, 

appropriate immunization and prophylaxis for 

responders and recovery workers. 

As the coordinator for the Worker Safety and Health 

Support Annex, DOL/OSHA facilitates resolution of 

any technical or other disputes among cooperating 

agencies regarding the actions described above. In 

the case of a dispute that cannot be resolved, 

DOL/OSHA summarizes the disputed areas for 

presentation to the JFO Safety Coordinator/ICP 

Safety Officer and, if necessary, the JFO 

Coordination Group for resolution. 

After Action 

DOL/OSHA facilitates a critique of operations to 

compile “lessons learned” related to responder safety 

and health issues. 

Responsibilities

Coordinating Agency: DOL/OSHA 

 DOL/OSHA, as annex coordinator and worker 

health and safety coordinator, assists the JFO 

Safety Coordinator/ICP Safety Officer by 

providing and coordinating technical support for 

responder safety and health. 

 DOL/OSHA resolves technical, procedural, and 

risk assessment conflicts, if necessary through 

formal recourse to the JFO Safety 

Coordinator/ICP Safety Officer or JFO 

Coordination Group, before they adversely 

affect the consistency and accuracy of the advice 

and information provided to responders, 

response organizations, and the JFO 

Coordination Group. 

 DOL/OSHA is responsible for carrying out the 

policies identified in this annex. 

 DOL/OSHA implements a system to capture and 

manage incident exposure data in a centralized 

location to enable data-sharing among agencies 

with a responder health and safety focus. 

Cooperating Agencies 

Agency Responsibilities 

Department of Defense/U.S. 

Army Corps of Engineers 

(DOD/USACE) 

 When USACE is mission assigned to provide ice, water, emergency power, 

debris removal, temporary housing, temporary roofing, or structural safety 

assessment, it deploys Safety and Occupational Health (SOH) professionals 

to the incident location to provide technical assistance to USACE assets. 

 USACE SOH professionals coordinate with DOL/OSHA and other annex 

cooperating agencies to ensure the implementation of coordinated, effective 

worker safety and health activities in support of the Incident Command 

System as established in the NIMS. 

 USACE provides emergency location SOH support through utilization of its 

worldwide SOH Functional Planning and Response Teams. 

Department of Energy 

(DOE) 

Functions pertaining to DOE are identified in ESF #12 – Energy and other 

applicable NRP annexes. 
December 2004 Worker Safety and Health Support Annex WSH-5 

 National Response Plan 

Agency Responsibilities 

National Institute for Occupational Safety and Health (NIOSH) 

HHS/NIOSH provides technical support and expertise in the characterization of 

complex, unknown, and multiple-contaminant worker exposures. 

HHS/NIOSH and DOL/OSHA collaborate in all areas and ensure that their 

collective safety and industrial hygiene assets are aligned to produce consistent, 

vetted advice to the incident command structure. 

Agency for Toxic Substances and Disease Registry (ATSDR) 

Under the Comprehensive Environmental Response, Compensation, and 

Liability Act (CERCLA), section 104(i) [42 U.S.C. 9604(i)], HHS/ATSDR is 

required to cooperate with HHS/NIOSH and DOL/OSHA to provide 

information and technical support on: the toxic effects of chemicals based on 

peer-reviewed studies; emergency medical management information specific to 

potential exposures; worker protective measures, including selection of 

appropriate respiratory protection and chemical protective clothing; action 

levels to upgrade the protective ensemble; and appropriate means of monitoring 

hazards during response actions as defined in CERCLA. 

Department of Health and 

Human Services 

National Institute of Environmental Health Sciences 

The Superfund Amendments and Reauthorization Act of 1986 (Title 42 U.S.C. 

section 9660a) established, under section 126(g), the WETP as an assistance 

program for the training and education of workers engaged in activities related 

to hazardous waste removal, containment, and emergency response. The 

program is managed by HHS/NIEHS and provides: 

 Training technical assistance such as instructional staff, curriculumdevelopment experts, subject-matter experts, and professional staff. 

 Safety training to worker target populations with respect to the nature and 

location of the incident and the particular hazards. 

 Assistance and support in the development and delivery of site-specific 

health and safety training through appropriately qualified WETP awardee 

instructional staff. 

 Assistance such as respirator fit-testing and distribution of PPE. 

U.S. Coast Guard (USCG) 

Functions performed by DHS/USCG are identified in ESF #10 – Oil and 

Hazardous Materials Response and other applicable annexes. 

Department of Homeland 

Security 

Emergency Preparedness and Response/Federal Emergency Management 

Agency (EPR/FEMA) 

Functions pertaining to DHS/EPR/FEMA are identified in ESF #5 – Emergency 

Management and other applicable annexes. 

Environmental Protection 

Agency 

Functions performed by EPA are identified in the ESF #10 – Oil and Hazardous 

Materials Response Annex, the Nuclear/Radiological Incident Annex, other 

applicable NRP annexes, and the NCP. 
WSH-6 Worker Safety and Health Support Annex December 2004 

 National Response Plan 

Agency Responsibilities 

Other Responding 

Organizations 

Other Federal, State, local, and tribal government agencies, as well as privatesector organizations with responders at the incident location, provide technical 

support and expertise in accordance with their agency’s mission and 

responsibilities, in coordination with DOL/OSHA and annex cooperating 

agencies. 

Organizations lacking safety and occupational health technical expertise are 

expected to provide liaisons to the JFO Coordination Group safety staff, attend 

appropriate safety briefings, identify issues regarding potential hazards, and 

communicate those issues to their responder personnel and to the JFO Safety 

Coordinator/ICP Safety Officer. 

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Incident Annexes Page

Introduction..............................................................................................................................INC-i 

Biological Incident..................................................................................................................BIO-1 

Catastrophic Incident .............................................................................................................CAT-1 

Cyber Incident........................................................................................................................CYB-1 

Food and Agriculture Incident .............................................................................................. AGR-1 

Nuclear/Radiological Incident .............................................................................................. NUC-1 

Oil and Hazardous Materials Incident ................................................................................. OHM-1 

Terrorism Incident Law Enforcement and Investigation ....................................................... TER-1 
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December 2004 Incident Annexes Introduction INC-i 

 National Response Plan 

INCIDENT ANNEXES: INTRODUCTION 

Purpose 

This section provides an overview of the annexes applicable to situations requiring specialized, incident-specific 

implementation of the National Response Plan (NRP). 

Background 

The Incident Annexes address contingency or hazard situations requiring specialized application of the NRP. The 

annexes in the sections that follow address the following situations: 

 Biological Incident 

 Catastrophic Incident 

 Cyber Incident 

 Food and Agriculture Incident (to be published in a subsequent version of this plan) 

 Nuclear/Radiological Incident 

 Oil and Hazardous Materials Incident 

 Terrorism Incident Law Enforcement and Investigation 

Incident Annexes are organized alphabetically. Policies and procedures in the Catastrophic Incident Annex are 

overarching and applicable for all hazards. Similarly, the mechanisms in the Terrorism Incident Law 

Enforcement and Investigation Annex apply when terrorism is associated with any incident. 

INCIDENT ANNEX CONTENTS 

The annexes describe the policies, situation, concept of operations, and responsibilities pertinent to the type of 

incident in question. 

Policies: Each annex explains unique authorities pertinent to that incident, the special actions or declarations that 

may result, and any special policies that may apply. 

Situation: Each annex describes the incident situation as well as the planning assumptions, and outlines the 

approach that will be used if key assumptions do not hold (for example, how authorities will operate if they lose 

communication with senior decisionmakers). 

Concept of Operations: Each annex describes the concept of operations appropriate to the incident, integration 

of operations with NRP elements, unique aspects of the organizational approach, notification and activation 

processes, and specialized incident-related actions. 

Each annex also details the coordination structures and positions of authority that are unique to the type of 

incident, the specialized response teams or unique resources needed, and other special considerations. 

Responsibilities: Each Incident Annex identifies the coordinating and cooperating agencies involved in an 

incident-specific response; in some cases this responsibility is held jointly by two or more departments. 
INC-ii Incident Annexes Introduction December 2004 

 National Response Plan 

INCIDENT ANNEX CONTENTS (Continued) 

The overarching nature of functions described in these annexes frequently involves either the support to, or the 

cooperation of, all departments and agencies involved in incident management efforts. In some cases, actions 

detailed in the annex also incorporate various components of the Department of Homeland Security (DHS) and 

other departments and agencies to ensure seamless integration of and transitions between preparedness, 

prevention, response, recovery, and mitigation activities. 

The responsibilities of the coordinating agency and cooperating agencies are identified below. 

Coordinating Agency 

Coordinating agencies described in the NRP annexes support the DHS incident management mission by providing 

the leadership, expertise, and authorities to implement critical and specific aspects of the response. In accordance 

with Homeland Security Presidential Directive-5, DHS retains responsibility for overall domestic incident 

management. Federal agencies designated as coordinating agencies, in close coordination with DHS, are 

responsible for implementation of processes detailed in the annexes that follow. Some of the Incident Annexes, 

such as Cyber, Nuclear/Radiological, and Oil and Hazardous Materials, list multiple coordinating agencies. In 

these annexes, the responsibilities of the coordinating agency may be shared or delegated based on the nature or 

the location of the incident. 

The coordinating agency is responsible for: 

 Orchestrating a coordinated delivery of those functions and procedures identified in the annex; 

 Providing staff for operations functions at fixed and field facilities; 

 Notifying and subtasking cooperating agencies; 

 Managing tasks with cooperating agencies, as well as appropriate State agencies; 

 Working with appropriate private-sector organizations to maximize use of available resources; 

 Supporting and keeping ESFs and other organizational elements informed of annex activities; 

 Planning for short-term and long-term support to incident management and recovery operations; and 

 Maintaining trained personnel to provide appropriate support. 
December 2004 Incident Annexes Introduction INC-iii 

 National Response Plan 

INCIDENT ANNEX CONTENTS (Continued) 

Cooperating Agencies 

The coordinating agency will notify cooperating agencies when their assistance is needed. Cooperating agencies 

are responsible for: 

 Conducting operations, when requested by DHS or the coordinating agency, using their own authorities, 

subject-matter experts, capabilities, or resources; 

 Participating in planning for incident management and recovery operations and development of supporting 

operational plans, standard operating procedures, checklists, or other tools; 

 Furnishing available personnel, equipment, or other resource support as requested by DHS or the Incident 

Annex coordinator; 

 Participating in training and exercises aimed at continuous improvement of prevention, response, and 

recovery capabilities; and 

 Nominating new technologies or procedures to improve performance. 

When requested, and upon approval of the Secretary of Defense, the Department of Defense (DOD) provides 

Defense Support of Civil Authorities (DSCA) during domestic incidents. Accordingly, DOD is considered a 

cooperating agency to the majority of Incident Annexes. For additional information on DSCA, refer to the NRP 

Base Plan. 
INC-iv Incident Annexes Introduction December 2004 

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December 2004 Biological Incident Annex BIO-1 

 National Response Plan 

Biological Incident Annex

Coordinating Agency: 

Department of Health and Human Services 

Cooperating Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of State 

Department of Transportation 

Department of Veterans Affairs 

Environmental Protection Agency 

General Services Administration 

U.S. Agency for International Development 

U.S. Postal Service 

American Red Cross 

Introduction

Purpose 

The purpose of the Biological Incident Annex is to 

outline the actions, roles, and responsibilities 

associated with response to a disease outbreak of 

known or unknown origin requiring Federal 

assistance. Actions described in this annex take 

place with or without a Presidential Stafford Act 

declaration or a public health emergency declaration 

by the Secretary of Health and Human Services 

(HHS). This annex applies only to potential or 

actual Incidents of National Significance. This 

annex outlines biological incident response actions 

including threat assessment notification procedures, 

laboratory testing, joint investigative/response 

procedures, and activities related to recovery. 

Scope 

The broad objectives of the Federal Government’s 

response to a biological terrorism event, pandemic 

influenza, emerging infectious disease, or novel 

pathogen outbreak are to: 

 Detect the event through disease surveillance 

and environmental monitoring; 

 Identify and protect the population(s) at risk; 

 Determine the source of the outbreak; 

 Quickly frame the public health and law 

enforcement implications; 

 Control and contain any possible epidemic 

(including providing guidance to State and local 

public health authorities); 

 Augment and surge public health and medical 

services; 

 Track and defeat any potential resurgence or 

additional outbreaks; and 

 Assess the extent of residual biological 

contamination and decontaminate as necessary. 
BIO-2 Biological Incident Annex December 2004 

 National Response Plan 

The unique attributes of this response require 

separate planning considerations that are tailored to 

specific health concerns and effects of the disease 

(e.g., terrorism versus natural outbreaks; 

communicable versus noncommunicable, etc.). 

Specific operational guidelines, developed by 

respective organizations to address the unique 

aspects of a particular disease or planning 

consideration, will supplement this annex and are 

intended as guidance to assist Federal, State, local, 

and tribal public health and medical planners. 

Special Considerations 

Detection of a bioterrorism act against the civilian 

population may occur in several different ways and 

involve several different modalities: 

 An attack may be surreptitious, in which case 

the first evidence of dissemination of an agent 

may be the presentation of disease in humans or 

animals. This could manifest either in clinical 

case reports to domestic or international public 

health authorities or in unusual patterns of 

symptoms or encounters within domestic or 

international health surveillance systems. 

 A terrorist-induced infectious disease outbreak 

initially may be indistinguishable from a 

naturally occurring outbreak; moreover, 

depending upon the particular agent and 

associated symptoms, several days could pass 

before public health and medical authorities 

even suspect that terrorism may be the cause. In 

such a case, criminal intent may not be apparent 

until some time after illnesses are recognized. 

 Environmental surveillance systems, such as the 

BioWatch system, may detect the presence of a 

biological agent in the environment and trigger 

directed environmental sampling and intensified 

clinical surveillance to rule out or confirm an 

incident. If a case is confirmed, then these 

systems may allow for mobilization of a public 

health, medical, and law enforcement response 

in advance of the appearance of the first clinical 

cases or quick response after the first clinical 

cases are identified. 

 The U.S. Postal Service may detect certain 

biological agents within the U.S. postal system. 

Detection of a biological agent in the mail 

stream triggers specific response protocols 

outlined in agency-specific standard operating 

procedures. 

Policies 

 This annex supports policies and procedures 

outlined in the ESF #8 – Public Health and 

Medical Services Annex, the ESF #10 – Oil and 

Hazardous Materials Response Annex, and the 

Terrorism Incident Law Enforcement and 

Investigation Annex. 

 HHS serves as the Federal Government’s 

primary agency for the public health and 

medical preparation and planning for and 

response to a biological terrorism attack or 

naturally occurring outbreak that results from 

either a known or novel pathogen, including an 

emerging infectious disease. 

 State, local, and tribal governments are primarily 

responsible for detecting and responding to 

disease outbreaks and implementing measures to 

minimize the health, social, and economic 

consequences of such an outbreak. 

 If any agency becomes aware of an overt threat 

involving biological agents or indications that 

instances of disease may not be the result of 

natural causes, the Department of Justice must 

be notified through the Federal Bureau of 

Investigation (FBI)’s Weapons of Mass 

Destruction Operations Unit (WMDOU). The 

FBI, in turn, immediately notifies the 

Department of Homeland Security (DHS) 

Homeland Security Operations Center (HSOC) 

and the National Counterterrorism Center 

(NCTC). The Laboratory Response Network 

(LRN) is used to test samples for the presence of 

biological threat agents. Decisions on where to 

perform additional tests on samples are made by 

the FBI, in coordination with HHS. (See the 

Terrorism Incident Law Enforcement and 

Investigation Annex for additional information 

on the FBI’s roles and responsibilities.) 
December 2004 Biological Incident Annex BIO-3 

 National Response Plan 

 Once notified of a credible threat or natural 

disease outbreak, HHS convenes a meeting of 

ESF #8 partners to assess the situation and 

determine appropriate public health and medical 

actions. DHS coordinates overall nonmedical 

support and response actions across all Federal 

departments and agencies. HHS coordinates 

overall public health and medical emergency 

response efforts across all Federal departments 

and agencies. 

 Consistent with ESF #8, DHS closely 

coordinates the National Disaster Medical 

System (NDMS) medical response with HHS. 

The FBI coordinates the investigation of 

criminal activities if such activities are 

suspected. 

 HHS provides guidance to State and local 

authorities and collaborates closely with the FBI 

in the proper handling of any materials that may 

have evidentiary implications (e.g., LRN 

samples, etc.) associated with disease outbreaks 

suspected of being terrorist or criminal in nature. 

 Other Federal departments and agencies may be 

called upon to support HHS during the various 

stages of a disease outbreak response in the 

preparation, planning, and/or response 

processes. 

 If there is potential for environmental 

contamination, HHS collaborates with the 

Environmental Protection Agency (EPA) in 

developing sampling strategies and sharing 

results. 

 Given the dynamic nature of a disease outbreak, 

HHS, in collaboration with other departments 

and agencies, determines the thresholds for a 

comprehensive Federal Government public 

health and medical response. These thresholds 

are based on specific event information rather 

than predetermined risk levels. 

 Any Federal public announcement, statement, or 

press release related to a threat or actual 

bioterrorism event must be coordinated with the 

DHS Public Affairs Office. 

Planning Assumptions

 In a large disease outbreak, Federal, State, local, 

and tribal officials require a highly coordinated 

response to public health and medical 

emergencies. The outbreak also may affect 

other countries and therefore involve extensive 

coordination with the Department of State 

(DOS). 

 Disease transmission can occur via an 

environmental contact such as atmospheric 

dispersion, person-to-person contact, animal-toperson contact, insect vector-to-person contact, 

or by way of contaminated food or water. 

 A biological incident may be distributed across 

multiple jurisdictions simultaneously, requiring 

a nontraditional incident management approach. 

This approach could require the simultaneous 

management of multiple “incident sites” from 

national and regional headquarters locations in 

coordination with multiple State and local 

jurisdictions. 

 A response to noncontagious public health 

emergencies may require different planning 

assumptions or factors. 

 The introduction of biological agents, both 

natural and deliberate, are often first detected 

through clinical or hospital presentation. 

However, there are other methods of detection, 

including environmental surveillance 

technologies such as BioWatch and syndromic 

surveillance. 

 No single entity possesses the authority, 

expertise, and resources to act unilaterally on the 

many complex issues that may arise in response 

to a disease outbreak and loss of containment 

affecting a multijurisdictional area. The national 

response requires close coordination between 

numerous agencies at all levels of government 

and with the private sector. 
BIO-4 Biological Incident Annex December 2004 

 National Response Plan 

 The Federal Government supports affected 

State, local, and tribal health jurisdictions as 

requested or required. The response by HHS 

and other Federal agencies is flexible and adapts 

as necessary as the outbreak evolves. 

 The LRN provides for rapid public health 

assessment of the potential for human illness 

associated with exposure and the scope of this 

kind of risk. The LRN also addresses the need 

for law enforcement notification necessary to 

initiate threat assessment for criminal intent, and 

chain of custody procedures. Early HHS, FBI, 

and DHS coordination enhances the likelihood 

of successful preventative and investigative 

activities necessary to neutralize threats and 

attribute the source of the outbreak. 

 Response to disease outbreaks suspected of 

being deliberate in origin requires consideration 

of special law enforcement and homeland 

security requirements. 

 Test results from non-LRN facilities are 

considered a “first pass” or “screening” test 

(with the exception of the Legislative Branch, 

which has a separate lab system that is 

equivalent to LRN facilities). 

 Any agency or organization that identifies an 

unusual or suspicious test result should contact 

the FBI to ensure coordination of appropriate 

testing at an HHS-certified LRN laboratory. 

 HHS has identified specific Department of 

Defense laboratories that meet the standards and 

requirements for LRN membership. 

 All threat and public health assessments are 

provided to the HSOC. 

Concept of Operations

Biological Agent Response 

The key elements of an effective biological response 

include (in nonsequential order): 

 Rapid detection of the outbreak; 

 Swift agent identification and confirmation; 

 Identification of the population at risk; 

 Determination of how the agent is transmitted, 

including an assessment of the efficiency of 

transmission; 

 Determination of susceptibility of the pathogen 

to treatment; 

 Definition of the public health, medical, and 

mental health implications; 

 Control and containment of the epidemic; 

 Decontamination of individuals, if necessary; 

 Identification of the law enforcement 

implications/assessment of the threat; 

 Augmentation and surging of local health and 

medical resources; 

 Protection of the population through appropriate 

public health and medical actions; 

 Dissemination of information to enlist public 

support; 

 Assessment of environmental contamination and 

cleanup/decontamination of bioagents that 

persist in the environment; and 

 Tracking and preventing secondary or additional 

disease outbreak. 

Primary Federal functions include supporting State, 

local, and tribal public health and medical capacities 

according to the policies and procedures detailed in 

the NRP Base Plan and the ESF #8 Annex. 

Suspicious Substances 

Since there is no definitive/reliable field test for 

biological agents, all potential bioterrorism samples 

are transported to an LRN laboratory, where expert 

analysis is conducted using established HHS/Centers 
December 2004 Biological Incident Annex BIO-5 

 National Response Plan 

for Disease Control and Prevention (CDC) 

protocols/reagents. A major component of this 

process is to establish and maintain the law 

enforcement chain of custody and arrange for 

transport. 

The following actions occur if a positive result is 

obtained by an LRN on an environmental sample 

submitted by the FBI or other designated law 

enforcement personnel: 

 The LRN immediately notifies the local FBI of 

the positive test result; 

 The FBI Field Office makes local notifications 

and contacts the FBI Headquarters WMDOU; 

 FBI Headquarters convenes an initial conference 

call with the local FBI and HHS to review the 

results, assess the preliminary information and 

test results, and arrange for additional testing; 

 FBI Headquarters immediately notifies DHS of 

the situation; 

 Original samples may be sent to HHS/CDC for 

confirmation of LRN analyses; 

 HHS provides guidance on protective measures 

such as prophylactic treatment and continued 

facility operation; and 

 HHS and cooperating agencies support the 

determination of the contaminated area, 

decisions on whether to shelter in place or 

evacuate, and decontamination of people, 

facilities, and outdoor areas. 

Outbreak Detection 

Determination of a Disease Outbreak 

The initial indication of a major disease outbreak, 

intentional or naturally occurring, may be the 

recognition by public health and medical authorities 

that a significantly increased number of people are 

becoming ill and presenting to local healthcare 

providers. Therefore, the most critical 

decisionmaking support requires surveillance 

information, identification of the causative 

biological agent, a determination of whether the 

observations are related to a naturally occurring 

outbreak, and the identification of the population(s) 

at risk. 

Laboratory Confirmation 

During the evaluation of a suspected disease 

outbreak, laboratory samples are distributed to 

appropriate laboratories. During a suspected 

terrorist incident, sample information is provided to 

the FBI for investigative use and to public health and 

emergency response authorities for epidemiological 

use and agent characterization to facilitate and 

ensure timely public health and medical 

interventions. If the incident begins as an epidemic 

of unknown origin detected through Federal, State, 

local, or tribal health surveillance systems or 

networks, laboratory analysis is initiated through the 

routine public health laboratory network. 

Identification (Analysis and Confirmation) 

The samples collected and the analyses conducted 

must be sufficient to characterize the cause of the 

outbreak. LRN laboratories fulfill the Federal 

responsibility for rapid analysis of biological agents. 

In a suspected terrorism incident, sample collection 

activities and testing are coordinated with FBI and 

LRN member(s). 

Notification 

Any disease outbreak suspected or identified by an 

agency within HHS or through another Federal 

public health partner is brought to the immediate 

attention of the HHS Assistant Secretary for Public 

Health Emergency Preparedness as detailed in the 

ESF #8 Annex or internal HHS policy documents, in 

addition to the notification requirements contained in 

the NRP Base Plan. 

Following these initial notifications, the procedures 

detailed in the ESF #8 Annex are followed. 

Instances of disease that raise the “index of 

suspicion” of terrorist or criminal involvement, as 

determined by HHS, are reported to FBI 

Headquarters. In these instances, FBI Headquarters, 

in conjunction with HHS, examines available law 

enforcement and intelligence information, as well as 

the technical characteristics and epidemiology of the 

disease, to determine if there is a possibility of 

criminal intent. If the FBI, in conjunction with 

HHS, determines that the information represents a 
BIO-6 Biological Incident Annex December 2004 

 National Response Plan 

potential credible terrorist threat, the FBI 

communicates the situation immediately to the 

HSOC, which notifies the White House, as 

appropriate. If warranted, the FBI, HHS, and State, 

local, and tribal health officials conduct a joint law 

enforcement and epidemiological investigation to 

determine the cause of the disease outbreak, the 

extent of the threat to public health and public 

safety, and the individual(s) responsible. 

Activation 

Once notified of a threat or disease outbreak that 

requires or potentially requires significant Federal 

public health and/or medical assistance, HHS 

convenes a meeting of the ESF #8 organizations and 

HHS Operating Divisions (e.g., CDC, the Food and 

Drug Administration, etc.) to assess the situation and 

determine the appropriate public health and medical 

actions. DHS coordinates all nonmedical support, 

discussions, and response actions. 

The immediate task following any notification is to 

identify the population affected and at risk and the 

geographic scope of the incident. The initial public 

health and medical response includes some or all of 

the following actions: 

 Targeted epidemiological investigation (e.g., 

contact tracing); 

 Intensified surveillance within healthcare 

settings for patients with certain clinical signs 

and symptoms; 

 Intensified collection and review of potentially 

related information (e.g., contacts with nurse call 

lines, laboratory test orders, school absences, 

and over-the-counter pharmacy sales); and 

 Organization of Federal public health and 

medical response assets (in conjunction with 

State, local, and tribal officials) to include 

personnel, medical supplies, and materiel (e.g., 

the Strategic National Stockpile (SNS)). 

Actions 

Controlling the Epidemic 

The following steps are required to contain and 

control an epidemic affecting large populations: 

 HHS assists State, local, and tribal public health 

and medical authorities with epidemic 

surveillance and coordination. 

 HHS assesses the need for increased 

surveillance in States or localities not initially 

involved in the outbreak and notifies the 

appropriate State and local public health 

officials with surveillance recommendations 

should increased surveillance in these localities 

be needed. 

 DHS coordinates with HHS and State, local, and 

tribal officials on the messages released to the 

public to ensure that communications are 

consistent and accurate. Messages should 

address anxieties, alleviate any unwarranted 

concerns or distress, and enlist cooperation with 

necessary control measures. Public health and 

medical messages to the public should be 

communicated by a recognized health authority 

(e.g., the Surgeon General). (See the Public 

Affairs Support Annex.) 

 If the outbreak first arises within the United 

States, HHS, in coordination with DOS, 

immediately notifies and coordinates with 

appropriate international health agencies such as 

the World Health Organization (WHO) and Pan 

American Health Organization as necessary. 

Given the nature of many disease outbreaks, this 

notification and coordination may have occurred 

earlier in the process according to internal 

operating procedures. HHS advises the HSOC 

when notifications are made to international 

health agencies. 

 The public health system, starting at the local 

level, is required to initiate appropriate 

protective and responsive measures for the 

affected population, including first responders 

and other workers engaged in incident-related 

activities. These measures include mass 

vaccination or prophylaxis for populations at 

risk and populations not already exposed, but 
December 2004 Biological Incident Annex BIO-7 

 National Response Plan 

who are at risk of exposure from secondary 

transmission or the environment. An 

overarching goal is to develop, as early as 

possible in the management of a biological 

incident, a dynamic, prioritized list of treatment 

recommendations based on epidemiologic risk 

assessment and the biology of the disease/ 

microorganism in question, linked to the 

deployment of the SNS and communicated to 

the general public. 

 HHS evaluates the incident with its partner 

organizations and makes recommendations to 

the appropriate public health and medical 

authorities regarding the need for quarantine, 

shelter-in-place, or isolation to prevent the 

spread of disease. HHS coordinates closely with 

DHS regarding recommendations for medical 

needs that are met by NDMS and the U.S. Public 

Health Service Commissioned Corps. 

 The Governor of an affected State implements 

isolation and/or social-distancing requirements 

using State/local legal authorities. In order to 

prevent the interstate spread of disease, HHS 

may take appropriate Federal actions using the 

authorities granted by U.S.C. title 42, 42 CFR 

parts 70 and 71, and 21 CFR 1240. State, local, 

and tribal assistance with the implementation 

and enforcement of isolation and/or quarantine 

actions is utilized if Federal authorities are 

invoked. 

 Where the source of the epidemic has been 

identified as originating outside the United 

States, whether the result of terrorism or a 

natural outbreak, HHS works in a coordinated 

effort with DHS/Border and Transportation 

Security/Customs and Border Protection 

(DHS/BTS/CBP) to identify and isolate persons, 

cargo, mail, or conveyances entering the United 

States that may be contaminated. HHS provides 

information and training, as appropriate, to 

DHS/BTS/CBP personnel on identifying the 

biological hazard and employing “first 

responder” isolation protocols. 

 The scope of the outbreak may require mass 

isolation or quarantine of affected or potentially 

affected persons. Depending on the type of 

event, food, animals, and other agricultural 

products may need to be quarantined to prevent 

further spread of disease. In this instance HHS 

and, as appropriate, the Department of 

Agriculture work with State, local, and tribal 

health and legal authorities to recommend the 

most feasible, effective, and legally enforceable 

methods of isolation and quarantine. 

Decontamination 

For certain types of biological incidents (e.g., 

anthrax), it may be necessary to assess the extent of 

contamination and decontaminate victims, 

responders, animals, equipment, buildings, critical 

infrastructure (e.g., subways, water utilities), and 

large outdoor areas. Such decontamination and 

related activities take place consistent with the roles 

and responsibilities, resources and capabilities, and 

procedures contained in the ESF #8 and ESF #10 

Annexes, the Terrorism Incident Law Enforcement 

and Investigation Annex, and the Catastrophic 

Incident Annex. (Note: Currently no 

decontamination chemicals are registered (under the 

Federal Insecticide, Fungicide, and Rodenticide Act) 

for use on biological agents, and responders must 

request an emergency exemption from the EPA 

before chemicals can be used for biological 

decontamination.) 

Special Issues 

International Notification 

A biological incident may involve internationally 

prescribed reportable diseases. In addition to case 

reporting, epidemics of disease with global public 

health significance must also be reported to 

international public health authorities. 

Once a positive determination is made of an 

epidemic involving a contagious biological agent, 

HHS notifies DOS and DHS. HHS, in coordination 

with DOS, notifies the WHO and other international 

health agencies as appropriate. 

Allocation and Rationing 

If critical resources for protecting human life are 

insufficient to meet all domestic needs, the Secretary 

of HHS makes recommendations to the Secretary of 

Homeland Security regarding the allocation of 

scarce Federal public health and medical resources. 
BIO-8 Biological Incident Annex December 2004 

 National Response Plan 

Responsibilities

The procedures in this annex are built on the core 

coordinating structures of the NRP. The specific 

responsibilities of each department and agency are 

described in the respective ESFs and Incident 

Annexes. 
December 2004 Catastrophic Incident Annex CAT-1 

 National Response Plan 

Catastrophic Incident Annex

Coordinating Agency: 

Department of Homeland Security 

Cooperating Agencies: 

All Federal departments and agencies (and other 

organizations) with assigned primary or 

supporting Emergency Support Function 

(ESF) responsibilities 

Introduction 

Purpose 

 The Catastrophic Incident Annex to the National 

Response Plan (NRP-CIA) establishes the 

context and overarching strategy for 

implementing and coordinating an accelerated, 

proactive national response to a catastrophic 

incident. 

 A more detailed and operationally specific NRP 

Catastrophic Incident Supplement (NRP-CIS) 

that is designated “For Official Use Only” will 

be approved and published independently of the 

NRP Base Plan and annexes. 

Scope 

 A catastrophic incident, as defined by the NRP, 

is any natural or manmade incident, including 

terrorism, that results in extraordinary levels of 

mass casualties, damage, or disruption severely 

affecting the population, infrastructure, 

environment, economy, national morale, and/or 

government functions. A catastrophic incident 

could result in sustained national impacts over a 

prolonged period of time; almost immediately 

exceeds resources normally available to State, 

local, tribal, and private-sector authorities in the 

impacted area; and significantly interrupts 

governmental operations and emergency 

services to such an extent that national security 

could be threatened. All catastrophic incidents 

are Incidents of National Significance. These 

factors drive the urgency for coordinated 

national planning to ensure accelerated 

Federal/national assistance. 

 Recognizing that Federal and/or national 

resources are required to augment overwhelmed 

State, local, and tribal response efforts, the NRPCIA establishes protocols to preidentify and 

rapidly deploy key essential resources (e.g., 

medical teams, urban search and rescue teams, 

transportable shelters, medical and equipment 

caches, etc.) that are expected to be urgently 

needed/required to save lives and contain 

incidents. 

 Accordingly, upon designation by the Secretary 

of Homeland Security of a catastrophic incident, 

Federal resources—organized into incidentspecific “packages”—deploy in accordance with 

the NRP-CIS and in coordination with the 

affected State and incident command structure. 

Policies 

 The NRP-CIA strategy is consistent with NRP 

and National Incident Management System 

protocols and Incident Command System 

conventions. 

 Only the Secretary of Homeland Security or 

designee may initiate implementation of the 

NRP-CIA. 

 All deploying Federal resources remain under 

the control of their respective Federal 

department or agency during mobilization and 

deployment. 
CAT-2 Catastrophic Incident Annex December 2004 

 National Response Plan 

 Federal resources arriving at a Federal 

mobilization center or staging area remain there 

until requested by State/local incident command 

authorities, when they are integrated into the 

incident response effort. 

 Federal assets unilaterally deployed in 

accordance with the NRP-CIS do not require a 

State cost-share. However, in accordance with 

the Stafford Act, State requests for use of 

deployed Federal assets may require costsharing. 

 Unless it can be credibly established that a 

mobilizing Federal resource identified in the 

NRP-CIS is not needed at the catastrophic 

incident venue, that resource deploys. 

 The occurrence or threat of multiple catastrophic 

incidents may significantly reduce the size, 

speed, and depth of the Federal response. If 

deemed necessary or prudent, the Federal 

Government may reduce the availability or 

allocation of finite resources when multiple 

venues are competing for the same resources, or 

hold certain resources in reserve in case of 

additional incidents. 

Situation 

Incident Condition: Normal procedures for certain 

ESFs may be expedited or streamlined to address the 

magnitude of urgent requirements of the incident. 

All ESFs must explore economies of scale to 

maximize utilization and efficiency of scarce 

resources. In the case of catastrophic incident, it is 

expected that the Federal Government or other 

national entities provide expedited assistance in one 

or more of the following areas: 

 Mass Care, Housing, and Human Services 

(ESF #6): The ability to provide temporary 

shelter, food, emergency first aid, clothing, and 

other essential life support to people may be 

complicated by contaminated resources or 

facilities. 

 Urban Search and Rescue (ESF #9): 

Resources and personnel to perform operational 

activities (e.g., locating, extricating, and 

providing onsite medical treatment to victims 

trapped in collapsed structures) are limited. If 

search and rescue operations are required in 

areas of contamination, the limited availability 

of properly equipped resources supports or 

underscores the need for prompt Federal 

response. 

 Decontamination (ESFs #8 and #10): 

Incidents involving a weapon of mass 

destruction (WMD) may require 

decontamination of casualties, evacuees, 

animals, equipment, buildings, critical 

infrastructure, and other areas. Given the 

potentially large numbers of casualties and 

evacuees, resulting decontamination 

requirements may quickly outstrip local and 

State capabilities. 

 Public Health and Medical Support (ESF #8): 

There is a significant need for public health and 

medical support, including mental health 

services. Medical support is required not only at 

medical facilities, but at casualty evacuation 

points, evacuee and refugee points and shelters, 

and at other locations to support field operations. 

In addition, any contamination requirement 

increases the requirement for technical 

assistance. 

 Medical Equipment and Supplies (ESF #8): 

Shortages of available supplies of preventive 

and therapeutic pharmaceuticals and qualified 

medical personnel to administer available 

prophylaxis are likely. Timely distribution of 

prophylaxis may forestall additional illnesses, 

and reduce the impact of disease among those 

already exposed. 

 Casualty and Fatality Management and 

Transportation (ESF #8): Federal resources 

may be required to manage the transportation 

and storage of deceased, injured, and exposed 

victims if their numbers are extremely high. In 

addition, the immense numbers of casualties are 

likely to overwhelm the bed capacities of local 

and State medical facilities. 

 Public Information (ESF #15): When State 

and local public communications channels are 

overwhelmed during a catastrophic incident, the 

Federal Government must immediately provide 
December 2004 Catastrophic Incident Annex CAT-3 

 National Response Plan 

resources to assist in delivering clear and 

coherent public information guidance and 

consistent messages to the affected areas. 

Planning Assumptions 

 A catastrophic incident results in large numbers 

of casualties and/or displaced persons, possibly 

in the tens of thousands. 

 The Secretary of Homeland Security designates 

the event an Incident of National Significance 

and directs implementation of the NRP-CIA. 

 A catastrophic mass casualty/mass evacuation 

incident triggers a Presidential disaster 

declaration, immediately or otherwise. 

 The nature and scope of the catastrophic incident 

may include chemical, biological, radiological, 

nuclear or high-yield explosive attacks, disease 

epidemics, and major natural or manmade 

hazards. 

 Multiple incidents may occur simultaneously or 

sequentially in contiguous and/or noncontiguous 

areas. Some incidents, such as a biological 

WMD attack, may be dispersed over a large 

geographic area, and lack a defined incident site. 

 A catastrophic incident may occur with little or 

no warning. Some incidents, such as rapid 

disease outbreaks, may be well underway before 

detection. 

 The incident may cause significant disruption of 

the area’s critical infrastructure, such as energy, 

transportation, telecommunications, and public 

health and medical systems. 

 The response capabilities and resources of the 

local jurisdiction (to include mutual aid from 

surrounding jurisdictions and response support 

from the State) may be insufficient and quickly 

overwhelmed. Local emergency personnel who 

normally respond to incidents may be among 

those affected and unable to perform their 

duties. 

 A detailed and credible common operating 

picture may not be achievable for 24 to 48 hours 

(or longer) after the incident. As a result, 

response activities must begin without the 

benefit of a detailed or complete situation and 

critical needs assessment. 

 Federal support must be provided in a timely 

manner to save lives, prevent human suffering, 

and mitigate severe damage. This may require 

mobilizing and deploying assets before they are 

requested via normal NRP protocols. 

 Large-scale evacuations, organized or selfdirected, may occur. More people initially are 

likely to flee and seek shelter for attacks 

involving chemical, biological, radiological, or 

nuclear agents than for natural events. The 

health-related implications of an incident 

aggravate attempts to implement a coordinated 

evacuation management strategy. 

 Large numbers of people may be left 

temporarily or permanently homeless and may 

require prolonged temporary housing. 

 A catastrophic incident may produce 

environmental impacts (e.g., persistent chemical, 

biological, or radiological contamination) that 

severely challenge the ability and capacity of 

governments and communities to achieve a 

timely recovery. 

 A catastrophic incident has unique 

dimensions/characteristics requiring that 

response plans/strategies be flexible enough to 

effectively address emerging needs and 

requirements. 

 A catastrophic incident may have significant 

international dimensions. These include 

potential impacts on the health and welfare of 

border community populations, cross-border 

trade, transit, law enforcement coordination, and 

other areas. 

 If the incident is the result of terrorism, the 

Homeland Security Advisory System (HSAS) 

level likely may be raised regionally, and 

perhaps nationally. Elevation of the HSAS level 

carries additional local, State, and Federal 

security enhancements that may affect the 

availability of certain response resources. 
CAT-4 Catastrophic Incident Annex December 2004 

 National Response Plan 

Concept of Operations

Local and State Response: Local and State 

response operations and responsibilities are covered 

in the NRP and the NRP-CIS. This annex addresses 

the proactive Federal response to be taken in 

anticipation of or following a catastrophic incident 

to rapidly provide critical resources to assist and 

augment State, local, and tribal response efforts. 

Federal Response 

 In accordance with NRP provisions for proactive 

Federal response to catastrophic incidents, the 

NRP-CIA employs an expedited approach to the 

provision of Federal resources to save lives and 

contain the incident. 

 Guiding principles for a proactive Federal 

catastrophic incident response include the 

following: 

 The primary mission is to save lives, protect 

property and critical infrastructure, contain 

the event, and protect the national security; 

 Standard procedures outlined in the NRP 

regarding requests for assistance may be 

expedited or, under extreme circumstances, 

temporarily suspended in the immediate 

aftermath of an incident of catastrophic 

magnitude, pursuant to existing law; 

 Preidentified Federal response resources are 

mobilized and deployed, and, if required, 

begin emergency operations to commence 

life-safety activities; and 

 Notification and full coordination with 

States occur, but the coordination process 

should not delay or impede the rapid 

mobilization and deployment of critical 

Federal resources. 

 Upon recognition that a catastrophic incident 

condition (e.g., involving mass casualties and/or 

mass evacuation) exists, the Secretary of 

Homeland Security immediately designates the 

event an Incident of National Significance and 

begins, potentially in advance of a formal 

Presidential disaster declaration, implementation 

of the NRP-CIA. Upon notification from the 

Homeland Security Operations Center (HSOC) 

that the NRP-CIA has been implemented, 

Federal departments and agencies: 

 Take immediate actions to activate, 

mobilize, and deploy incident-specific 

resources in accordance with the NRP-CIS; 

 Take immediate actions to protect life, 

property, and critical infrastructure under 

their jurisdiction, and provide assistance 

within the affected area; 

 Immediately commence those hazardspecific activities established under the 

appropriate and applicable NRP Incident 

Annex(es), including the NRP-CIA; and 

 Immediately commence functional activities 

and responsibilities established under the 

NRP ESF Annexes. 

 NRP-CIA actions that the Federal Government 

takes in response to a catastrophic incident 

include: 

 All Federal departments and agencies and 

the American Red Cross initiate actions to 

mobilize and deploy resources as planned 

for in the NRP-CIS; 

 All Federal departments, agencies, and 

organizations (e.g., the American Red 

Cross) assigned primary or supporting ESF 

responsibilities immediately begin 

implementation of those responsibilities, as 

appropriate or when directed by the 

President; 

 Incident-specific resources and capabilities 

(e.g., medical teams, search and rescue 

teams, equipment, transportable shelters, 

preventive and therapeutic pharmaceutical 

caches, etc.) are activated and prepare for 

deployment to a Federal mobilization center 

or staging area near the incident site. The 

development of site-specific catastrophic 

incident response strategies (as detailed in 
December 2004 Catastrophic Incident Annex CAT-5 

 National Response Plan 

the NRP-CIS) that include the 

preidentification of incident-specific critical 

resource requirements and corresponding 

deployment/employment strategies 

accelerate the timely provision of critically 

skilled resources and capabilities; 

 Regional Federal facilities (e.g., hospitals) 

are activated and prepared to receive and 

treat casualties from the incident area. 

Federal facilities are directed to reprioritize 

services (in some cases reducing or 

postponing certain customary services) until 

life-saving activities are concluded. The 

development of site-specific catastrophic 

incident response plans that include the 

preidentification of projected casualty and 

mass care support requirements and 

potentially available facilities expands the 

response architecture and accelerates the 

availability of such resources; 

 Supplementary support agreements with the 

private sector are activated; and 

 Given the projected high demand for Federal 

augmentation support, as well as the 

potential national security implications of a 

catastrophic incident, Federal departments 

and agencies may be asked to redirect 

efforts from their day-to-day responsibilities 

to support the response effort. 

Responsibilities

This section summarizes Federal department and 

agency responsibilities under the NRP-CIA. For a 

complete listing of Federal department and agency 

responsibilities under the NRP-CIA, refer to the 

NRP-CIS, which is designated For Official Use 

Only and maintained as a separate document. For 

additional Federal department and agency 

responsibilities, refer to the individual ESF Annexes 

and hazard-specific Incident Annexes in the NRP. 

Coordinating Agency: Department of 

Homeland Security (DHS) 

 Establish that a catastrophic incident has 

occurred and implement the NRP-CIA. 

 Notify all Federal departments and agencies to 

implement the NRP-CIA and the NRP-CIS. 

 Upon implementation of the NRP-CIA: 

 Activate and deploy (or prepare to deploy) 

DHS-managed teams, equipment caches, 

and other resources in accordance with the 

NRP-CIS; 

 Identify, prepare, and operationalize 

facilities critical to supporting the movement 

and reception of deploying Federal 

resources; 

 Activate national-level facilities and 

capabilities in accordance with the NRP-CIS 

and standard NRP protocols; 

 Establish and maintain communications with 

incident command authorities to ensure a 

common and current operating picture 

regarding critical resource requirements. As 

specific resource requirements are 

identified, advise the Department of 

Transportation to reprioritize and adjust 

accordingly the schedule of execution for 

resource flow in the NRP-CIS; and 

 Make every attempt to establish contact with 

the impacted State(s) to coordinate the 

employment of Federal resources in support 

of the State. 

Cooperating Agencies 

 When notified by the HSOC that the Secretary 

of Homeland Security has implemented the 

NRP-CIA, Federal departments and agencies 

(and the American Red Cross): 

 Activate and deploy (or prepare to deploy) 

agency- or ESF-managed teams, equipment 

caches, and other resources in accordance 

with the NRP-CIS; 
CAT-6 Catastrophic Incident Annex December 2004 

 National Response Plan 

 Commence ESF responsibilities as 

appropriate; 

 Commence assessments of the probable 

consequences of the incident and projected 

resource requirements; and 

 Commence development of shorter and 

longer term response and recovery 

strategies. 

 The NRP-CIS provides a list of the specific 

actions that are initiated upon activation of the 

NRP-CIA. The following Federal departments 

and agencies and other organizations are 

assigned specific responsibilities as cooperating 

agencies: 

 Department of Agriculture 

 Department of Defense 

 Department of Energy 

 Department of Health and Human Services 

 Department of Homeland Security 

 Department of Transportation 

 Department of Veterans Affairs 

 Environmental Protection Agency 

 American Red Cross 

 Departments and agencies assigned primary 

responsibility for one or more functional 

response areas under the NRP-CIS appendixes 

are identified below. 

 Mass Care: American Red Cross 

 Search and Rescue: Department of 

Homeland Security 

 Decontamination: Department of 

Homeland Security, Environmental 

Protection Agency, and Department of 

Health and Human Services 

 Public Health and Medical Support:

Department of Health and Human Services 

 Medical Equipment and Supplies: 

Department of Health and Human Services 

 Patient Movement: Department of Health 

and Human Services and Department of 

Defense 

 Mass Fatality: Department of Health and 

Human Services 

 Housing: Department of Homeland 

Security 

 Public and Incident Communications: 

Department of Homeland Security 

 Transportation: Department of 

Transportation 

 Private-Sector Support: Department of 

Homeland Security 

 Logistics: Department of Homeland 

Security 
December 2004 Cyber Incident Annex CYB-1 

 National Response Plan 

Cyber Incident Annex

Coordinating Agencies: 

Department of Defense 

Department of Homeland Security/Information 

Analysis and Infrastructure 

Protection/National Cyber Security Division 

Department of Justice 

Cooperating Agencies: 

Department of Commerce 

Department of Energy 

Department of Homeland Security 

Department of State 

Department of Transportation 

Department of the Treasury 

Intelligence Community 

National Institute of Standards and Technology 

Office of Management and Budget 

Introduction

Purpose 

This annex discusses policies, organization, actions, 

and responsibilities for a coordinated, 

multidisciplinary, broad-based approach to prepare 

for, respond to, and recover from cyber-related 

Incidents of National Significance impacting critical 

national processes and the national economy. 

Scope 

This annex describes the framework for Federal 

cyber incident response coordination among Federal 

departments and agencies and, upon request, State, 

local, tribal, and private-sector entities. The Cyber 

Incident Annex is built primarily upon the National 

Cyberspace Security Response System (NCSRS), 

described in the National Strategy to Secure 

Cyberspace. The NCSRS is a public-private 

architecture that provides mechanisms for rapid 

identification, information exchange, response, and 

remediation to mitigate the damage caused by 

malicious cyberspace activity. 

This framework may be utilized in any Incident of 

National Significance with cyber-related issues, 

including significant cyber threats and disruptions; 

crippling cyber attacks against the Internet or critical 

infrastructure information systems; technological 

emergencies; or Presidentially declared disasters. 

This annex describes the specialized application of 

the National Response Plan (NRP) to cyber-related 

Incidents of National Significance. Cyber-related 

Incidents of National Significance may result in 

activation of both ESF #2 – Communications and 

the Cyber Incident Annex. 

When processes in both annexes are activated, the 

Department of Homeland Security/Information 

Analysis and Infrastructure Protection/National 

Cyber Security Division (DHS/IAIP/NCSD) 

continues its responsibilities under this annex and 

also fulfills its responsibilities as described in ESF 

#2. 

Policies 

 The procedures discussed in this annex are 

governed by Federal Government cyber security 

principles. 

 This annex complements the National Plan for 

Telecommunications Support in Non-Wartime 

Emergencies, hereafter referred to as the 

National Telecommunications Support Plan 

(NTSP). 

 This annex is implemented within the 

framework and operating principles of the NRP 

and pursuant to the following authorities: 

 The Enhancement of Non-Federal Cyber 

Security, The Homeland Security Act 

(Section 223 of P.L. 107-276) 
CYB-2 Cyber Incident Annex December 2004 

 National Response Plan 

 Homeland Security Presidential Directive-5 

(HSPD-5) 

 Homeland Security Presidential Directive-7 

(HSPD-7) 

 Federal Information Security Management 

Act (FISMA) 

 Executive Order 12472: The Assignment of 

National Security Emergency Preparedness 

Responsibilities for Telecommunications 

 Section 706, Communications Act of 1934, 

as amended (47 U.S.C. 606) 

 The Defense Production Act of 1950, as 

amended 

 National Security Act of 1947, as amended 

 National Security Directive 42: National 

Policy for the Security of National Security 

Telecommunications and Information 

Systems 

 Executive Order 12333: United States 

Intelligence Activities, as amended 

 National Strategy to Secure Cyberspace 

Concept of Operations

General 

A cyber-related Incident of National Significance 

may take many forms: an organized cyber attack, an 

uncontrolled exploit such as a virus or worm, a 

natural disaster with significant cyber consequences, 

or other incidents capable of causing extensive 

damage to critical infrastructure or key assets. 

Large-scale cyber incidents may overwhelm 

government and private-sector resources by 

disrupting the Internet and/or taxing critical 

infrastructure information systems. Complications 

from disruptions of this magnitude may threaten 

lives, property, the economy, and national security. 

Rapid identification, information exchange, 

investigation, and coordinated response and 

remediation often can mitigate the damage caused 

by this type of malicious cyberspace activity. 

The Federal Government plays a significant role in 

managing intergovernmental (Federal, State, local, 

and tribal) and, where appropriate, public-private 

coordination in response to cyber Incidents of 

National Significance. Federal Government 

responsibilities include: 

 Providing indications and warning of potential 

threats, incidents, and attacks; 

 Information-sharing both inside and outside the 

government, including best practices, 

investigative information, coordination of 

incident response, and incident mitigation; 

 Analyzing cyber vulnerabilities, exploits, and 

attack methodologies; 

 Providing technical assistance; 

 Conducting investigations, forensics analysis, 

and prosecution; 

 Attributing the source of cyber attacks; 

 Defending against the attack; and 

 Leading national-level recovery efforts. 

These activities are the product of, and require, a 

concerted effort by Federal, State, local, and tribal 

governments, and nongovernmental entities such as 

private industry and academia. 

Organization 

Interagency Incident Management Group 

(IIMG): Upon notification of a potential or actual 

incident, the Secretary of Homeland Security may 

activate the IIMG. The IIMG is tailored with 

required DHS components and Federal departments 

for a cyber incident. The National Cyber Response 

Coordination Group (NCRCG) provides subjectmatter expertise related to the cyber threat, analysis, 

and recommendations to the IIMG.
December 2004 Cyber Incident Annex CYB-3 

 National Response Plan 

National Cyber Response Coordination Group: 

The NCRCG is comprised of senior representatives 

from Federal agencies that have roles and 

responsibilities related to preventing, investigating, 

defending against, responding to, mitigating, and 

assisting in the recovery from cyber incidents and 

attacks. In the event of a cyber-related Incident of 

National Significance requiring Federal response 

and interagency coordination, the NCRCG is 

convened to harmonize operational efforts and 

facilitate information-sharing. 

The NCRCG is an interagency forum where 

organizations responsible for a range of activities 

(technical response and recovery, law enforcement, 

intelligence, and defensive measures) coordinate for 

the purposes of preparing for and executing an 

efficient and effective response to an incident. 

The NCRCG performs the following functions: 

 Provides input to member agency and 

department heads and the IIMG on cyber 

security issues, incidents, and threats; 

 Assists in reviewing threat assessments and 

providing strategic situational awareness and 

decision support across the national cyber 

incident management spectrum, including 

prevention, preparedness, response, and 

recovery; 

 Synthesizes information, frames policy issues, 

and recommends actions―including use or 

allocation of Federal resources―for agency and 

department heads, the IIMG, and other 

appropriate officials; and 

 As appropriate, supports the Executive Office of 

the President. 

During actual or potential Incidents of National 

Significance, the NCRCG coordinates with the 

Homeland Security Operations Center (HSOC) in 

disseminating critical information to and from 

government and nongovernment sources such as 

information-sharing mechanisms, academia, 

industry, and the public. The NCRCG leverages 

existing resources of DHS/IAIP/NCSD/U.S. 

Computer Emergency Readiness Team (US-CERT) 

in this coordination and outreach activity. 

 U.S. Computer Emergency Readiness Team: 

The US-CERT, in coordination with the Office 

of Management and Budget (OMB), coordinates 

warnings among Federal departments and 

agencies. The US-CERT maintains a 24/7 

operations center with connectivity to all major 

Federal cyber operations centers and privatesector Internet service providers, informationsharing mechanisms, and vendors. The USCERT, in concert with the HSOC, acts as a focal 

point to collect and disseminate, to the 

appropriate audiences, information received 

from public and private sector sources. Also, 

DHS/IAIP/NCSD/US-CERT provides technical 

and operational support to the IIMG, and 

interacts with private and public sectors on a 

continuous basis throughout the extent of the 

incident. 

 Intelligence Community – Incident Response 

Center (IC-IRC): The Intelligence Community 

operates the IC-IRC, a 24/7 operation that 

facilitates the sharing of cyber event information 

among members of the Intelligence Community 

in order to protect the Intelligence Community’s 

ability to collect, analyze, and disseminate 

intelligence via its networks. The IC-IRC is 

responsible for coordinating with other incident 

response organizations including US-CERT and 

the HSOC, enabling such organizations to 

leverage the Intelligence Community’s analytic 

capabilities for providing advanced indications 

of potential threats. 

 Department of Defense (DOD): DOD operates 

a network of Computer Emergency Response 

Teams which are staffed 24/7. These teams are 

coordinated by the Joint Task Force–Global 

Network Operations (JTF-GNO) to identify, 

mitigate, and, if necessary, respond to cyber 

attacks. U.S. Strategic Command 

(USSTRATCOM) and JTF-GNO also provide 

continuous intelligence analysis of cyber threats. 

Finally, the Law Enforcement/Counter 

Intelligence Center, located at the JTF-GNO, 

brings together DOD’s law enforcement and 

counterintelligence organizations in response to 

cyber incidents. 
CYB-4 Cyber Incident Annex December 2004 

 National Response Plan 

Actions 

Pre-Incident 

Federal departments and agencies maintain 

computer incident response capabilities that can 

rapidly respond to cyber incidents on their networks, 

including events of prolonged duration. Law 

enforcement, the Intelligence Community, and DOD 

also maintain mechanisms that improve the Nation’s 

readiness to address cyber incidents. The 

Department of Justice (DOJ) has a network of 

prosecutors trained in handling cybercrime. The 

Federal Bureau of Investigation (FBI) and the U.S. 

Secret Service (DHS/USSS) have agents that 

specialize in high-tech investigations. Law 

enforcement’s international cybercrime network 

enables investigators rapidly to obtain electronic 

data and evidence from foreign countries. 

Notification and Activation Procedures 

Procedures in this annex are implemented when it is 

determined that a cyber-related Incident of National 

Significance is imminent or underway. The 

NCRCG is convened and immediately notifies the 

DHS/IAIP/NCS. Notification is made through 

established communications channels that exist 

between the Federal Government, nongovernmental 

entities, and the public. Such channels of 

communication include: 

 National Cyber Alert System: This system 

provides an infrastructure, managed by USCERT, for relaying timely and actionable 

computer security update and warning 

information to all users. 

 Homeland Security Information Network 

(HSIN) Joint Regional Information Exchange 

System: This communications network 

provides States and major urban areas real-time 

interactive connectivity with the HSOC through 

a secure system carrying information on a 

Sensitive-but-Unclassified (SBU) level to all 

users. 

 Homeland Security Operations Center: This 

is the primary national-level hub for domestic 

incident management communications and 

operations. 

 Cyber Warning Information Network: This 

network provides out-of-band (i.e., not 

dependent on Internet or PSTN) connectivity to 

government and industry participants. The 

network is engineered to provide a reliable and 

survivable network capability. 

 HSIN/US-CERT Portal: This is a secure 

collaboration tool for private and public sectors 

to actively converse about cyber security 

vulnerabilities, exploits, and incidents in a 

trusted environment among and between 

members. 

 US-CERT Public Web Site: This Web site 

provides the primary means for US-CERT to 

convey information to the public at large. The 

site includes relevant and current information on 

cyber security issues, current cyber activity, and 

vulnerability resources. 

Initial Actions 

DHS/IAIP/NCSD, other elements of DHS, the 

Intelligence Community, FBI, DOD, and other 

Government agencies work closely together in the 

NCRCG and individually to coordinate response 

during a cyber incident or attack, identify those 

responsible, and otherwise respond appropriately. 

When a cyber Incident of National Significance 

occurs, DHS/IAIP/NCSD, through the NCRCG, 

coordinates with the National Communications 

System (NCS) and supports the Joint 

Telecommunications Resources Board (JTRB). 

The US-CERT Operations Center tracks potential 

cyber incidents and, when warranted, reports them to 

the NCRCG. The NCRCG notifies the HSOC of 

cyber-related incidents. The NCRCG, in 

coordination with the IIMG, makes 

recommendations to the Secretary of Homeland 

Security, who is responsible for designating 

Incidents of National Significance. The activities 

described in this annex are implemented when a 

cyber-related Incident of National Significance is 

imminent or underway. 
December 2004 Cyber Incident Annex CYB-5 

 National Response Plan 

Ongoing Actions 

DHS coordinates technical and other assistance with 

and/or to other Federal agencies and, upon request, 

to the State, local, and tribal governments and the 

private sector for response to major failures of 

critical information systems. Requests for Federal 

assistance are handled as described in section V of 

the NRP. 

Challenges and Considerations 

The response to and recovery from a cyber Incident 

of National Significance must take into account 

existing challenges to the effective management of 

significant cyber incidents and the resulting physical 

effects of such cyber incidents and of cyber 

consequences of physical incidents. Such 

consideration allows resources to be appropriately 

channeled into resolving identified challenges. 

Identifiable challenges include: 

 Management of Multiple Cyber Events: The 

occurrence or threat of multiple cyber incidents 

may significantly hamper the ability of 

responders to adequately manage the cyber 

incident. Strategic planning and exercises 

should be conducted to assist in addressing this 

problem. 

 Availability and Security of Communications: 

A debilitating infrastructure attack could impede 

communications needed for coordinating 

response and recovery efforts. A secure, reliable 

communications system is needed to enable 

public and private-sector entities to coordinate 

efforts in the event that routine communications 

channels are inoperable. 

 Availability of Expertise and Surge Capacity: 

Federal agencies must ensure that sufficient 

technical expertise is developed and maintained 

within the Government to address the wide 

range of ongoing cyber attacks and 

investigations. In addition, the ability to surge 

technical and analytical capabilities in response 

to cyber incidents that may occur over a 

prolonged period must be planned for, exercised, 

and maintained. 

 Coordination With the Private Sector: 

Cyberspace is largely owned and operated by the 

private sector; therefore, the authority of the 

Federal Government to exert control over 

activities in cyberspace is limited. 
CYB-6 Cyber Incident Annex December 2004 

 National Response Plan 

Responsibilities 

Coordinating Agencies 

Apart from the NCRCG, certain Federal departments and agencies have core roles and responsibilities related to 

securing cyberspace and coordinating incident response. 

Department of Defense DOD entities responsible for computer security and computer network defense 

may exercise those duties in support of the national response effort in four 

primary roles: 1) Defense Support of Civil Authorities; 2) intelligence and 

information-sharing; 3) law enforcement investigations; and 4) military 

operations to defend the homeland. 

DOD capabilities include Intelligence components (the National Security 

Agency, the Defense Intelligence Agency, the National Geospatial-Intelligence 

Agency, the National Reconnaissance Organization, and military intelligence 

components), Defense criminal investigative organizations (law enforcement and 

counterintelligence), Network Operation Security Centers, and Computer 

Emergency Response Teams. These entities, in cooperation with other Federal 

entities, as appropriate, provide attack sensing and warning capabilities, gather 

and analyze information to characterize the attack and to gain attribution of the 

cyber threat, participate in information-sharing, offer mitigation techniques, 

perform network intrusion diagnosis and provide technical expertise. DOD 

capabilities also include military operational units, which defend the DOD global 

information grid. DOD can take action to deter or defend against cyber attacks 

which pose an imminent threat to national security, as authorized by applicable 

law and policy. 

Department of Homeland 

Security/Infrastructure 

Analysis and Infrastructure 

Protection/National Cyber 

Security Division 

DHS/IAIP/NCSD is a focal point for the security of cyberspace for purposes of 

analysis, warning, information-sharing, vulnerability reduction, mitigation, and 

aiding national recovery efforts for critical infrastructure information systems. It 

facilitates interactions and collaborations (with the exception of investigation and 

prosecution of cybercrime, military operations to defend the homeland, or other 

activities identified below) between and among the Federal departments and 

agencies; State, local, and tribal governments; the private sector; and 

international organizations. Other Federal departments and agencies with cyber 

expertise collaborate with and support DHS in accomplishing its mission. 

DHS/IAIP/NCSD is responsible for preparation for and response to cyber threats, 

vulnerabilities, and incidents and works closely with the DHS/IAIP/NCS and 

DHS/USSS in its prevention and protection role. DHS/IAIP/NCSD supports 

DOJ and other Federal law enforcement agencies in their mission to investigate 

and prosecute threats to and attacks against cyberspace. DHS/IAIP/NCSD also 

reports to the Secretary of Homeland Security and the Executive Office of the 

President, as appropriate, regarding coordination and response related to cyber 

incidents. DHS/IAIP/NCSD coordinates with the Department of State (DOS) on 

the notification and resolution of incidents with foreign governments. DHS and 

DOS coordinate with the interagency community to work with foreign countries 

and international organizations to strengthen the protection of U.S. critical 

information infrastructures and those foreign critical information infrastructures 

on which the United States relies. 
December 2004 Cyber Incident Annex CYB-7 

 National Response Plan 

Department of 

Justice/Federal Bureau of 

Investigation 

DOJ and the FBI, working with other law enforcement agencies, lead the 

national effort to investigate and prosecute cybercrime. The Attorney General 

has lead responsibility for criminal investigations of terrorist acts or terrorist 

threats by individuals or groups inside the United States, or directed at U.S. 

citizens or institutions abroad, where such acts are within the Federal criminal 

jurisdiction of the United States. DOJ, in cooperation with other Federal 

departments and agencies engaged in activities to protect national security, also 

coordinates the activities of the other members of the law enforcement 

community to detect, prevent, preempt, and disrupt terrorist attacks against the 

United States. 

DOJ, working with other law enforcement agencies and the intelligence 

community, uses its authorities to attribute the source of a cyber attack. Among 

other things, DOJ works with the private sector in regard to the prevention, 

investigation, and prosecution of cybercrime. DOJ coordinates with DHS to 

provide domestic investigative information relevant to DHS analysis of the 

vulnerability of the cyber infrastructure to terrorist attack or to DHS analysis of 

terrorist threats against the cyber infrastructure. 

Cooperating Agencies 

Department of Homeland 

Security/U.S. Secret Service 

DHS/USSS works with the FBI and other law enforcement agencies in helping to 

lead the national effort to investigate and prosecute cybercrime. DHS/USSS 

coordinates with DOJ to assist in providing domestic investigative information 

used in DHS analysis of the vulnerability of the cyber infrastructure to terrorist 

attacks. 

Department of State DOS coordinates, in conjunction with DHS/IAIP/NCSD, Federal Government 

efforts in the development and implementation of foreign policies related to 

cyberspace security. DOS engages in the following activities to support U.S. 

national cyber security goals and objectives: 

 Chairs the interagency International Critical Infrastructure Protection 

Working Group. This group serves as an interagency coordination 

mechanism on international cyber security matters of a bilateral, multilateral, 

or international nature. 

 Participates as a member of the NCRCG to provide advice and assistance on 

the foreign policy issues related to a cyber incident of national significance. 

 Manages a cable/message address collective available for use to notify senior 

foreign leaders of 30 allied and like-minded nations of cyber incidents of 

international significance. This collective is a vehicle by which the United 

States can notify senior national-level personnel in select foreign 

governments of impending cyber incidents; it complements the technical 

watch and warning notifications distributed by US-CERT. 
CYB-8 Cyber Incident Annex December 2004 

 National Response Plan 

The Intelligence 

Community 

The Intelligence Community, through the IC-IRC, coordinates and shares 

information with DOD, US-CERT, and other incident response organizations in 

order to safeguard the integrity of Intelligence Community networks. The ICIRC uses procedures to ensure that the Director of Central Intelligence and the 

President are kept informed of any activity that could jeopardize the ability of the 

Intelligence Community to accomplish its mission. In the event of a cyber 

emergency, the Intelligence Community exercises its authorities and uses its 

resources and expertise to provide foreign threat-based analysis and to assist in 

efforts to gain attribution regarding a cyber attack. 

Other Cooperating Agencies Other Federal departments and agencies, listed as cooperating agencies, provide 

cyber-related expertise in support of this annex as requested. 

Other Federal Entities 

Office of Science and 

Technology Policy 

The Director, Office of Science and Technology Policy (OSTP), is responsible 

for the coordination of planning for and provision of national security and 

emergency preparedness communications for the Federal Government under all 

circumstances, including crisis or emergency, attack, recovery, and 

reconstitution. The Director, OSTP, chairs the JTRB, which brings together 

Federal communications policymakers with key authorities during an Incident of 

National Significance involving communications. The communications-related 

responsibilities and authorities for OSTP are found in the Communications Act 

of 1934, Executive Order 12472, ESF #2, and the NTSP. 

Homeland Security 

Council/National Security 

Council 

The Assistant to the President for Homeland Security and the Assistant to the 

President for National Security Affairs provide interagency policy coordination 

for domestic and international incident management, respectively, as directed by 

the President. 

Office of Management and 

Budget 

OMB, through the Federal Information Security Management Act (FISMA) 

requirements and with the assistance of US-CERT, chief information officers, 

and the departments’ and agencies’ Inspectors General, ensures that the 

departments and agencies properly employ continuity and recovery plans in 

response to a cyber incident. 

Sector-Specific Agencies The heads of all Federal departments and agencies, as directed by HSPD-5 and 

HSPD-7, provide their full and prompt cooperation, resources, and support, as 

consistent with law, policy, and their own responsibilities for protecting national 

security. 
December 2004 Cyber Incident Annex CYB-9 

 National Response Plan 

Other Entities 

State, Local, and Tribal 

Governments 

The Federal Government uses available homeland security, emergency 

management, and other information-sharing mechanisms to provide centrally 

coordinated sharing of security intelligence and information to the States. 

In addition, in the event of a cyber Incident of National Significance, State, local, 

and tribal government entities are encouraged to activate their incident 

management/response support architecture and coordinate through the national 

incident management structure, to include requests for the provision of additional 

resources to address the incident. The ability of States to quickly and effectively 

augment local response operations may be enhanced through participation in the 

development of venue-specific cyber incident response plans that include a 

coordinated advance strategy for receiving, deploying, and/or utilizing 

preidentified State resources. DHS can assist in the creation of such plans. 

Nongovernmental Entities The Federal Government recognizes that the private and nongovernmental 

sectors play a central role in preventing, preparing for, responding to, and 

recovering from cyber incidents. Consequently, the Federal Government, 

primarily through DHS, maintains multiple lines of communication with the 

private and nongovernmental sectors to permit the ongoing exchange of vital 

security information. Information-sharing mechanisms allow critical sectors to 

share information and to work together to better protect infrastructures across all 

sectors of society. Through information-sharing mechanisms and associations, 

information about network vulnerabilities and effective solutions, as well as 

information related to threats and ways to protect against those threats, is 

provided to the private and nongovernmental sectors to assist them in achieving a 

higher level of critical infrastructure protection. 

In the event of a cyber incident, the Federal Government continues to work with 

the private sector in a coordinated response. DHS/IAIP/NCSD serves as a focal 

point for cyberspace security and facilitates interactions and collaborations with 

nongovernmental and private-sector entities for purposes of analysis, warning, 

information-sharing, vulnerability reduction, mitigation, and aiding national 

recovery efforts for critical infrastructure information systems. 

The private sector and academia use many security mechanisms and have their 

own internal cyber security management systems. However, widespread cyber 

disruption requires high levels of cooperation and sector-specific and crosssector collaboration. Therefore, the private sector and academia are encouraged 

to work with sector-specific agencies, information-sharing mechanisms, 

associations, DHS, and law enforcement through existing mechanisms to ensure 

that adequate collaboration is conducted. 

In addition, DOJ and law enforcement authorities continue to work with the 

private sector with respect to prevention, investigation, and prosecution of 

cybercrime. For example, entities such as InfraGard and the Electronic Crime 

Task Forces (ECTFs) work to improve and extend information-sharing between 

private industry and government (particularly FBI and DHS/USSS, respectively) 

regarding critical infrastructures. InfraGard and the ECTFs promote ongoing 

dialogue and timely communication between private industry and Federal law 

enforcement and enable industry to protect assets and provide information to the 

Government that can help prevent terrorism and other crimes. 
CYB-10 Cyber Incident Annex December 2004 

 National Response Plan 

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December 2004 Food and Agriculture Incident Annex AGR-1 

 National Response Plan 

Food and Agriculture Incident Annex

To be published in a subsequent version of this plan. 
AGR-2 Food and Agriculture Incident Annex December 2004 

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December 2004 Nuclear/Radiological Incident Annex NUC-1 

 National Response Plan 

Nuclear/Radiological Incident Annex

Coordinating Agencies: 

Department of Defense 

Department of Energy 

Department of Homeland Security 

Environmental Protection Agency 

National Aeronautics and Space Administration 

Nuclear Regulatory Commission 

Cooperating Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of Housing and Urban Development 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of State 

Department of Transportation 

Department of Veterans Affairs 

Environmental Protection Agency 

General Services Administration 

Nuclear Regulatory Commission 

American Red Cross 

Introduction

Purpose 

The Nuclear/Radiological Incident Annex provides 

an organized and integrated capability for a timely, 

coordinated response by Federal agencies to terrorist 

incidents involving nuclear or radioactive materials 

(Incidents of National Significance), and accidents 

or incidents involving such material that may or may 

not rise to the level of an Incident of National 

Significance. The Department of Homeland 

Security (DHS) is responsible for overall 

coordination of all actual and potential Incidents of 

National Significance, including terrorist incidents 

involving nuclear materials. 

This annex describes how the coordinating agencies 

and cooperating agencies support DHS’s overall 

coordination of the response to a nuclear/ 

radiological Incident of National Significance. In 

addition, this annex describes how the coordinating 

agencies lead the response to incidents of lesser 

severity. 1

The actions described in this annex may be 

implemented: (1) concurrently with, and as an 

integral part of, the National Response Plan (NRP) 

for all nuclear/radiological incidents or accidents 

considered to be Incidents of National Significance; 

or (2) independently for all other nuclear/ 

radiological accidents or incidents considered to be 

below the threshold of an Incident of National 

Significance and, therefore, not requiring overall 

Federal coordination by DHS. 

 

1 Nuclear/radiological incidents of “lesser severity” are considered 

below the threshold of an Incident of National Significance, as 

determined by DHS, and vary from lost radiography sources or 

discovery of orphan radiological sources to incidents/emergencies 

at nuclear power plants below the classification of General 

Emergency, as defined by the cognizant regulatory agency (e.g., 

Department of Energy (DOE) or Nuclear Regulatory Commission 

(NRC)).
NUC-2 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Scope 

This annex applies to nuclear/radiological incidents, 

including sabotage and terrorist incidents, involving 

the release or potential release of radioactive 

material that poses an actual or perceived hazard to 

public health, safety, national security, and/or the 

environment. This includes terrorist use of 

radiological dispersal devices (RDDs) or improvised 

nuclear devices (INDs) as well as reactor plant 

accidents (commercial or weapons production 

facilities), lost radioactive material sources, 

transportation accidents involving nuclear/ 

radioactive material, and foreign accidents involving 

nuclear or radioactive material. 

The level of Federal response to a specific incident 

is based on numerous factors, including the ability of 

State, local, and tribal officials to respond; the type 

and/or amount of radioactive material involved; the 

extent of the impact or potential impact on the public 

and environment; and the size of the affected area. 

In situations where threat analysis includes 

indications that a terrorist incident involving 

radiological materials could occur, actions are 

coordinated in accordance with the pre-incident 

prevention protocols set forth in the NRP Base Plan. 

This annex: 

 Provides planning guidance and outlines 

operational concepts for the Federal response to 

any nuclear/radiological incident, including a 

terrorist incident, that has actual, potential, or 

perceived radiological consequences within the 

United States or its territories, possessions, or 

territorial waters, and that requires a response by 

the Federal Government. This includes both 

Incidents of National Significance and incidents 

of lesser severity; 

 Acknowledges the unique nature of a variety of 

nuclear/radiological incidents and the 

responsibilities of Federal, State, local, and tribal 

governments to respond to them; 

 Describes Federal policies and planning 

considerations on which this annex and Federal 

agency-specific nuclear/radiological response 

plans are based; 

 Specifies the roles and responsibilities of 

Federal agencies for preventing, preparing for, 

responding to, and recovering from 

nuclear/radiological incidents; 

 Includes guidelines for notification, 

coordination, and leadership of Federal 

activities, and coordination of public 

information, congressional relations, and 

international activities; and 

 Provides protocols for coordinating Federal 

Government capabilities to respond to 

radiological incidents. These capabilities 

include, but are not limited to: 

 The Interagency Modeling and Atmospheric 

Assessment Center (IMAAC), which is 

responsible for production, coordination, 

and dissemination of consequence 

predictions for an airborne hazardous 

material release; 

 The Federal Radiological Monitoring and 

Assessment Center (FRMAC), established at 

or near the scene of an incident to coordinate 

radiological assessment and monitoring; and 

 The Advisory Team for Environment, Food, 

and Health (known as “the Advisory 

Team”), which provides expert 

recommendations on protective action 

guidance. 

More information on these capabilities is 

included in subsequent sections of this annex. 

Policies 

 DHS coordinates the overall Federal 

Government response to radiological Incidents 

of National Significance in accordance with 

Homeland Security Presidential Directive-5 and 

the NRP. In the NRP Base Plan, Figure 4, 

Structure for NRP Coordination: Terrorist 

Incident, illustrates the organizational 

framework that DHS utilizes to respond to 

terrorist incidents. In the NRP Base Plan, Figure 

5, Structure for NRP Coordination: Federal-toFederal Support, illustrates the organizational 

framework that DHS utilizes to respond to 

nonterrorist Incidents of National Significance. 
December 2004 Nuclear/Radiological Incident Annex NUC-3 

 National Response Plan 

 The NRP supersedes the Federal Radiological 

Emergency Response Plan, dated May 1, 1996. 

 The concept of operations described in this 

annex recognizes and addresses the unique 

challenges associated with and the need for 

specialized technical expertise/actions when 

responding to RDD/IND incidents with 

potentially catastrophic consequences. 

 DHS, as the overall incident manager for 

Incidents of National Significance, is supported 

by coordinating agencies and cooperating 

agencies. Coordinating agencies have specific 

nuclear/radiological technical expertise and 

assets for responding to the unique 

characteristics of these types of incidents. 

Coordinating agencies facilitate the nuclear/ 

radiological aspects of the response in support of 

DHS. For any given incident, the coordinating 

agency is the Federal agency that owns, has 

custody of, authorizes, regulates, or is otherwise 

designated responsibility for the nuclear/ 

radioactive material, facility, or activity involved 

in the incident. The coordinating agency is 

represented in the Joint Field Office (JFO) 

Coordination Group, the Interagency Incident 

Management Group (IIMG), and the Homeland 

Security Operations Center (HSOC). The 

coordinating agency is also represented in other 

response centers and entities, as appropriate for 

the specific incident. 

 Coordinating agencies are also responsible for 

leading the Federal response to nuclear/ 

radiological incidents of lesser severity (those 

incidents that do not reach the level of an 

Incident of National Significance). 

 Coordinating agencies may use the structure of 

the NRP to carry out their response duties, or 

any other structure consistent with the National 

Incident Management System (NIMS) capable 

of providing the required support to the affected 

State, local, or tribal government. 

 Cooperating agencies include other Federal 

agencies that provide technical and resource 

support to DHS and the coordinating agencies. 

These agencies are represented in the IIMG, the 

HSOC, and other response centers and entities, 

as appropriate for the specific incident. They 

may or may not be represented in the JFO 

Coordination Group. 

 DHS/Emergency Preparedness and 

Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA) is responsible for 

maintaining and updating this annex. 

DHS/EPR/FEMA accomplishes this 

responsibility through the Federal Radiological 

Preparedness Coordinating Committee 

(FRPCC). 

 The Attorney General, generally acting through 

the Federal Bureau of Investigation (FBI), has 

lead responsibility for criminal investigations of 

terrorist acts or terrorist threats and for 

coordinating activities of other members of the 

law enforcement community to detect, prevent, 

preempt, investigate, and disrupt terrorist attacks 

against the United States, including incidents 

involving nuclear/radioactive materials, in 

accordance with the following: 

 The Atomic Energy Act directs the FBI to 

investigate all alleged or suspected criminal 

violations of the act. Additionally, the FBI 

legally is responsible for locating any 

illegally diverted nuclear weapon, device, or 

material and for restoring nuclear facilities 

to their rightful custodians. In view of its 

unique responsibilities under the Atomic 

Energy Act (amended by the Energy 

Reorganization Act), the FBI has concluded 

formal agreements with the coordinating 

agencies that provide for interface, 

coordination, and technical support for the 

FBI’s law enforcement and criminal 

investigative efforts. 

 Generally, for nuclear facilities and 

materials in transit, the designated 

coordinating agency and cooperating 

agencies perform the functions delineated in 

this annex and provide technical support and 

assistance to the FBI in the performance of 

its law enforcement and criminal 

investigative mission. Those agencies 

supporting the FBI additionally coordinate 

and manage the technical portion of the 

response and activate/request assistance 

under this annex for measures to protect the 

public health and safety. In all cases, the 
NUC-4 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

FBI manages and directs the law 

enforcement and intelligence aspects of the 

response, while coordinating its activities 

with appropriate Federal, State, local, and 

tribal governments within the framework of 

this annex, and/or as provided for in 

established interagency agreements or plans. 

Further details regarding the FBI response 

are outlined in the Terrorism Incident Law 

Enforcement and Investigation Annex. 

 All Federal nuclear/radiological assistance 

capabilities outlined in this annex are 

available to support the Federal response to 

a terrorist threat, whether or not the threat 

develops into an actual incident. 

 When the concept of operations in this annex is 

implemented, existing interagency plans that 

address nuclear/radiological incident 

management are incorporated as supporting 

plans and/or operational supplements (e.g., the 

National Oil and Hazardous Substances 

Pollution Contingency Plan (NCP)). 

 This annex does not create any new authorities 

nor change any existing ones. 

 Nothing in this annex alters or impedes the 

ability of Federal departments and agencies to 

carry out their specific authorities and perform 

their responsibilities under law. 

 Some Federal agencies are authorized to respond 

directly to certain incidents affecting public 

health and safety. In these cases, procedures 

outlined in this annex may be used to coordinate 

the delivery of Federal resources to State, local, 

and tribal governments, and to coordinate 

assistance among Federal agencies for incidents 

that can be managed without the need for DHS 

coordination (i.e., incidents below the threshold 

of an Incident of National Significance). 

 The owner/operator of a nuclear/radiological 

facility primarily is responsible for mitigating 

the consequences of an incident, providing 

notification and appropriate protective action 

recommendations to State, local, and/or tribal 

government officials, and minimizing the 

radiological hazard to the public. The 

owner/operator has primary responsibility for 

actions within the facility boundary and may 

also have responsibilities for response and 

recovery activities outside the facility boundary 

under applicable legal obligations (e.g., 

contractual; licensee; Comprehensive 

Environmental Response, Compensation, and 

Liability Act (CERCLA)). 

 State, local, and tribal governments primarily are 

responsible for determining and implementing 

measures to protect life, property, and the 

environment in those areas outside the facility 

boundary or incident location. This does not, 

however, relieve nuclear/radiological facility or 

material owners/operators from any applicable 

legal obligations. 

 State, local, and tribal governments and 

owners/operators of nuclear/radiological 

facilities or activities may request assistance 

directly from DHS, other Federal agencies, 

and/or State governments with which they have 

preexisting arrangements or relationships. 

 Response to nuclear/radiological incidents 

affecting land owned by the Federal 

Government is coordinated with the agency 

responsible for managing that land to ensure that 

incident management activities are consistent 

with Federal statutes governing use and 

occupancy. In the case of tribal lands, tribal 

governments have a special relationship with the 

U.S. Government, and Federal, State, and local 

governments may have limited or no authority 

on specific tribal reservations. Further guidance 

is provided in the Tribal Relations Support 

Annex. 

 Participating Federal agencies may take 

appropriate independent emergency actions 

within the limits of their own statutory authority 

to protect the public, mitigate immediate 

hazards, and gather information concerning the 

emergency to avoid delay. 

 Departments and agencies are not reimbursed 

for activities conducted under their own 

authorities unless other agreements or 

reimbursement mechanisms exist (e.g., Stafford 

Act, Federal-to-Federal assistance). 
December 2004 Nuclear/Radiological Incident Annex NUC-5 

 National Response Plan 

 Federal coordination centers and agency teams 

provide their own logistical support consistent 

with agreed upon interagency execution plans. 

State, local, and tribal governments are 

encouraged to coordinate their efforts with the 

Federal effort, but maintain their own logistical 

support, consistent with applicable authorities 

and requirements. 

 For radiological incidents involving a nuclear 

weapon, special nuclear material, and/or 

classified components, the agency with custody 

of the material (the Department of Defense 

(DOD), the Department of Energy (DOE), or the 

National Aeronautics and Space Administration 

(NASA)) may establish a National Defense Area 

(NDA) or National Security Area (NSA). NDAs 

and NSAs are established to safeguard classified 

information and/or restricted data, or equipment 

and material, and place non-Federal lands under 

Federal control for the duration of the incident. 

In the event radioactive contamination occurs, 

Federal officials coordinate with State and local 

officials to ensure appropriate public health and 

safety actions are taken outside the NDA or 

NSA. 

Planning Assumptions 

 Radiological incidents may not be immediately 

recognized as such until the radioactive material 

is detected or the effects of radiation exposure 

are manifested in the population. 

 An act of radiological terrorism, particularly an 

act directed against a large population center 

within the United States, will have major 

consequences that can overwhelm the 

capabilities of many local, State, and/or tribal 

governments to respond and may seriously 

challenge existing Federal response capabilities. 

 A radiological incident may include chemical or 

biological contaminants, which may require 

concurrent implementation of the NCP or other 

Federal plans and procedures. 

 An incident involving the potential release of 

radioactivity may require implementation of 

protective measures. 

 An expeditious Federal response is required to 

mitigate the consequences of the 

nuclear/radiological incident. Radiological 

Incidents of National Significance that result in 

significant impacts likely will trigger 

implementation of the NRP Catastrophic 

Incident Annex and Catastrophic Incident 

Supplement. 

 The Federal Government response to 

radiological terrorist threats/incidents also 

includes the following assumptions: 

 If appropriate personal protective equipment 

and capabilities are not available and the 

area is contaminated by radioactive material, 

response actions in a contaminated area may 

be delayed until the material has dissipated 

to a safe level for emergency response 

personnel or until appropriate personal 

protective equipment and capabilities arrive, 

whichever is sooner; 

 The response to a radiological threat or 

actual incident requires an integrated 

Federal Government response; 

 In the case of a radiological terrorist attack, 

the effect may be temporarily and 

geographically dispersed, requiring response 

operations to be conducted over a 

multijurisdictional, multistate region; and 

 A radiological terrorist incident may affect a 

single location, or multiple locations, each 

of which may require an incident response 

and a crime scene investigation 

simultaneously. 
NUC-6 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Concept of Operations 

General 

This concept of operations is applicable to potential 

and actual radiological Incidents of National 

Significance requiring DHS coordination and other 

radiological incidents of lesser severity, utilizing the 

protocols delineated in this annex. For other 

radiological incidents of lesser severity, other 

Federal response plans (i.e., the NCP and/or agencyspecific radiological incident response plans) may 

also be utilized, as appropriate. 

Hazard-Specific Planning and Preparedness 

Headquarters 

 The Federal Radiological Policy Coordinating 

Committee (FRPCC) provides a national-level 

forum for the development and coordination of 

radiological prevention and preparedness 

policies and procedures. It also provides policy 

guidance for Federal radiological incident 

management activities in support of State, local 

and tribal government radiological emergency 

planning and preparedness activities. The 

FRPCC is an interagency body consisting of the 

coordinating and cooperating agencies discussed 

in this annex, chaired by DHS/EPR/FEMA. The 

FRPCC establishes subcommittees, as 

necessary. 

 The FRPCC also coordinates research-study 

efforts of its member agencies related to State, 

local and tribal government radiological 

emergency preparedness to ensure minimum 

duplication and maximum benefits to State and 

local governments. The FRPCC coordinates 

planning and validating requirements of each 

agency, reviewing integration requirements and 

incorporating agency-specific plans, procedures, 

and equipment into the response system. 

Regional: Regional Assistance Committees (RACs) 

in the DHS/EPR/FEMA regions serve as the primary 

coordinating structure at the Federal regional level. 

RAC membership mirrors that of the FRPCC, and 

RACs are chaired by a DHS/EPR/FEMA regional 

representative. Additionally, State emergency 

management agencies send representatives to RAC 

meetings and participate in regional exercise and 

training activities. The RACs provide a forum for 

information-sharing, consultation, and coordination 

of Federal regional awareness, prevention, 

preparedness, response, and recovery activities. The 

RACs also assist in providing technical assistance to 

State and local governments and evaluating 

radiological plans and exercises. 

Coordinating Agencies and Cooperating Agencies 

During a response to an Incident of National 

Significance, coordinating agencies and cooperating 

agencies provide technical expertise, specialized 

equipment, and personnel in support of DHS, which 

is responsible for overall coordination of incident 

management activities. Coordinating agencies have 

primary responsibilities for Federal activities related 

to the nuclear/radiological aspects of the incident. 

The coordinating agency is that Federal agency 

which owns, has custody of, authorizes, regulates, or 

is otherwise deemed responsible for the radiological 

facility or activity involved in the incident. The 

following paragraphs identify the coordinating 

agency for a variety of radiological incidents. For 

example, the Nuclear Regulatory Commission 

(NRC) is the coordinating agency for incidents 

involving nuclear facilities licensed by the NRC; 

DOE is the coordinating agency for incidents 

involving the transportation of radioactive materials 

shipped by or for DOE. Table 1 identifies the 

coordinating agency for a variety of radiological 

incidents. 

Radiological Terrorism Incidents: 

 The coordinating agency provides technical 

support to DHS, which has overall responsibility 

for domestic incident management, and to the 

FBI, which has the lead responsibility for 

criminal investigations of terrorist acts or 

terrorist threats. The FBI also is responsible for 

coordinating activities of other members of the 

law enforcement community to detect, prevent, 

preempt, investigate, and disrupt terrorist attacks 

against the United States, including incidents 

involving nuclear/radioactive materials (e.g. 

RDD/IND incidents). 
December 2004 Nuclear/Radiological Incident Annex NUC-7 

 National Response Plan 

TABLE 1. Coordinating agencies 

Note: DHS is responsible for the overall coordination of incident management activities for all nuclear or 

radiological Incidents of National Significance, including those involving terrorism. 

Type of Incident Coordinating Agency 

a. Radiological terrorism incidents (e.g., RDD/IND or radiological exposure 

device): 

(1) Material or facilities owned or operated by DOD or DOE 

(2) Material or facilities licensed by NRC or Agreement State 

(3) All others 

(1) DOD or DOE 

(2) NRC 

(3) DOE 

b. Nuclear facilities: 

(1) Owned or operated by DOD or DOE 

(2) Licensed by NRC or Agreement State 

(3) Not licensed, owned, or operated by a Federal agency or an Agreement 

State, or currently or formerly licensed facilities for which the 

owner/operator is not financially viable or is otherwise unable to 

respond 

(1) DOD or DOE 

(2) NRC 

(3) EPA 

c. Transportation of radioactive materials: 

(1) Materials shipped by or for DOD or DOE 

(2) Shipment of NRC or Agreement State-licensed materials 

(3) Shipment of materials in certain areas of the coastal zone that are not 

licensed or owned by a Federal agency or Agreement State (see USCG 

list of responsibilities for further explanation of “certain areas”) 

(4) All others 

(1) DOD or DOE 

(2) NRC 

(3) DHS/USCG 

(4) EPA 

d. Space vehicles containing radioactive materials: 

(1) Managed by NASA or DOD 

(2) Not managed by DOD or NASA impacting certain areas of the coastal 

zone 

(3) All others 

(1) NASA or DOD 

(2) DHS/USCG 

(3) EPA 

e. Foreign, unknown or unlicensed material: 

(1) Incidents involving foreign or unknown sources of radioactive material 

in certain areas of the coastal zone 

(2) All others 

(1) DHS/USCG 

(2) EPA 

f. Nuclear weapon accident/incident (based on custody at time of event) DOD or DOE 

Other types of incidents not otherwise addressed above DHS designates 
NUC-8 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

 For radiological terrorism incidents involving 

materials or facilities owned or operated by 

DOD or DOE, DOD or DOE is the coordinating 

agency, as appropriate. 

 For radiological terrorism incidents involving 

materials or facilities licensed by the NRC or 

Agreement States, the NRC is the coordinating 

agency. 

 For all other radiological terrorist incidents, 

DOE is the coordinating agency. The 

coordinating agency role transitions from DOE 

to the Environmental Protection Agency (EPA) 

for environmental cleanup and site restoration at 

a mutually agreeable time, and after consultation 

with State, local, and tribal governments, the 

cooperating agencies, and the JFO Coordination 

Group. 

Nuclear Facilities: 

 The NRC is the coordinating agency for 

incidents that occur at fixed facilities or 

activities licensed by the NRC or an Agreement 

State. These include, but are not limited to, 

commercial nuclear power plants, fuel cycle 

facilities, DOE-owned gaseous diffusion 

facilities operating under NRC regulatory 

oversight, independent spent fuel storage 

installations, radiopharmaceutical 

manufacturers, and research reactors. 

 DOD or DOE is the coordinating agency for 

incidents that occur at facilities or vessels under 

their jurisdiction, custody, or control. These 

incidents may involve reactor operations, 

nuclear material, weapons production, 

radioactive material from nuclear weapons or 

munitions, or other radiological activities. 

 EPA is the coordinating agency for incidents 

that occur at facilities not licensed, owned, or 

operated by a Federal agency or an Agreement 

State, or currently or formerly licensed facilities 

for which the owner/operator is not financially 

viable or is otherwise unable to respond. 

Transportation of Radioactive Materials: 

 Either DOD or DOE is the coordinating agency 

for transportation incidents involving DOD or 

DOE materials, depending on which of these 

agencies has custody of the material at the time 

of the incident. 

 The NRC is the coordinating agency for 

transportation incidents that involve radiological 

material licensed by the NRC or an Agreement 

State. 

 DHS/U.S. Coast Guard (DHS/USCG) is the 

coordinating agency for the shipment of 

materials in certain areas of the coastal zone that 

are not licensed or owned by a Federal agency or 

Agreement State. 

 EPA is the coordinating agency for shipment of 

materials in other areas of the coastal zone and 

in the inland zone that are not licensed or owned 

by a Federal agency or an Agreement State. 

Space Vehicles Containing Radioactive 

Materials: 

 NASA is the coordinating agency for missions 

involving NASA space vehicles or joint space 

vehicles with significant NASA involvement. 

DOD is the coordinating agency for missions 

involving DOD space vehicles or joint space 

vehicles with significant DOD involvement. A 

joint venture is an activity in which the U.S. 

Government has provided extensive 

design/financial input; has provided and 

maintains ownership of instruments, spacecraft, 

or the launch vehicle; or is intimately involved 

in mission operations. A joint venture is not 

created by simply selling or supplying material 

to a foreign country for use in its spacecraft. 

 DHS/USCG is the coordinating agency for space 

vehicles not managed by DOD or NASA 

impacting certain areas of the coastal zone. 

 EPA is the coordinating agency for all other 

space vehicle incidents involving radioactive 

material. 
December 2004 Nuclear/Radiological Incident Annex NUC-9 

 National Response Plan 

Foreign, Unknown, or Unlicensed Material: EPA 

or DHS/USCG is the coordinating agency depending 

on the location of the incident. DHS/USCG is the 

coordinating agency for incidents involving foreign 

or unknown sources of radioactive material in 

certain areas of the coastal zone. EPA is the 

coordinating agency for all other incidents involving 

foreign, unknown, or unlicensed radiological sources 

that have actual, potential, or perceived radiological 

consequences in the United States or its territories, 

possessions, or territorial waters. The foreign or 

unlicensed source may be a reactor, a spacecraft 

containing radioactive material, imported 

radioactively contaminated material, or a shipment 

of foreign-owned radioactive material. Unknown 

sources of radioactive material, also termed “orphan 

sources,” are those materials whose origin and/or 

radiological nature are not yet established. These 

types of sources include contaminated scrap metal or 

abandoned radioactive material. 

Other Types of Incidents: For other types of 

incidents not covered above, DHS, in consultation 

with the other coordinating agencies, designates a 

coordinating agency. If DHS determines that it is an 

Incident of National Significance, DHS is 

responsible for overall coordination and the 

designated coordinating agency assumes 

responsibilities as the coordinating agency. 

Notification Procedures 

 The owner/operator of a nuclear/radiological 

facility or owner/transporter of nuclear/ 

radiological material is generally the first to 

become aware of an incident and notifies State, 

local and tribal authorities and the coordinating 

agency. 

 Federal, State, local, and tribal governments that 

become aware of a radiological incident from 

any source other than the coordinating agency 

notify the HSOC and the coordinating agency. 

 The coordinating agency provides notification of 

a radiological incident to the HSOC and other 

coordinating agencies, as appropriate. 

 Releases of hazardous materials that are 

regulated under the NCP (40 CFR part 302) are 

reported to the National Response Center. 

 

Incident Actions 

Headquarters: Incidents of National Significance 

 Coordinating agencies and cooperating agencies 

report information and intelligence relative to 

situational awareness and incident management 

to the HSOC. Agencies with radiological 

response functions provide representatives to the 

HSOC, as requested. 

 The coordinating agency and cooperating 

agencies, as appropriate, provide representation 

to the IIMG. 

 Coordinating agencies and cooperating agencies 

provide representation to the National Response 

Coordination Center (NRCC), as appropriate. 

Other Radiological Incidents 

 For radiological incidents that are below the 

threshold of an Incident of National Significance 

but require Federal participation in the response, 

the coordinating agency coordinates the Federal 

response utilizing the procedures in this annex, 

agency-specific plans, and/or the NCP, as 

appropriate. The coordinating agency provides 

intelligence and information relative to the 

incident to the HSOC. 

 The NRCC may be utilized to provide 

interagency coordination and Federal resource 

tracking, if needed. 

Regional: Incidents of National Significance 

 The coordinating agency provides representation 

to the JFO to serve as a Senior Federal Official 

within the JFO Coordination Group. 

Cooperating agencies may also be represented, 

as needed. 

 The coordinating agency is part of the Unified 

Command, as defined by the NIMS, and 

coordinates Federal radiological response 

activities at appropriate field facilities.2

 

2 Appropriate field facilities may include a JFO, Incident 

Command Post, Emergency Operations Center, Emergency 

Operations Facility, Emergency Control Center, etc.
NUC-10 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Other Radiological Incidents: The coordinating 

agency coordinates Federal response operations at a 

designated field facility. Cooperating agencies may 

also be represented, as needed. 

Response Functions: Primary radiological 

response functions are addressed in this section. An 

overview of specific DHS and coordinating agency 

response functions is provided in Table 2. 

Table 2: DHS and coordinating agency response functions overview 

Response Function Incidents of National 

Significance 

Other Radiological 

Incidents 

a. Coordinate actions of Federal agencies related to the 

overall response. 

DHS Coordinating agency 

b. Coordinate Federal activities related to response and 

recovery of the radiological aspects of an incident. 

DHS and coordinating agency Coordinating agency 

c. Coordinate incident security. DHS and coordinating agency Coordinating agency 

d. Ensure coordination of technical data (collection, 

analysis, storage, and dissemination). 

DHS and coordinating agency Coordinating agency 

e. Ensure Federal protective action recommendations 

are developed and provide advice and assistance to 

State, local, and tribal governments. 

DHS and coordinating agency Coordinating agency 

f. Coordinate release of Federal information to the 

public. 

DHS Coordinating agency 

g. Coordinate release of Federal information to 

Congress. 

DHS Coordinating agency 

h. Keep the White House informed on all aspects of an 

incident. 

DHS Coordinating agency 

i. Ensure coordination of demobilization of Federal 

assets. 

DHS Coordinating agency 

 
December 2004 Nuclear/Radiological Incident Annex NUC-11 

 National Response Plan 

Response Coordination 

Federal Agency Coordination 

Incidents of National 

Significance 

DHS is responsible for the overall coordination of Incidents of National 

Significance using elements described in the NRP Base Plan concept of 

operations. 

Other Radiological Incidents  The agency with primary responsibility for coordinating the Federal 

response to a radiological incident serves as the coordinating agency. 

 The coordinating agency coordinates the actions of Federal agencies related 

to the incident utilizing this annex, agency-specific plans, and/or the NCP, 

as appropriate. 

 Cooperating agencies provide technical and resource support, as requested 

by the coordinating agency. 

 The coordinating agency may establish a field facility; assist State, local, 

and tribal response organizations; monitor and support owner/operator 

activities (when there is an owner or operator); provide technical support to 

the owner/operator, if requested; and serve as the principal Federal source 

of information about incident conditions. 

Coordinating Radiological Aspects of an Incident 

Incidents of National 

Significance 

 DHS and the coordinating agency coordinate Federal activities related to 

responding to and recovering from the radiological aspects of an incident. 

They are assisted by cooperating agencies, as requested. 

 The coordinating agency provides a hazard assessment of conditions that 

might have significant impact and ensures that measures are taken to 

mitigate the potential consequences. 

Other Radiological Incidents The coordinating agency coordinates Federal activities related to response and 

recovery of the radiological aspects of an incident, assisted by cooperating 

agencies, as requested. 

Incident Security Coordination 

Incidents of National 

Significance 

DHS and the coordinating agency are responsible for coordinating security 

activities related to Federal response operations. 

Other Radiological Incidents The coordinating agency coordinates security activities related to Federal 

response operations. 
NUC-12 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Incident Security Coordination (Continued) 

Incidents of National 

Significance and Other 

Radiological Incidents 

 DOD, DOE, or NASA, as the appropriate coordinating agency, may 

establish NDAs or NSAs to safeguard classified information and/or 

restricted data, or equipment and material, and place non-Federal lands 

under Federal control for the duration of the incident. DOD, DOE, or 

NASA, as appropriate, coordinates security in and around these locations, 

as necessary. 

 For incidents at other Federal or private facilities, the owner/operator 

provides security within the facility boundaries. If a release of radioactive 

material occurs beyond the facility boundaries, State, local, or tribal 

governments provide security for the release area. 

 State, local, and tribal governments provide security for radiological 

incidents occurring on public lands (e.g., a transportation incident). 

 If needed, ESF #13 – Public Safety and Security may be activated to 

provide supplemental security resources and capabilities. 

Technical Data Management 

Incidents of National 

Significance 

 DHS and the coordinating agency approve the release of all data to State, 

local, and tribal governments. 

 For incidents involving terrorism, the coordinating agency consults with 

other members of the JFO Coordination Group as issues arise regarding the 

sharing of sensitive information that may be needed, on a need-to-know 

basis, for responder and public safety. 

 DHS and the coordinating agency, in consultation with the JFO 

Coordination Group and State, local, and tribal governments, determine if 

the severity of an incident warrants a request for Nuclear Incident Response 

Team (NIRT) assets. 

 The IMAAC is responsible for production, coordination, and dissemination 

of consequence predictions for an airborne hazardous material release. The 

IMAAC generates the single Federal prediction of atmospheric dispersions 

and their consequences utilizing the best available resources from the 

Federal Government. 

Other Radiological Incidents The coordinating agency authorizes the release of all data to State, local, and 

tribal governments. 
December 2004 Nuclear/Radiological Incident Annex NUC-13 

 National Response Plan 

Technical Data Management (Continued) 

Incidents of National 

Significance and Other 

Radiological Incidents 

 The coordinating agency oversees the collection, analysis, storage, and 

dissemination of all technical data through the entire process. 

 The coordinating agency is responsible for ensuring the sharing of all 

technical data, including outputs from the FRMAC, the Advisory Team, and 

the IMAAC, with all appropriate response organizations. 

 Federal monitoring and assessment activities are coordinated with State, 

local, and tribal governments. Federal agency plans and procedures for 

implementing this activity are designed to be compatible with the 

radiological emergency planning requirements for State and local 

governments, specific facilities, and existing memorandums of 

understanding and interagency agreements. 

 Prior to the on-scene arrival of the coordinating agency, Federal first 

responders may provide radiological monitoring and assessment data to 

State, local, and tribal governments as requested in support of protective 

action decisionmaking. Federal first responders also begin collecting data 

for transmission to the coordinating agency. If a FRMAC is established, the 

coordinating agency provides a mechanism for transmitting data to and 

from the FRMAC. Prior to the initiation of FRMAC operations, Federal 

first responders coordinate radiological monitoring and assessment data 

with the DOE Consequence Management Home Team (CMHT) or the 

Consequence Management Response Team (CMRT). (Note: A CMHT 

provides a reach-back capability to support the CMRT. The CMRT 

functions as an advance element of the FRMAC to establish contact with 

on-scene responders to coordinate Federal radiological monitoring and 

assessment activities.) 

 DOE and other participating Federal agencies learn of an emergency when 

they are alerted to a possible problem or receive a request for radiological 

assistance. DOE maintains national and regional coordination offices as 

points of access to Federal radiological emergency assistance. Requests for 

Radiological Assessment Program (RAP) teams are generally directed to 

the appropriate DOE Regional Coordinating Office. All other requests for 

Federal radiological monitoring and assessment go directly to DOE’s 

Emergency Operations Center (EOC) in Washington, DC. When other 

agencies receive requests for Federal radiological monitoring and 

assessment assistance, they notify the DOE EOC. 
NUC-14 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Technical Data Management (Continued) 

Incidents of National 

Significance and Other 

Radiological Incidents 

(Continued)

 DOE may respond to a State or coordinating agency request for assistance 

by dispatching a RAP team. If the situation requires more assistance than a 

RAP team can provide, DOE alerts or activates additional resources. These 

resources can include the establishment of a FRMAC as the coordination 

center for Federal radiological assessment activities. DOE may respond 

with additional resources including the Aerial Measurement System (AMS) 

to provide wide-area radiation monitoring, Radiation Emergency Assistance 

Center/Training Site (REAC/TS) medical advisory teams, National 

Atmospheric Release Advisory Center (NARAC) support, or if the accident 

involves a U.S. nuclear weapon, the Accident Response Group (ARG). 

Federal and State agencies are encouraged to collocate their radiological 

assessment activities. Some participating Federal agencies have 

radiological planning and emergency responsibilities as part of their 

statutory authority, as well as established working relationships with State 

counterpart agencies. The monitoring and assessment activity, coordinated 

by DOE, does not alter these responsibilities but complements them by 

providing for coordination of the initial Federal radiological monitoring and 

assessment response activity. 

 Responsibility for coordinating radiological monitoring and assessment 

activities may transition to EPA at a mutually agreeable time, and after 

consultation with State, local, and tribal governments, the coordinating 

agency, and the JFO Coordination Group. 

Protective Action Recommendations 

Incidents of National 

Significance 

DHS and the coordinating agency oversee the development of Federal 

Protective Action Recommendations and provide advice and assistance to State, 

tribal, and local governments. Federal Protective Action Recommendations are 

developed by the Advisory Team, in conjunction with the coordinating agency. 

Federal Protective Action Recommendations may include advice and assistance 

on measures to avoid or reduce exposure of the public to radiation from a 

release of radioactive material. This includes advice on emergency actions such 

as sheltering, evacuation, and prophylactic use of potassium iodide. It also 

includes advice on long-term measures, such as restriction of food, temporary 

relocation, or permanent resettlement, to avoid or minimize exposure to residual 

radiation or exposure through the ingestion pathway. 

Other Radiological Incidents The coordinating agency, in consultation with the Advisory Team, develops and 

provides Protective Action Recommendations. 

Incidents of National 

Significance and Other 

Radiological Incidents 

State, local, and tribal governments are responsible for implementing protective 

actions as they deem appropriate. 
December 2004 Nuclear/Radiological Incident Annex NUC-15 

 National Response Plan 

Public Information Coordination 

Incidents of National 

Significance and Other 

Radiological Incidents 

DHS, in consultation with other agencies and the JFO Coordination Group 

oversees and manages the establishment of a Joint Information Center (JIC), if 

required. 

Other Radiological Incidents The coordinating agency may establish a JIC depending on the needs of the 

incident response. 

Incidents of National 

Significance and Other 

Radiological Incidents 

 Owners/operators and Federal, State, local, tribal, and other relevant 

information sources coordinate public information to the extent practical 

with the JIC. Communication with the public is accomplished in 

accordance with procedures outlined in the ESF #15 – External Affairs 

Annex and the Public Affairs Support Annex. 

 It may be necessary to release Federal information regarding public health 

and safety. In this instance, Federal agencies coordinate with the 

coordinating agency and State, local, and tribal governments in advance, or 

as soon as possible after the information is released. 

Congressional Coordination 

Incidents of National 

Significance 

DHS coordinates Federal responses to congressional requests for information. 

Points of contact for this function are the congressional liaison officers. All 

Federal agency congressional liaison officers and congressional staffs seeking 

site-specific information about an incident should contact the DHS Office of 

Legislative Affairs and the coordinating agency. While Congress may request 

information directly from any Federal agency, any agency responding to such 

requests shall inform DHS and the coordinating agency. 

Other Radiological Incidents The coordinating agency is responsible for congressional coordination, 

consulting with DHS as required. 

White House Coordination 

Incidents of National 

Significance 

DHS submits reports to the President and keeps the White House informed of 

all aspects of the incident. While the White House may request information 

directly from any Federal agency, any agency responding to such requests must 

promptly inform DHS and the coordinating agency. 

Other Radiological Incidents The coordinating agency is responsible for any necessary White House 

coordination, consulting with DHS as requested. Note that these actions can 

take place during the transition from response to recovery. 
NUC-16 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Deactivation/Demobilization Coordination 

Incidents of National 

Significance 

DHS and the coordinating agency, in consultation with the JFO Coordination 

Group and State, local, and tribal governments, develop plans to demobilize the 

Federal presence. 

Other Radiological Incidents The coordinating agency discontinues incident operations when a centralized 

Federal coordination presence is no longer required, or when its statutory 

responsibilities are fulfilled. Prior to discontinuing operations, the coordinating 

agency coordinates this decision with each Federal agency and State, local, and 

tribal governments. 

International Coordination 

Incidents of National 

Significance and Other 

Radiological Incidents 

 In the event of an actual or potential environmental impact upon the United 

States or its possessions, territories, or territorial waters from a radiological 

emergency originating on foreign soil or, conversely, a domestic incident 

with an actual or potential foreign impact, DHS and the coordinating 

agency immediately inform the Department of State (DOS), which is 

responsible for official interactions with foreign governments. In either 

case (foreign incident with domestic impact, or vice versa), the coordinating 

agency consults with DHS, and DHS makes a determination on whether it is 

an Incident of National Significance. DHS and the coordinating agency 

keep DOS informed of all Federal incident management activities. 

 DOS coordinates notification and information-gathering activities with 

foreign governments, except in cases where existing bilateral agreements 

permit direct communication. Where the coordinating agency has existing 

bilateral agreements that permit direct exchange of information, the 

coordinating agency keeps DOS informed of consultations with their 

foreign counterparts. DHS and the coordinating agency ensure that any 

offers of assistance to, or requests from, foreign governments are 

coordinated with DOS. 

 The National Oceanic and Atmospheric Administration is the point of 

interaction with the hydrometeorological services of other countries. 

International response activities are accomplished in accordance with the 

International Coordination Support Annex. 
December 2004 Nuclear/Radiological Incident Annex NUC-17 

 National Response Plan 

Victim Decontamination/Population Monitoring 

Incidents of National 

Significance and Other 

Radiological Incidents 

 External monitoring and decontamination of possibly affected victims are 

accomplished locally and are the responsibility of State, local, and tribal 

governments. Federal resources are provided at the request of, and in 

support of, the affected State(s). HHS, through ESF #8 and in consultation 

with the coordinating agency, coordinates Federal support for external 

monitoring of people and decontamination. 

 HHS assists and supports State, local, and tribal governments in performing 

monitoring for internal contamination and administering available 

pharmaceuticals for internal decontamination, as deemed necessary by State 

health officials. 

 HHS assists local and State health departments in establishing a registry of 

potentially exposed individuals, perform dose reconstruction, and conduct 

long-term monitoring of this population for potential long-term health 

effects. 

Other Federal Resource Support 

For Stafford Act or Federal-to-Federal support 

incidents, DHS/EPR/FEMA coordinates the 

provision of Federal resources and assistance to 

affected State, local, and tribal governments as part 

of the JFO Operations Section or other appropriate 

location established by DHS/EPR/FEMA. 

Recovery 

 For an Incident of National Significance, DHS 

coordinates overall Federal recovery activities, 

while the coordinating agency maintains 

responsibility for managing the Federal technical 

radiological cleanup activities in accordance 

with NRP mechanisms. 

 For all radiological incidents, the coordinating 

agency coordinates environmental 

remediation/cleanup in concert with cognizant 

State, local, and tribal governments, and 

owners/operators, as applicable. While retaining 

overall technical lead, a coordinating agency 

may require support from a cooperating agency 

that has significant cleanup/recovery experience 

and capabilities (e.g., EPA, U.S. Army Corps of 

Engineers (USACE)) for a long-term cleanup. 

The initial coordinating agency may request that 

the coordinating agency role be transitioned to a 

cooperating agency to manage long-term 

cleanup efforts. 

 State, local, and tribal governments primarily are 

responsible for planning the recovery of the 

affected area (the term “recovery,” as used here, 

encompasses any action dedicated to the 

continued protection of the public and 

resumption of normal activities in the affected 

area). Recovery planning is initiated at the 

request of the State, local, or tribal governments, 

and generally does not take place until the 

initiating conditions of the incident have 

stabilized and immediate actions to protect 

public health, safety, and property are 

accomplished. Upon request, the Federal 

government assists State, local, and tribal 

governments develop and execute recovery 

plans. 

 Private owners/operators have primary 

responsibility for recovery planning activities 

and eventual cleanup within their facility 

boundaries and may have responsibilities for 

recovery activities outside their facility under 

applicable legal obligations (e.g., contractual, 

licensee, CERCLA). 

 The DOE FRMAC Director works closely with 

the Senior EPA representative to facilitate a 

smooth transition of the Federal radiological 

monitoring and assessment coordination 

responsibility to EPA at a mutually agreeable 

time, and after consultation with DHS, the JFO 

Coordination Group, and State, local, and tribal 
NUC-18 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

governments. The following conditions are 

intended to be met prior to transfer: 

 The immediate emergency condition is 

stabilized; 

 Offsite releases of radioactive material have 

ceased, and there is little or no potential for 

further unintentional offsite releases; 

 The offsite radiological conditions are 

characterized and the immediate 

consequences are assessed; 

 An initial long-range monitoring plan has 

been developed in conjunction with the 

affected State, local, and tribal governments 

and appropriate Federal agencies; and 

 EPA has received adequate assurances from 

the other Federal agencies that they are 

committing the required resources, 

personnel, and funds for the duration of the 

Federal response. 

 Radiological monitoring and assessment 

activities are normally terminated when DHS, in 

consultation with the coordinating agency, other 

participating agencies, and State, local, and 

tribal governments, determines that: 

 There is no longer a threat to public health 

and safety or the environment; 

 State, local, and tribal resources are 

adequate for the situation; and 

 There is mutual agreement among the 

agencies involved to terminate monitoring 

and assessment. 

Federal Assets Available Upon Request by 

the Coordinating Agency or DHS 

Federal Radiological Monitoring and Assessment 

Center 

DOE is responsible for developing and maintaining 

FRMAC policies and procedures, determining 

FRMAC composition, and maintaining FRMAC 

operational readiness. The FRMAC is established at 

or near the incident location in coordination with 

DHS, the coordinating agency, other Federal 

agencies, and State, local, and tribal authorities. A 

FRMAC normally includes representation from 

DOE, EPA, the Department of Commerce, the 

National Communications System 

(DHS/IAIP/NCS), USACE, and other Federal 

agencies as needed. Regardless of who is designated 

as the coordinating agency, DOE, through the 

FRMAC or DOE CMHT and CMRT, coordinates 

radiological monitoring and assessment activities for 

the initial phases of the response. When the 

FRMAC is transferred to the EPA, they assume 

responsibility for coordination of radiological 

monitoring and assessment activities. 

Advisory Team for Environment, Food, and 

Health 

 The Advisory Team includes representatives 

from DHS, EPA, the Department of Agriculture 

(USDA), the Food and Drug Administration, the 

Centers for Disease Control and Prevention, and 

other Federal agencies. The Advisory Team 

develops coordinated advice and 

recommendations for DHS, the JFO 

Coordination Group, the coordinating agency, 

and State, local, and tribal governments 

concerning environmental, food health, and 

animal health matters. 

 The Advisory Team selects a chair for the Team. 

 The Advisory Team provides recommendations 

in matters related to the following: 

 Environmental assessments (field 

monitoring) required for developing 

recommendations with advice from State, 

local, and tribal governments and/or the 

FRMAC senior Monitoring Manager; 

 Protective Action Guides and their 

application to the emergency; 

 Protective Action Recommendations using 

data and assessment from the FRMAC; 

 Protective actions to prevent or minimize 

contamination of milk, food, and water, and 

to prevent or minimize exposure through 

ingestion; 
December 2004 Nuclear/Radiological Incident Annex NUC-19 

 National Response Plan 

 Recommendations regarding the disposition 

of contaminated livestock, poultry, and 

contaminated foods, especially perishable 

commodities (e.g., meat in processing 

plants); 

 Recommendations for minimizing losses of 

agricultural resources from radiation effects; 

 Availability of food, animal feed, and water 

supply inspection programs to assure 

wholesomeness; 

 Relocation, reentry, and other radiation 

protection measures prior to recovery; 

 Recommendations for recovery, return, and 

cleanup issues; 

 Health and safety advice or information for 

the public and for workers; 

 Estimated effects of radioactive releases on 

human health and the environment; and 

 Other matters, as requested by the 

coordinating agency. 

DOE Radiological Assistance Program, 

Emergency Management Teams, and Nuclear 

Incident Response Team Assets 

 RAP teams are located at DOE operations 

offices, national laboratories, and some area 

offices. They can be dispatched to a radiological 

incident by the DOE regional coordinating 

offices responding to a radiological incident. 

Additional DOE planning and response teams and 

capabilities are located at various DOE facilities 

throughout the country and can be dispatched, as 

needed, to a radiological incident. 
NUC-20 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Responsibilities 

American Red Cross (See the ESF #6 – Mass Care, Housing, and Human Services Annex for additional 

information.) Assesses the mass care consequences of a radiological incident, and in 

conjunction with State, local, and tribal (including private-sector) mass care 

organizations, develop and implement a sustainable short-term and long-term strategy 

for effectively addressing the consequences of the incident. 

Department of 

Agriculture 

(See the ESF #11 – Agriculture and Natural Resources Annex for additional 

information.) 

 Inspects meat and meat products, poultry and poultry products, and egg products 

identified for interstate and foreign commerce to ensure that they are safe for 

human consumption. 

 Assists, in conjunction with HHS, in monitoring the production, processing, 

storage, and distribution of food through the wholesale level to eliminate 

contaminated product or to reduce the contamination in the product to a safe level. 

 Collects agricultural samples within the Ingestion Exposure Pathway Emergency 

Planning Zone (through the FRMAC). Assists in the evaluation and assessment 

of data to determine the impact of the incident on agriculture. 

 Assesses damage to crops, soil, livestock, poultry, and processing facilities and 

incorporates findings in a damage assessment report. 

 Provides emergency communications assistance to the agricultural community 

through the State Research, Education, and Extension Services electronic mail, or 

other USDA telecommunications systems. 

 Supports/advises on decontamination and screening of pets and farm animals that 

may be exposed to radioactive material. 

 Assists in animal carcass disposal. 

Department of 

Commerce 

 Provides operational weather observations and prepares forecasts tailored to 

support emergency incident management activities. 

 Provides plume dispersion assessment and forecasts to the IMAAC and/or 

coordinating agency, in accordance with established procedures. 

 Archives, as a special collection, the meteorological data from national observing 

and numerical weather analysis and prediction systems applicable to the 

monitoring and assessment of the response. 

 Ensures that marine fishery products available to the public are not contaminated. 

 Provides assistance and reference material for calibrating radiological 

instruments. 

 Provides radiation shielding materials. 

 In the event of materials potentially crossing international boundaries, serves as 

the agent for informing international hydrometeorological services and associated 

agencies through the mechanisms afforded by the World Meteorological 

Organization. 

 Provides radioanalytical measurement support and instrumentation. 
December 2004 Nuclear/Radiological Incident Annex NUC-21 

 National Response Plan 

Department of Defense  Serves as a coordinating agency, as identified in Table 1, coordinating Federal 

actions for radiological incidents involving DOD facilities, including U.S. 

nuclear-powered ships, or material otherwise under their jurisdiction (e.g., 

transportation of material shipped by or for DOD). 

 Provides Defense Support of Civil Authorities (DSCA) in response to requests for 

assistance during domestic incidents. With the exception for support provided 

under Immediate Response Authority, the obligation of DOD resources to support 

requests for assistance is subject to the approval of the Secretary of Defense. 

Details regarding DSCA are provided in the NRP Base Plan. 

 Provides Immediate Response Authority under imminently serious conditions 

resulting from any civil emergency that may require immediate action to save 

lives, prevent human suffering, or mitigate great property damage. When such 

conditions exist and time does not permit prior approval from higher headquarters, 

local military commanders and responsible officials from DOD components and 

agencies are authorized by DOD directive, subject to any supplemental direction 

that may be provided by their DOD component, to take necessary action to 

respond to requests of civil authorities. All such necessary action is referred to as 

“Immediate Response.” 

Department of 

Defense/U.S. Army 

Corps of Engineers 

(See the ESF #3 – Public Works and Engineering Annex for additional information.) 

 Directs response/recovery actions as they relate to ESF #3 functions, including 

contaminated debris management. 

 For RDD/IND incidents, provides response and cleanup support as a cooperating 

agency. 

 Integrates and coordinates with other agencies, as requested, to perform any or all 

of the following: 

 Radiological survey functions; 

 Gross decontamination; 

 Site characterization; 

 Contaminated water management; and 

 Site remediation. 
NUC-22 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Department of Energy  Serves as a coordinating agency, as identified in Table 1, coordinating Federal 

actions for radiological incidents involving DOE facilities or material otherwise 

under their jurisdiction (e.g., transportation of material shipped by or for DOE). 

 Coordinates Federal offsite radiological environmental monitoring and assessment 

activities as lead technical organization in FRMAC (emergency phase), regardless 

of who is designated the coordinating agency. 

 Maintains technical liaison with State and local agencies with monitoring and 

assessment responsibilities. 

 Maintains a common set of all offsite radiological monitoring data in an 

accountable, secure, and retrievable form and ensures the technical integrity of 

FRMAC data. 

 Provides monitoring data and interpretations, including exposure rate contours, 

dose projections, and any other requested radiological assessments, to the 

coordinating agency and to the States. 

 Provides, in cooperation with other Federal agencies, the personnel and equipment 

to perform radiological monitoring and assessment activities, and provides onscene analytical capability supporting assessments. 

 Requests supplemental assistance and technical support from other Federal 

agencies as needed. 

 Arranges consultation and support services through appropriate Federal agencies 

to all other entities (e.g., private contractors) with radiological monitoring 

functions and capabilities and technical and medical expertise for handling 

radiological contamination and population monitoring. 

 Works closely with the Senior EPA representative to facilitate a smooth transition 

of the Federal radiological monitoring and assessment coordination responsibility 

to EPA at a mutually agreeable time and after consultation with the States and 

coordinating agency. 

 Provides, in cooperation with other Federal and State agencies, personnel and 

equipment, including portal monitors, to support initial external screening and 

provides advice and assistance to State and local personnel conducting 

screening/decontamination of persons leaving a contaminated zone. 

 Provides plume trajectories and deposition projections for emergency response 

planning assessments including source term estimates where limited or no 

information is available, including INDs and RDDs, to the IMAAC and/or 

coordinating agency, in accordance with established procedures. 

 Upgrades, maintains, coordinates, and publishes documentation needed for the 

administration, implementation, operation, and standardization of the FRMAC. 

 Maintains and improves the ability to provide wide-area radiation monitoring now 

resident in the AMS. 

 Maintains and improves the ability to provide medical assistance, advisory teams, 

and training related to nuclear/radiological accidents and incidents now resident in 

the REAC/TS. 
December 2004 Nuclear/Radiological Incident Annex NUC-23 

 National Response Plan 

Department of Energy 

(Continued) 

 Maintains and improves the ability to provide near-real time assessments of the 

consequences of accidental or potential radiation releases by modeling the 

movement of hazardous plumes, and to correct modeled results through 

integration of actual radiation measurements obtained from both airborne and 

ground sources, resident in the NARAC. The NARAC also maintains and 

improves their ability to model the direct results (blast, thermal, radiation, EMP) 

of a nuclear detonation. 

 Maintains and improves the first-response ability to assess an emergency situation 

and to advise decisionmakers on what further steps can be taken to evaluate and 

minimize the hazards of a radiological emergency resident in the RAP. 

 Maintains and improves the ability to respond to an emergency involving U.S. 

nuclear weapons resident in the ARG. 

 Maintains and improves the ability of the Consequence Management Planning 

Team, CMHT, and CMRTs to provide initial planning, coordination, and data 

collection and assessment prior to or in lieu of establishment of a FRMAC. 

 Maintains and improves the ability of the Nuclear/Radiological Advisory Team to 

provide advice and limited technical assistance, including search, diagnostics, and 

effects prediction, as part of a Domestic Emergency Support Team. 

 Maintains and improves the ability of the Search Response Teams to provide 

covert search capability using local support for initial nuclear search activities. 

 Maintains and improves the ability of the Joint Technical Operations Team to 

provide technical operations advisory support and advanced technical assistance 

to the Federal primary or coordinating agency, provide extended technical support 

to other deployed operations through an emergency response home team; perform 

nuclear safety reviews to determine safe-to-ship status before moving a weapon of 

mass destruction (WMD) to an appropriate disposal location; and accept custody 

of nuclear or radiological WMD on behalf of DOE and provide for the final 

disposition of these devices. 

 Maintains and improves the ability of Radiological Triage to determine through 

remote analysis of nuclear spectra collected on-scene if a radioactive object 

contains special nuclear materials. 

 Assigns a Senior Energy Official (SEO) for any response involving the 

deployment of the DOE/NNSA emergency response assets. The SEO is 

responsible for the coordination and employment of these assets at the scene of a 

radiological event, and the deployed assets will work in support of and under the 

direction of the SEO. 
NUC-24 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Department of Health 

and Human Services 

(See the ESF #8 – Public Health and Medical Services Annex for additional 

information.) 

 In conjunction with USDA, inspects production, processing, storage, and 

distribution facilities for human food and animal feeds that may be used in 

interstate commerce to ensure protection of the public health. 

 Collects samples of agricultural products to monitor and assess the extent of 

contamination as a basis for recommending or implementing protective actions 

(through the FRMAC). 

 Provides advice on proper medical treatment of the general population and 

response workers exposed to or contaminated by radioactive materials. 

 Provides available medical countermeasures through deployment of the Strategic 

National Stockpile. 

 Provides assessment and treatment teams for those exposed to or contaminated by 

radiation. 

 Provides advice and guidance in assessing the impact of the effects of radiological 

incidents on the health of persons in the affected area. 

 Manages long-term public monitoring and supports follow-on personal data 

collection, collecting and processing of blood samples and bodily fluids/matter 

samples, and advice concerning medical assessment and triage of victims. Tracks 

victim treatment and long-term health effects. 

Department of 

Homeland 

Security/Emergency 

Preparedness and 

Response/Federal 

Emergency 

Management Agency 

 Serves as the annex coordinator for this annex. 

 In consultation with the coordinating agency, coordinates the provision of Federal 

resources and assistance to affected State, local, and tribal governments under the 

Stafford Act or Federal-to-Federal support provisions of the NRP. 

 Monitors the status of the Federal response to requests for assistance from the 

affected State(s) and provides this information to the State(s). 

 Keeps the coordinating agency informed of requests for assistance from the 

State(s) and the status of the Federal response. 

 Identifies and informs Federal agencies of actual or apparent omissions, 

redundancies, or conflicts in response activity. 

 Establishes and maintains a source of integrated, coordinated information about 

the status of all nonradiological resource support activities. 

 Provides other support to Federal agencies responding to the emergency. 

Department of 

Homeland 

Security/National 

Communications 

System 

(See the ESF #2 – Communications Annex for additional information.) 

Acting through its operational element, the National Coordinating Center for 

Telecommunications (NCC), the NCS ensures the provision of adequate 

telecommunications support to Federal radiological incident response operations. 

Department of 

Homeland 

Security/Science and 

Technology 

(See the Science and Technology Support Annex for additional information.) 

Provides coordination of Federal science and technology resources as described in the 

Science and Technology Support Annex. This includes organization of Federal S&T 

support as well as assessment and consultation in the form of Scientific and Technical 

Advisory and Response Teams (STARTs) and the IMAAC. 
December 2004 Nuclear/Radiological Incident Annex NUC-25 

 National Response Plan 

Department of 

Homeland 

Security/Customs and 

Border Protection 

(DHS/CBP) 

 For incidents at the border, maintains radiation detection equipment and 

nonintrusive inspection technology at ports of entry and Border Patrol checkpoints 

to detect the presence of radiological substances transported by persons, cargo, 

mail, or conveyance arriving from foreign countries. 

 Through its National Targeting Center, provides extensive analytical and targeting 

capabilities to identify and interdict terrorists and WMD. 

 The CBP Weapons of Mass Destruction Teleforensic Center provides 24/7 

support to DHS/CBP and other Federal law enforcement personnel in the 

identification of suspect hazardous material. 

 The CBP Laboratory and Scientific Services staffs WMD Response Teams in 

strategic locations nationwide. 

 Through the Container Security Initiative, DHS/CBP personnel are stationed at 

major foreign seaports in order to detect and prevent the transport of WMD on 

container vessels destined to the U.S. 

 Has extensive authority and expertise regarding the entry, inspection, and 

admissibility of persons, cargo, mail, and conveyances arriving from foreign 

countries. 

Department of 

Homeland 

Security/U.S. Coast 

Guard 

 Serves as coordinating agency for incidents that occur in certain areas of the 

coastal zone, as identified in Table 1. 

 “Certain areas of the coastal zone,” for the purposes of this document, means the 

following areas of the coastal zone as defined by the NCP: 

 Vessels, as defined in 33 CFR 160; 

 Areas seaward of the shoreline to the outer edge of the Economic Exclusion 

Zone; and 

 Within the boundaries of the following waterfront facilities subject to the 

jurisdiction of DHS/USCG; those regulated by 33 CFR 126 (Dangerous cargo 

handling), 127 (LPG/LNG), 128 (Passenger terminals), 140 (Outer 

Continental Shelf Activities), 1541-56 (Waterfront portions of Oil & Hazmat 

bulk transfer facilities – delineated as per the NCP), 105 (Maritime security - 

facilities). 

EPA is the coordinating agency for responses in areas of the coastal zone other 

than those defined above as certain areas of the coastal zone. 

 For incidents that have cross-boundary impacts, works with the other affected 

agency to determine how best to cooperatively respond consistent with the NCP 

model. 

 Serves as the coordinating agency for these incidents only during the prevention 

and emergency response phase, and transfers responsibility for later response 

phases to the appropriate agency, consistent with the NCP. 

 Because of its unique maritime jurisdiction and capabilities, is prepared to provide 

appropriate security, command and control, transportation, and support to other 

agencies that need to operate in the maritime domain. 
NUC-26 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Department of Housing 

and Urban 

Development 

 Reviews and reports on available housing for disaster victims and displaced 

persons. 

 Assists in planning for and placing homeless victims in available housing 

 Provides staff to support emergency housing within available resources. 

 Provides housing assistance and advisory personnel. 

Department of the 

Interior (DOI) 

 Advises and assists in evaluating processes affecting radioisotopes in soils, 

including personnel, equipment, and laboratory support. 

 Advises and assists in the development of geographic information systems 

databases to be used in the analysis and assessment of contaminated areas, 

including personnel and equipment. 

 Advises and assists in assessing and dealing with impacts to natural resources, 

including fish and wildlife, subsistence uses, public lands, Indian tribal lands, land 

reclamation, mining, minerals, and water resources. Further guidance is provided 

in the Tribal Relations Support Annex and the ESF #11 – Agriculture and Natural 

Resources Annex. 

 Provides liaison between federally recognized tribal governments and Federal, 

State, and local agencies for coordination of response activities. Additionally, 

DOI advises and assists DHS on economic, social, and political matters in the 

U.S. insular areas should a radiological incident occur in these areas. 

Department of 

Justice/Federal Bureau 

of Investigation 

Coordinates all law enforcement and criminal investigative response to acts of 

terrorism, to include intelligence gathering, hostage negotiations, and tactical 

operations. Further details regarding the FBI response are outlined in the Terrorism 

Incident Law Enforcement and Investigation Annex. 

Department of 

Labor/Occupational 

Safety and Health 

Administration 

Provides advice and technical assistance to DHS, the coordinating agency, and State, 

local, and tribal governments concerning the health and safety of response workers 

implementing the policies and concepts in this annex. 

Department of State  Coordinates foreign information-gathering activities and all contacts with foreign 

governments, except in cases where existing bilateral agreements permit direct 

agency-to-agency cooperation. 

 Conveys the U.S. Government response to foreign offers of assistance. 

Department of 

Transportation 

(See the ESF #1 – Transportation Annex for further information.) 

Provides technical advice and assistance on the transportation of radiological 

materials and the impact of the incident on the transportation infrastructure. 

Department of 

Veterans Affairs 

 Provides medical assistance using the Medical Emergency Radiological Response 

Team. 

 Provides temporary housing. 
December 2004 Nuclear/Radiological Incident Annex NUC-27 

 National Response Plan 

Environmental 

Protection Agency 

(See the Hazardous Materials Incident Annex for additional information.) 

 Serves as a coordinating agency, as identified in Table 1. 

 Provides resources, including personnel, equipment, and laboratory support 

(including mobile laboratories) to assist DOE in monitoring radioactivity levels 

in the environment. 

 Assumes coordination of Federal radiological monitoring and assessment 

responsibilities after the transition from DOE. 

 Assists in the development and implementation of a long-term monitoring plan 

and long-term recovery plan. 

 Provides nationwide environmental monitoring data from the Environmental 

Radiation Ambient Monitoring Systems for assessing the national impact of the 

incident. 

 Develops Protective Action Guides in coordination with the FRPCC. 

 Recommends protective actions and other radiation protection measures. 

 Recommends acceptable emergency levels of radioactivity and radiation in the 

environment. 

 Prepares health and safety advice and information for the public. 

 Estimates effects of radioactive releases on human health and the environment. 

 Provides response and recovery actions to prevent, minimize, or mitigate a threat 

to public health, safety, or the environment caused by actual or potential releases 

of radioactive substances, including actions to detect, identify, contain, clean up, 

and dispose of such substances. 

 Assists and supports the NIRT, when activated. 

 Provides, in cooperation with other Federal agencies, the law enforcement 

personnel and equipment to conduct law enforcement operations and 

investigations for nuclear/radiological incidents involving criminal activity that 

are not terrorism related. 

General Services 

Administration 

(See the ESF #7 – Resource Support Annex for additional information.) 

National Aeronautics 

and Space 

Administration 

Serves as a coordinating agency, as identified in Table 1. 
NUC-28 Nuclear/Radiological Incident Annex December 2004 

 National Response Plan 

Nuclear Regulatory 

Commission 

 Serves as a coordinating agency, as identified in Table 1. 

 Provides technical assistance to include source term estimation, plume dispersion, 

and dose assessment calculations. 

 Provides assistance and recommendations concerning protective action measures 

as coordinating agency. 

 Provides assistance in Federal radiological monitoring and assessment activities. 

 For an incident at a facility licensed by the NRC or an Agreement State, or 

involving Atomic Energy Act licensed material: 

 The licensee takes action to mitigate the consequences of the incident and 

provides appropriate protective action recommendations to State, local, and tribal 

officials; 

 The NRC: 

 Performs an independent assessment of the incident and potential offsite 

consequences and, as appropriate, provides recommendations concerning any 

protective measures; 

 Performs oversight of the licensee, to include monitoring, evaluation of 

protective action recommendations, advice, assistance, and, as appropriate, 

direction; and 

 Dispatches, if appropriate, an NRC site team of technical experts to the 

licensee’s facility. 

 Under certain situations involving the protection of public health/safety or 

national security, the NRC may take possession of special nuclear materials 

and/or operate certain facilities regulated by the NRC. 
December 2004 Oil and Hazardous Materials Annex OHM-1 

 National Response Plan 

Oil and Hazardous Materials Incident Annex 

Coordinating Agencies: 

Environmental Protection Agency 

Department of Homeland Security/U.S. Coast 

Guard 

Cooperating Agencies: 

Department of Agriculture 

Department of Commerce 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of the Interior 

Department of Justice 

Department of Labor 

Department of State 

Department of Transportation 

General Services Administration 

Nuclear Regulatory Commission 

Introduction

Purpose 

This annex describes roles, responsibilities, and 

coordinating mechanisms for managing certain oil 

and hazardous materials1

 pollution incidents that are 

determined to be Incidents of National Significance. 

This annex addresses those oil and hazardous 

materials Incidents of National Significance that are 

managed through concurrent implementation of the 

National Response Plan (NRP) and the NCP,2

 but 

are not Emergency Support Function (ESF) #10 – 

Oil and Hazardous Materials Response activations. 

Procedures for oil and hazardous material Incidents 

of National Significance for which ESF #10 is 

activated are addressed in the ESF #10 Annex. 

Scope 

 The NCP provides the organizational structure 

and procedures for Federal response to releases 

of oil and hazardous materials in the United 

 

1

 For the purposes of this annex, “hazardous materials” is a 

general term intended to mean hazardous substances, pollutants, 

and contaminants as defined by the National Oil and Hazardous 

Substances Pollution Contingency Plan (NCP). 2

 Found at 40 CFR part 300. The establishment of the NCP is 

required by section 105 of the Comprehensive Environmental 

Response, Compensation, and Liability Act (CERCLA), as 

amended, and by section 311(d) of the Clean Water Act, as 

amended by the Oil Pollution Act of 1990. 

States and its territories, accidental or 

intentional. The NCP addresses incident 

prevention, planning, response, and recovery. 

The hazardous materials addressed under the 

NCP include certain substances considered 

weapons of mass destruction (i.e., chemical 

agents, biological agents, and radiological/ 

nuclear material). 

 The NCP establishes structures at the national, 

regional, and local levels that are used to 

respond to thousands of incidents annually that 

never rise to the level of an Incident of National 

Significance. When an Incident of National 

Significance does occur, these NCP structures 

remain in place to provide hazard-specific 

expertise and support. This annex describes 

how the NCP structures work with NRP 

coordinating structures during Incidents of 

National Significance. 
OHM-2 Oil and Hazardous Materials Annex December 2004 

 National Response Plan 

Policies 

 It is expected that most Incidents of National 

Significance involving oil and hazardous 

materials are managed through an ESF #10 

activation, but it is possible that an Incident of 

National Significance involving oil and 

hazardous materials could occur for which ESF 

#10 would not be activated. 

 Some oil and hazardous materials incident 

responses may be initiated under the NCP alone, 

or under this annex as an Incident of National 

Significance, then transition to ESF #10 after a 

Stafford Act declaration is made (or after ESF 

#10 is activated via the NRP Federal-to-Federal 

support mechanism). Federal On-Scene 

Coordinators (OSCs) have independent authority 

under the NCP to respond to an oil or hazardous 

materials incident and may initiate initial 

response activities before the Department of 

Homeland Security (DHS) determines whether 

the incident is an Incident of National 

Significance and/or the President declares a 

Stafford Act major disaster or emergency. 

 NCP structures and response mechanisms 

remain in place during an Incident of National 

Significance involving an actual or potential 

release of oil or hazardous materials, and 

coordinate with NRP mechanisms as described 

in this annex. 

 Under the NCP, the OSC conducts response 

activities from the Incident Command Post 

(ICP) level. A Unified Command may be 

established with Federal, State, local, and/or 

tribal authorities, as appropriate. State, local, 

and/or tribal authorities are typically the initial 

responders to an oil or hazardous materials 

incident. 

 The NCP provides that the Environmental 

Protection Agency (EPA) or U.S. Coast Guard 

(DHS/USCG) may classify an oil discharge as a 

Spill of National Significance (SONS). For a 

SONS, EPA or DHS/USCG may name a “senior 

Agency official” (EPA) or National Incident 

Commander (DHS/USCG) who assists the OSC, 

or assumes certain functions of the OSC, 

respectively (e.g., communicating with the 

affected parties and public, coordinating 

resources at the national level). EPA and 

DHS/USCG maintain authority for classifying a 

discharge a SONS. DHS maintains authority for 

classifying an incident an Incident of National 

Significance. A SONS may or may not be an 

Incident of National Significance, depending on 

the determination of DHS. Further, DHS may 

determine that an NCP response that is not a 

SONS nevertheless rises to the level of an 

Incident of National Significance. 

 Hazardous materials addressed under the NCP 

include certain biological and radiological 

substances. The Biological and 

Nuclear/Radiological Incident Annexes may 

therefore be implemented simultaneously with 

this annex for an Incident of National 

Significance. The Biological and 

Nuclear/Radiological Incident Annexes describe 

additional procedures and Federal agency 

responsibilities for biological and 

radiological/nuclear incidents that are not 

addressed in this annex, and are used in 

conjunction with this annex when applicable. 

 NCP provisions are summarized in this annex 

for purposes of brevity. The references in this 

annex to NCP provisions are not intended to 

change NCP requirements or interpretations. 

 Nothing in the NRP alters or impedes the ability 

or authorities of designated Federal officials to 

carry out their duties under the NCP or to 

coordinate directly with their agency in 

execution of these duties. 

 An Incident of National Significance involving 

oil or hazardous materials that is a result of a 

criminal act or results in a criminal act, but is not 

an act of terror, is investigated by EPA Special 

Agents assigned to the EPA Criminal 

Investigation Division (CID) in coordination 

with the Federal OSC and Senior Federal 

Official (SFO). In this case, the EPA CID 

Special Agent in Charge of the local Area Office 

serves as the Senior Federal Law Enforcement 

Official in the Joint Field Office (JFO) 

Coordination Group. 
December 2004 Oil and Hazardous Materials Annex OHM-3 

 National Response Plan 

Concept of Operations 

Coordination Structures: Figure 1 lists the coordinating mechanisms in the NRP along with parallel, but not 

necessarily equivalent, structures in the NCP. The key NCP structures are described further below. The sections 

that follow summarize the coordination between NRP and NCP structures during Incidents of National 

Significance. 

FIGURE 1. NRP coordinating mechanisms and hazard-specific NCP structures 

* EPA regional emergency operations centers are called Regional Response Centers. 

NCP National Response Team (NRT): Under the 

NCP, the NRT coordinates a program of 

preparedness, planning, and response to oil and 

hazardous materials incidents at the local, regional, 

and national levels; facilitates research to improve 

response activities; and provides assistance for 

responses to specific incidents as needed. The NRT 

is composed of 16 Federal agencies with 

responsibilities and capabilities in preparedness, 

planning, and response to oil and hazardous 

materials incidents. On a day-to-day basis, the EPA 

is the Chair of the NRT, and DHS/USCG serves as 

the Vice Chair. 

During an incident, the NRT Chair transitions to the 

member agency that provides the Federal OSC for 

that incident. The NRT may be activated for an 

incident to: 

 Monitor and evaluate reports from the OSC and 

recommend actions, through the Regional 

Response Team (RRT), to address the spill; 

 Request other Federal, State, local, and tribal 

governments or private agencies to provide 

resources; and 

 Coordinate the supply of equipment, personnel, 

or technical advice to the affected region from 

other regions or districts. 

NCP Regional Response Teams: The NCP also 

establishes 13 RRTs to coordinate preparedness, 

planning, and response at the regional level, and 

requires Area Committees composed of local, tribal, 

State, Federal, and private-sector responders to 

coordinate preparedness and planning at the local 

level. The NCP cross-references provisions of the 

Emergency Planning and Community Right-toKnow Act (EPCRA) that require establishment of 

State Emergency Response Commissions (SERCs) 

and Local Emergency Planning Committees 

(LEPCs). Through regulation, EPA has designated 

federally recognized tribes as Tribal Emergency 

Response Commissions (TERCs) with the same 

responsibilities as States in implementing EPCRA. 

LEPCs prepare local hazardous materials emergency 

plans, coordinating their local area planning 

activities with SERCs and TERCs. RRTs, SERCs, 

TERCs, and LEPCs should keep each other apprised 

of, and coordinate, their activities. Each Area 

Committee, in consultation with the SERCs, TERCs, 

and LEPCs, develops an Area Contingency Plan 

(ACP) for its designated area. 

NATIONAL REGIONAL FIELD ON-SCENE

N

R

P 

Interagency 

Incident 

Mgmt 

Group 

Homeland 

Security 

Ops Center 

Regional 

Response 

Coordination 

Center 

Principal 

Federal 

Official 

Joint 

Field 

Office 

JFO 

Coordination 

Group 

N/A 

Incident 

Command 

Post 

N

C

P 

National 

Response 

Team 

EPA or 

DHS/USCG 

HQ 

Emergency 

Ops Center 

Regional EPA or 

DHS/USCG 

Emergency Ops 

Center* 

EPA or 

DHS/USCG 

Senior 

Federal 

Official 

N/A 

Regional 

Response 

Team 

Federal 

On-Scene 

Coordinator 

Incident 

Command 

Post 
OHM-4 Oil and Hazardous Materials Annex December 2004 

 National Response Plan 

On a day-to-day basis, EPA and DHS/USCG cochair the RRT. When activated in support of an 

incident, the RRT Chair transitions to the member 

agency that provides the Federal OSC for that 

incident. During an incident, the RRTs coordinate 

with the NRT and provide support to the Federal 

OSC. RRTs: 

 Monitor and evaluate reports from the Federal 

OSC and make recommendations to address the 

spill; 

 Request other Federal, State, local, and tribal 

governments or private agencies to provide 

resources; 

 Help prepare information releases for the public 

and for communication with the NRT; and 

 Make recommendations, if needed, to the 

regional or district head of the agency providing 

the Federal OSC to designate a different Federal 

OSC. 

NCP On-Scene Coordinators: The NCP outlines 

the responsibility of the pre-designated Federal 

OSCs to determine the need for Federal response, 

direct response efforts, and coordinate all other 

efforts at the scene of a discharge or release in 

accordance with existing delegations of authority. 3 

OSCs carry out their duties from the ICP. For oil 

discharges, depending on the location, the agency 

providing the Federal OSC is either EPA or 

DHS/USCG. For hazardous substance emergencies, 

the agency providing the Federal OSC may be EPA, 

DHS/USCG, the Department of Energy (DOE), or 

the Department of Defense (DOD), depending on the 

source and location of the release. Other Federal 

agencies provide Federal OSCs for hazardous 

substance removal actions that are not emergencies. 

This arrangement is summarized in the figures 

below. Under CERCLA section 106 and Clean 

Water Act section 311, EPA and DHS/USCG may 

also issue administrative orders to compel 

responsible parties to respond. (Certain other 

agencies also have order authority in certain 

circumstances.) 

 

3 See Title 40 CFR, part 300, sections 105, 120, 130, 135, 305, 

322, and 415 in particular.

FIGURE 2. Federal On-Scene Coordinator 

for oil spills 

Incident Location Federal OSC

Inland Zone EPA 

Coastal Zone DHS/USCG 

FIGURE 3. Federal On-Scene Coordinator 

for CERCLA incidents 

Incident 

Location/Source 

Federal 

OSC for 

Emergency 

Phase 

Federal OSC for 

Non-Emergency 

Removal and 

Remediation 

Inland Zone EPA EPA 

Coastal Zone DHS/USCG 

EPA (non-vessel 

incidents) 

DHS/USCG 

(vessel incidents) 

DOD Vessel, 

Facility, 

Weapons/Munitions 

DOD DOD 

DOE Facility, 

Vessel DOE DOE 

Other Federal 

Facility 

EPA or 

DHS/USCG 

Individual Federal 

agency 

responsible for 

facility 

NCP National Response Center: While not 

depicted in Figure 1, the NCP requires that oil and 

hazardous materials releases be reported to the 

National Response Center, operated by DHS/USCG 

for the NCP National Response System (NRS). 

Response Actions 

Notification and Assessment: Under the NCP, the 

National Response Center receives notification of 

releases of oil and hazardous materials. The 

National Response Center immediately forwards the 

incident report to the appropriate pre-designated 

Federal OSC, the appropriate State, and other 

Federal entities (as previously arranged). The 

Federal OSC assesses the incident to determine the 

need for a Federal NCP response. The National 

Response Center also provides incident reports to 

the Homeland Security Operations Center (HSOC), 

and DHS assesses the incident to determine if it is an 

Incident of National Significance. 
December 2004 Oil and Hazardous Materials Annex OHM-5 

 National Response Plan 

If the OSC determines that an incident is of a 

magnitude or complexity or involves national 

interests that may warrant declaration of an Incident 

of National Significance, the OSC reports the 

situation and recommendations through his/her 

regional or district management to the appropriate 

headquarters emergency response program manager, 

who notifies the HSOC and provides a 

recommendation to DHS. (This notification does 

not delay OSC response to the incident.) 

Response Coordination: Upon DHS declaration of 

an Incident of National Significance involving oil or 

hazardous materials (for which ESF #10 is not 

activated) and/or notification of DHS’s activation of 

any of the following mechanisms, the NCP 

structures coordinate with NRP components as 

follows: 

Headquarters-Level Coordination 

Interagency Incident Management Group 

(IIMG): The NRT continues to function as 

provided under the NCP, but coordinates its 

activities with the IIMG when activated by DHS for 

the incident. The NRT Chair works with DHS 

during the incident to establish appropriate 

mechanisms for IIMG/NRT coordination. The NRT 

may also send a liaison to the IIMG to facilitate 

IIMG/NRT interactions, synchronize efforts, and 

avoid redundant or conflicting activities. In this 

case, the NRT liaison and NRT Chair work together 

to coordinate IIMG/NRT interactions. For an 

incident involving oil or hazardous materials, the 

key NRT agencies involved in the incident also are 

likely to have agency representatives on the IIMG. 

Under the NCP, interagency issues that are not 

resolved by the OSC at the ICP level generally are 

referred first to the appropriate RRT agency 

representatives for resolution. If not resolved at the 

regional level, they are elevated to the NRT for 

consideration. NRT representatives may elevate the 

issues to higher level agency representatives for 

resolution as needed. For NCP incidents for which 

DHS activates the IIMG, the NRT Chair and/or NRT 

liaison makes arrangements to coordinate 

headquarters-level issues with the IIMG and 

provides NRT input to the IIMG as necessary. The 

NRT may be called upon to provide subject-matter 

expertise in oil/hazardous materials responses to the 

IIMG. The NRT may also be called upon to provide 

input to the Homeland Security Council or other 

White House entities, through the IIMG. 

Homeland Security Operations Center: EPA or 

DHS/USCG, depending upon which agency is 

responsible for the incident, uses its headquarters 

emergency operations center (EOC) to coordinate 

and manage national-level support. The NRT also 

uses the primary agency’s EOC to coordinate its 

activities. While incident reports generally flow to 

the HSOC from the JFO once a JFO is established, 

the EPA or DHS/USCG EOC also keeps the HSOC 

apprised of incident management efforts. EPA, 

DHS/USCG, and other appropriate NRT agencies 

also provide representatives at the HSOC to support 

the coordination of information regarding NCP 

activities. 

National Response Coordination Center (NRCC): 

Because this annex addresses oil and hazardous 

materials Incidents of National Significance that do 

not require the support of the ESF structure, it is 

unlikely that DHS will utilize the NRCC for such 

incidents. Under this annex, Federal resources are 

generally expected to be activated using NCP 

mechanisms, such as the RRTs and NRT. 

As noted earlier, it is possible under this annex that 

the EPA or DHS/USCG could request additional 

Federal assistance from DHS via the NRP Federalto-Federal support mechanism to obtain support not 

otherwise readily available under the NCP. In that 

case, if support from other agencies is significant, 

DHS may utilize the NRCC. EPA or DHS/USCG, 

as appropriate, as well as the agencies that are 

activated via the Federal-to-Federal support 

mechanisms, then provide representatives to the 

NRCC to provide information and coordinate 

activities at the national level. 

Interagency Modeling and Atmospheric 

Assessment Center (IMAAC): The IMAAC is an 

interagency center responsible for the production, 

coordination, and dissemination of consequence 

predictions for an airborne hazardous material 

release. The IMAAC generates the single Federal 

prediction of atmospheric dispersions and their 

consequences utilizing the best available resources 

from the Federal Government. 
OHM-6 Oil and Hazardous Materials Annex December 2004 

 National Response Plan 

Regional-Level Coordination 

Regional Response Coordination Center 

(RRCC): If DHS activates the RRCC, EPA or 

DHS/USCG and other agencies as appropriate 

provide representatives to aid in coordination of 

regional support efforts. Once established, the JFO 

is the focal point for multiagency coordination, and 

the RRCC plays a support role. 

Field-Level Coordination 

Principal Federal Official (PFO): When a PFO is 

designated for an oil or hazardous materials incident, 

the agency providing the Federal OSC designates an 

SFO to work in coordination with the PFO at the 

JFO (or alternative location if a JFO is not 

established). The OSC continues to conduct his/her 

activities at the ICP. The OSC, SFO, and other 

responding agency representatives provide their full 

and prompt cooperation, resources, and support, as 

appropriate and consistent with applicable 

authorities. The SFO coordinates with the PFO on 

activities such as providing incident information to 

the PFO as requested, coordinating the public 

communications strategy with the PFO and DHS 

Public Affairs, and clearing Federal interagency 

communications to the public through the PFO. It is 

recognized, however, that in some cases, it may be 

necessary for responding OSCs to communicate 

with the media/public on tactical operations and 

matters affecting public health and safety from the 

scene, particularly during the early stages of the 

emergency response, in accordance with their 

responsibilities under the NCP. When established 

for a response, the Joint Information Center 

coordinates public communications among the 

agencies and between the ICP and JFO. 

Joint Field Office: During Incidents of National 

Significance, a JFO may be established as a 

multiagency coordination center to provide support 

to the on-scene ICP. For oil and hazardous materials 

Incidents of National Significance that do not 

involve Stafford Act declarations or terrorist 

incidents, a JFO may not be necessary. The decision 

to establish a JFO is made by DHS on a case-bycase basis. The SFO confers with the PFO and other 

agency representatives regarding the establishment 

of a JFO. If an Area Command has been 

established, the JFO may be collocated with the 

Area Command. If neither a JFO nor Area 

Command is warranted, the PFO and PFO staff may 

be collocated with the ICP. 

When a JFO is established, the JFO Coordination 

Group includes the PFO; the SFO from the agency 

providing the Federal OSC; State, local, and tribal 

officials; and, when applicable, a representative from 

the owners or operators responsible for the release. 

If other ESFs are activated to provide Federal-toFederal support, a Federal Resource Coordinator 

(FRC) is also be part of the JFO Coordination 

Group. When a full JFO is warranted for an incident 

under this annex, Figure 4 illustrates the JFO 

organization. 

During a SONS in DHS/USCG jurisdiction, 

DHS/USCG may establish an Area Command 

structure, known as a Regional Incident Command 

(RIC) or National Incident Command (NIC) 

depending on the level of coordination needed. The 

RIC/NIC organization is responsible for 

coordinating strategic direction and allocation of 

resources to support the Federal OSC with senior 

government officials. During an Incident of 

National Significance, the RIC/NIC coordinates its 

activities with the JFO, and the JFO would likely 

collocate with the RIC/NIC. 

During an Incident of National Significance, the 

RRTs coordinate with the NRT and provide support 

to the OSC. The SFO coordinates RRT activities 

with the JFO as appropriate, and the RRTs support 

the JFO as requested. If an FRC is assigned to 

coordinate Federal-to-Federal support for the 

oil/hazardous materials response from other 

agencies, and the RRT is coordinating NCP support 

from NRT organizations, the SFO ensures that the 

RRT coordinates its activities with the FRC. 
December 2004 Oil and Hazardous Materials Annex OHM-7 

 National Response Plan 

FIGURE 4. JFO organization for oil and hazardous materials Incidents of National Significance 

On-Scene-Level Coordination 

Under the NCP, Federal OSCs determine the need 

for Federal response and have the authority to direct 

response efforts and coordinate all other efforts at 

the scene of a discharge or release in accordance 

with existing delegations of authority. The OSC 

generally joins an ICP already established by local 

authorities or designates an ICP at the site in 

accordance with the local ACP, and conducts 

activities from that ICP under a Unified Command. 

OSC efforts are coordinated with other appropriate 

Federal, State, local, tribal, and private response 

mechanisms through Incident Command System 

mechanisms. The OSC carries out his/her 

responsibilities outlined in the NCP and coordinates 

activities with the JFO Coordination Group. 

Typically, the OSC communicates with the SFO at 

the JFO, and the SFO coordinates with the PFO and 

FCO/FRC. The ICP Unified Command 

communicates with the JFO Coordination Group. 

Existing NRT agency-delegated decisionmaking and 

contracting authorities remain in place, and the OSC 

and other NCP agency representatives continue to 

report through chains of command established by 

their respective agencies. 

An Area Command(s) may also be established for 

multiple-site incidents, which would be a Unified 

Area Command for multijurisdictional responses. If 

established, Federal agencies in the Area Command 

coordinate their activities with the JFO Coordination 

Group. Typically, Federal Area Command 

personnel communicate with their designated SFO 

in the JFO, and the SFO coordinates with the PFO 

and FCO/FRC. The Unified Area Command 

coordinates with the JFO Coordination Group. 

Continuing Actions: Operational response 

phases are described in detail in the family of plans 

that include the NCP, Regional Contingency Plans 

(RCPs), and ACPs. In addition to the initial 

response actions of discovery, notification, and 

preliminary assessment, continuing response actions 

include: containment, countermeasures, 

decontamination, cleanup, and disposal; and 

documentation and cost recovery. 

These plans also describe the national response 

priorities, general pattern of response, response to 

substantial threats to public health and welfare, 

SONSs, response to worst-case discharges, funding, 

and the roles of and coordination and consultation 

with natural resources trustees. 

(Branches and sub-units established as needed) 

Operations Section Planning Section Logistics Section Finance and Admin 

Section (Compt) 

JFO Coordination 

Group 

JFO Coordination 

Staff 

JFO Sections 

Note: An FRC is present if 

ESFs are activated, and 

represents the DHS 

Secretary if a PFO is not 

assigned. 

Federal 

Resource 

Coordinator 

State/Tribal/Local 

Official(s) 

Senior Federal 

Official 

Chief of Staff External Affairs 

----------------------- 

Safety Coordinator 

Liaison Officer(s)

Infrastructure Liaison

Others as needed 

Defense Coordinating 

Officer

Office of Inspector 

General

Principal Federal Official 
OHM-8 Oil and Hazardous Materials Annex December 2004 

 National Response Plan 

Hazard-Specific Planning and Preparedness

Planning and preparedness for oil and hazardous 

materials incidents under the NCP involves Federal, 

State, tribal, and local governments; industry; the 

private sector; and bordering countries. Planning 

and preparedness is performed at the national, 

regional, and local levels, and incorporates 

stakeholder outreach and engagement at each level. 

The responsibilities for planning at each level are 

described in the NCP as follows: 

 National Planning: National planning and 

coordination for oil and hazardous materials 

incidents is accomplished through the NRT as 

described in 40 CFR 300.110 – National 

Response Team. The NRT coordinates with the 

DHS Emergency Support Function Leaders 

Group for planning activities related to 

concurrent implementation of the NRP and 

NCP. 

 Regional Planning: Regional planning and 

coordination of preparedness and response 

actions is accomplished through the RRTs as 

described in 40 CFR 300.115 – Regional 

Response Team. The RRTs coordinate with the 

DHS Regional Interagency Steering Committees 

for planning activities related to concurrent 

implementation of the NRP and NCP. 

 Local Planning: As required by section 311(j) 

of the Clean Water Act, under direction of the 

Federal OSC for its area, Area Committees 

comprising qualified personnel of Federal, State, 

and local agencies are responsible for preparing 

Area Contingency Plans as described in 40 CFR 

Subpart C – Planning and Preparedness. Also, 

as provided by sections 301 and 303 of title III 

of the Emergency Planning and Community 

Right to Know Act of 1986, the SERC, 

appointed by the Governor, is to designate 

emergency planning districts, appoint LEPCs, 

supervise and coordinate their activities, and 

review local emergency response plans, which 

are described in the Emergency Planning and 

Community Right-To-Know Act of 1986 and 40 

CFR 300.215 – Title III local comprehensive 

emergency plans. 

Figure 5 shows the relationship of the plans under 

the National Response System and their supporting 

relationship with the National Response Plan. 

FIGURE 5. Relationship of response plans under the NRS and coordination with the NRP 

Offshore Facility 

Response Plans 
December 2004 Oil and Hazardous Materials Annex OHM-9 

 National Response Plan 

Responsibilities 

Environmental Protection Agency and 

Department of Homeland Security/U.S. 

Coast Guard 

Responsibilities under the NCP include: 

 Each agency provides the NRT Chair for NRT 

activations for incidents within its jurisdiction. 

EPA provides the NRT Chair and DHS/USCG 

the Vice Chair on a day-to-day basis. 

 Each agency provides the RRT Chair for RRT 

activations for incidents within its jurisdiction. 

Each agency provides an RRT Co-Chair on a 

day-to-day basis. 

 Each agency provides OSCs to direct response 

efforts and coordinate all other efforts at the 

scene of a discharge or release for incidents 

within its jurisdiction. 

Cooperating Agencies: Federal agencies are to 

make available those facilities or resources that may 

be useful in a response situation, consistent with 

agency authorities and capabilities. During 

preparedness planning or in an actual response, 

various Federal agencies may be called upon to 

provide assistance in their respective areas of 

expertise, as indicated in 40 CFR 300.170 – Federal 

agency participation and 40 CFR 300.175 – Federal 

Agencies: Additional responsibilities and 

assistance. 

In addition, assistance may be requested from the 

DHS Science and Technology Directorate for 

scientific support as described in the Science and 

Technology Support Annex, and from the DHS 

Information Analysis and Infrastructure Protection 

Directorate for information on sites with hazardous 

materials. 

Senior Federal Official: The agency providing the 

Federal OSC also provides the SFO to coordinate 

with the PFO and participate in the JFO 

Coordination Group.
OHM-10 Oil and Hazardous Materials Annex December 2004 

 National Response Plan 

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December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-1 

 National Response Plan 

Terrorism Incident Law Enforcement and Investigation Annex 

Coordinating Agency: 

Department of Justice/Federal Bureau of 

Investigation 

Cooperating Agencies: 

Department of Defense 

Department of Energy 

Department of Health and Human Services 

Department of Homeland Security 

Department of State 

Environmental Protection Agency 

Introduction 

Purpose 

The purpose of this annex is to facilitate an effective 

Federal law enforcement and investigative response 

to all threats or acts of terrorism within the United 

States, regardless of whether they are deemed 

credible and/or whether they escalate to an Incident 

of National Significance. To accomplish this, the 

annex establishes a structure for a systematic, 

coordinated, unified, timely, and effective national 

law enforcement and investigative response to 

threats or acts of terrorism within the United States. 

Scope 

This annex is a strategic document that: 

 Provides planning guidance and outlines 

operational concepts for the Federal law 

enforcement and investigative response to a 

threatened or actual terrorist incident within the 

United States; and 

 Acknowledges and outlines the unique nature of 

each threat or incident, the capabilities and 

responsibilities of the local jurisdictions, and the 

law enforcement and investigative activities 

necessary to prevent or mitigate a specific threat 

or incident. 

Policies 

The United States regards terrorism as a potential 

threat to national security, as well as a violent 

criminal act, and applies all appropriate means to 

combat this danger. In doing so, the United States 

vigorously pursues efforts to deter and preempt these 

crimes and to apprehend and prosecute directly, or 

assist other governments in prosecuting, individuals 

who perpetrate or plan terrorist attacks. 

To ensure the policies established in applicable 

Presidential directives are implemented in a 

coordinated manner, this annex provides overall 

guidance to Federal, State, local, and tribal agencies 

concerning the Federal Government’s law 

enforcement and investigative response to potential 

or actual terrorist threats or incidents that occur in 

the United States, particularly those involving 

weapons of mass destruction (WMD), or chemical, 

biological, radiological, nuclear, or high-explosive 

(CBRNE) material. 

Federal Agencies 

The law enforcement and investigative response to a 

terrorist threat or incident within the United States is 

a highly coordinated, multiagency State, local, tribal, 

and Federal responsibility. In support of this 

mission, the following Federal agencies have 

primary responsibility for certain aspects of the 

overall law enforcement and investigative response: 
TER-2 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

 National Response Plan 

 Department of Defense (DOD) 

 Department of Energy (DOE) 

 Department of Health and Human Services 

(HHS) 

 Department of Homeland Security (DHS) 

 Department of Justice/Federal Bureau of 

Investigation (FBI) 

 Environmental Protection Agency (EPA) 

According to HSPD-5, “The Attorney General has 

lead responsibility for criminal investigations of 

terrorist acts or terrorist threats by individuals or 

groups inside the United States, or directed at U.S. 

citizens or institutions abroad, where such acts are 

within the Federal criminal jurisdiction of the United 

States, as well as for related intelligence collection 

activities within the United States, subject to the 

National Security Act of 1947 and other applicable 

law, Executive Order 12333, and Attorney Generalapproved procedures pursuant to that Executive 

order. Generally acting through the Federal Bureau 

of Investigation, the Attorney General, in 

cooperation with other Federal departments and 

agencies engaged in activities to protect our national 

security, shall also coordinate the activities of the 

other members of the law enforcement community 

to detect, prevent, preempt, and disrupt terrorist 

attacks against the United States. Following a 

terrorist threat or an actual incident that falls within 

the criminal jurisdiction of the United States, the full 

capabilities of the United States shall be dedicated, 

consistent with U.S. law and with activities of other 

Federal departments and agencies to protect our 

national security, to assisting the Attorney General 

to identify the perpetrators and bring them to justice. 

The Attorney General and the Secretary shall 

establish appropriate relationships and mechanisms 

for cooperation and coordination between their two 

departments.” 

Although not formally designated under this annex, 

other Federal departments and agencies may have 

authorities, resources, capabilities, or expertise 

required to support terrorism-related law 

enforcement and investigation operations. Agencies 

may be requested to participate in Federal planning 

and response operations, and may be requested to 

designate liaison officers and provide other support 

as required. 

Deployment/Employment Priorities 

In addition to the priorities identified in the National 

Response Plan (NRP) Base Plan, the law 

enforcement and investigative response to terrorist 

threats or incidents is based on the following 

priorities: 

 Preserving life or minimizing risk to health; 

which constitutes the first priority of operations. 

 Preventing a threatened act from being carried 

out or an existing terrorist act from being 

expanded or aggravated. 

 Locating, accessing, rendering safe, controlling, 

containing, recovering, or disposing of a WMD 

that has not yet functioned, and disposing of 

CBRNE material in coordination with 

appropriate departments and agencies (e.g., 

DOD, DOE, EPA). 

 Apprehending and successfully prosecuting 

perpetrators of terrorist threats or incidents. 

Planning Assumptions and Considerations 

In addition to the planning assumptions and 

considerations identified in the NRP Base Plan, the 

law enforcement and investigative response to 

terrorist threats or incidents, particularly those 

involving WMD and CBRNE material, are based on 

the following assumptions and considerations: 

 A terrorist threat or incident may occur at any 

time of day with little or no warning, may 

involve single or multiple geographic areas, and 

may result in mass casualties. 

 The suspected or actual involvement of terrorists 

adds a complicating dimension to incident 

management. 

 The response to a threat or actual incident 

involves FBI law enforcement and investigative 

activity as an integrated element. 
December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-3 

 National Response Plan 

 In the case of a threat, there may be no incident 

site, and no external consequences, and, 

therefore, there may be no need for 

establishment of traditional Incident Command 

System (ICS) elements such as an Incident 

Command Post (ICP) or a Joint Field Office 

(JFO). 

 An act of terrorism, particularly an act directed 

against a large population center within the 

United States involving nuclear, radiological, 

biological, or chemical materials, will have 

major consequences that can overwhelm the 

capabilities of many local, State, and/or tribal 

governments to respond and may seriously 

challenge existing Federal response capabilities. 

 In the case of a biological attack, the effect may 

be temporally and geographically dispersed, 

with no determined or defined “incident site.” 

Response operations may be conducted over a 

multijurisdictional, multistate region. 

 A biological attack employing a contagious 

agent may require quarantine by Federal, State, 

local, and tribal health officials to contain the 

disease outbreak. 

 If appropriate personal protective equipment and 

capabilities are not available and the area is 

contaminated with CBRNE or other hazardous 

materials, it is possible that response actions into 

a contaminated area may be delayed until the 

material has dissipated to a level that is safe for 

emergency response personnel to operate or 

until appropriate personal protective equipment 

and capabilities arrive, whichever is sooner. 

Situation 

The complexity, scope, and potential consequences 

of a terrorist threat or incident require that there be a 

rapid and decisive capability to resolve the situation. 

The resolution to an act of terrorism demands an 

extraordinary level of coordination of law 

enforcement, criminal investigation, protective 

activities, emergency management functions, and 

technical expertise across all levels of government. 

The incident may affect a single location or multiple 

locations, each of which may be an incident scene, a 

hazardous scene, and/or a crime scene 

simultaneously. 

Concept of Operations 

Command and Control 

The FBI is the lead agency for criminal 

investigations of terrorist acts or terrorist threats and 

intelligence collection activities within the United 

States. Investigative and intelligence activities are 

managed by the FBI from an FBI command post or 

Joint Operations Center (JOC). The command post 

or JOC coordinates the necessary Federal law 

enforcement assets required to respond to and 

resolve the threat or incident with State, local, and 

tribal law enforcement agencies. 

The FBI Special Agent in Charge (SAC) of the local 

Field Office establishes a command post to manage 

the threat based upon a graduated and flexible 

response. This command post structure generally 

consists of three functional groups: Command, 

Operations, and Operations Support, and is designed 

to accommodate participation of other agencies, as 

appropriate (see Figure 1). 

When the threat or incident exceeds the capabilities 

and resources of the local FBI Field Office, the SAC 

can request additional assistance from regional and 

national assets to augment existing capabilities. In a 

terrorist threat or incident that may involve a WMD 

or CBRNE material, the traditional FBI command 

post will transition to a JOC, which may temporarily 

incorporate a fourth functional entity, the 

Consequence Management Group (see Figure 2), in 

the absence of an activated JFO. 

When, in the determination of the Secretary of 

Homeland Security, in coordination with the 

Attorney General, the incident becomes an Incident 

of National Significance and a JFO is established, 

the JOC becomes a section of the JFO and the FBI 

SAC becomes the Senior Federal Law Enforcement 

Official (SFLEO) in the JFO Coordination Group. 

In this situation, the JOC Consequence Management 

Group is incorporated into the appropriate 

components of the JFO (see NRP Base Plan, Figure 

4 and Figure 7). 
TER-4 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

 National Response Plan 

FIGURE 1. FBI command post 

INTELLIGENCE

UNIT

TACTICAL

UNIT 

WMD

UNIT 

COMMAND

GROUP

OPERATIONS

GROUP 

DEST

INFORMATION

INTAKE UNIT 

INVESTIGATIONS 

UNIT 

NEGOTIATIONS

UNIT 

EVIDENCE RESPONSE

UNIT 

SURVEILLANCE

UNIT

TECHNICAL 

UNIT

OTHER SPECIALIZED

UNITS 

OPERATIONS 

SUPPORT GROUP

ADMINISTRATIVE

UNIT

LOGISTICS

UNIT 

LEGAL

UNIT

MEDIA

UNIT 

COMMUNICATIONS

UNIT 

INFORMATION 

TECHNOLOGY UNIT

LIAISON

UNIT
December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-5 

 National Response Plan 

The JOC structure may also be used to coordinate 

law enforcement, investigative, and intelligence 

activities for the numerous threats or incidents that 

occur each year that do not escalate to Incidents of 

National Significance. 

Joint Operations Center 

 The JOC is an interagency command and control 

center for managing multiagency preparation 

for, and the law enforcement and investigative 

response to, a credible terrorist threat or 

incident. Similar to the Area Command concept 

within the ICS, the JOC also may be established 

to coordinate and organize multiple agencies and 

jurisdictions during critical incidents or special 

events. Following the basic principles 

established in the National Incident Management 

System (NIMS), the JOC is modular and 

scalable and may be tailored to meet the specific 

operational requirements needed to manage the 

threat, incident, or special event. 

 A JOC may be established and staffed in a preincident, pre-emptive role in support of a 

significant special event. This “watch mode” 

allows for rapid expansion to full operations if a 

critical incident occurs during the special event. 

The JOC is a strategic management tool that 

effectively coordinates law enforcement 

investigative, intelligence, and operational 

activities at multiple sites from a single location. 

The JOC may be the only management structure 

related to a threat, critical incident, or special 

event, or it may integrate into other management 

structures in accordance with the NRP. 

 Law enforcement public safety functions, such 

as proactive patrol and traffic control, 

historically are managed through the Operations 

Section of the ICS. Criminal investigation and 

the collection, analysis, and dissemination of 

intelligence are sensitive law enforcement 

operations that require a secure environment and 

well-defined organizational management 

structure. The JOC is designed to coordinate 

this specialized law enforcement investigative 

and intelligence activity. It provides 

mechanisms for controlling access to and 

dissemination of sensitive or classified 

information. Management of crisis information 

and intelligence is recognized under the NIMS 

as a sixth functional area within ICS. The 

structure of the JOC supports this functional area 

and enhances the overall management of critical 

incidents and special events. 

 The NIMS provides the framework within which 

the ICS and JOC structures operate for a unified 

approach to domestic incident management. 

 The JOC is composed of four main groups: the 

Command Group, the Operations Group, the 

Operations Support Group, and the Consequence 

Management Group. 
TER-6 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

National Response Plan 

FIGURE 2. Joint Operations Center 

COMMAND

GROUP

DEST JIC*

STRATEGIC

LEGAL

OPERATIONS

GROUP

INFORMATION

CONTROL UNIT

INTELLIGENCE

UNIT

INVESTIGATIONS 

UNIT

NEGOTIATIONS

UNIT

EVIDENCE 

RESPONSE

UNIT

TACTICAL

UNIT

WMD UNIT

SURVEILLANCE 

UNIT

OPERATIONS

SUPPORT GROUP

CONSEQUENCE

MANAGEMENT GROUP*

ADMINISTRATIVE

UNIT

LOGISTICS

UNIT

LEGAL

UNIT

MEDIA

UNIT

LIAISON

UNIT

COMMUNICATIONS

UNIT

FBI

LIAISON

DHS

UNIT

DOD

UNIT

DOE

UNIT

HHS

UNIT

EPA

UNIT

STATE

UNIT

LOCAL

UNIT

OTHER SPECIALIZED

UNITS

INFORMATION

TECHNOLOGY UNIT

OTHER 

AGENCY UNITS

* While the Operations Group and Operations Support Group remain components of the JOC when it is incorporated into the

JFO, the JIC and Consequence Management Group will be merged into the appropriate JFO staff components, if established.

TECHNICAL

 UNIT
December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-7 

 National Response Plan 

Command Group 

 The Command Group of the JOC provides 

recommendations and advice to the FBI SAC 

regarding the development and implementation 

of strategic decisions to resolve the situation. It 

is responsible for approving the deployment and 

employment of law enforcement investigative 

and intelligence resources. The Command 

Group maintains its advisory role to the FBI 

SAC when the JOC becomes a section of the 

JFO for an Incident of National Significance. 

When a JFO is established in this situation, the 

FBI SAC becomes the SFLEO in the JFO 

Coordination Group. The Assistant SAC or an 

alternate senior FBI official leads the JOC 

Command Group once the SAC has transitioned 

to the JFO. 

 The FBI representatives in the Command Group 

include the SAC, the Assistant SAC, and an 

executive-officer position known as the Crisis 

Management Coordinator (CMC). The SAC of 

the FBI Field Office in which the incident 

occurs is responsible for developing the overall 

strategy for managing Federal investigative law 

enforcement activities at the critical incident or 

special event and coordinating the 

implementation of that strategy with other 

agency decisionmakers and FBI Headquarters. 

The FBI SAC also is responsible for 

coordinating Federal law enforcement activities 

with other Federal incident management 

personnel during domestic critical incidents and 

special events. The CMC ensures that the 

strategy of the SAC is communicated to 

everyone in the JOC and that the JOC is staffed 

and equipped to effectively implement the 

strategy of the SAC. The CMC also ensures that 

information flows efficiently within the JOC and 

between the JOC and other command and 

control centers. 

 The JOC Command Group includes senior 

officials with decisionmaking authority from 

local, State, and Federal agencies, as 

appropriate, based upon the circumstances of the 

threat or incident. Consistent with the Unified 

Command concept, law enforcement 

investigative and intelligence strategies, tactics, 

and priorities are determined jointly within the 

JOC Command Group. Federal law 

enforcement investigative, intelligence, and 

operational decisions are made cooperatively to 

the extent possible, but the authority to make 

these decisions rests ultimately with the FBI 

SAC. 

 Three specialized teams provide guidance and 

expertise directly to the Command Group. 

These teams are the Strategic Legal Team, the 

Joint Information Center Team, and the 

Domestic Emergency Support Team. 

 The Strategic Legal Team is composed of 

legal counsel from the FBI, U.S. Attorney’s 

Office, and the District or State’s Attorney’s 

Office. This team provides legal guidance 

to the Command Group concerning the 

strategies under consideration for resolution 

of the crisis. 

 The Joint Information Center (JIC) Team is 

integrated into the JFO when established. It 

is composed of the public affairs (media) 

officers from the participating local, State, 

and Federal public safety agencies. It 

manages information released to the public 

through a coordinated, unified approach. A 

separate media unit within the JOC 

Operations Support Group provides FBIspecific guidance and expertise to the FBI 

SAC and coordinates with the JIC to ensure 

the media strategy is consistent with the 

overall investigative strategy. 

 The Domestic Emergency Support Team 

(DEST) is a specialized interagency team 

composed of subject-matter experts from the 

FBI, the DHS/Emergency Preparedness and 

Response/Federal Emergency Management 

Agency (DHS/EPR/FEMA), DOD, DOE, 

HHS, and EPA. It provides guidance to the 

FBI SAC concerning WMD threats and 

actual incidents. 

Operations Group 

 The Operations Group handles all investigative, 

intelligence, and operational functions related to 

the threat, critical incident, or special event. 
TER-8 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

 National Response Plan 

 Each unit within the Operations Group provides 

expertise in a specific functional area that is 

important in the overall resolution of the 

incident. 

 The units within the Operations Group are 

scalable and modular, and may be tailored to the 

specific threat, critical incident, or special event. 

 The Operations Group normally consists of the 

Information Intake unit (formerly referred to as 

the Control unit), the Intelligence unit, the 

Investigations unit, and Field Operations units. 

Information Intake (or Control) 

 Information Intake is the central point for 

receiving all information that comes into the 

JOC. The purpose of Information Intake is to 

ensure that telephone calls, e-mail messages, fax 

reports, and other incoming information are 

assessed for relevance to the threat, critical 

incident, or special event. The information is 

checked to determine if it has been previously 

reported. It is prioritized and entered into the 

information management system. Through this 

filtering mechanism the Information Intake unit 

ensures that only current and relevant 

information is disseminated to the JOC. 

 The Information Intake Coordinator is 

responsible for providing guidance and direction 

to all personnel within the Information Intake 

unit and coordinating the activities of the unit 

with all other units within the JOC. Personnel 

within the Information Intake unit are 

responsible for receiving incoming information, 

processing new information, routing followup 

information appropriately, and implementing 

procedures for tracking evidentiary material that 

is introduced into the command post. 

Intelligence 

 The Intelligence unit manages the collection, 

analysis, archiving, and dissemination of 

relevant and valid investigative and strategic 

intelligence. It fuses historical intelligence from 

a variety of sources with new intelligence 

specific to the threat, critical incident, or special 

event. The Intelligence unit also disseminates 

intelligence products and situation reports to all 

JOC units, FBI Headquarters Strategic 

Information and Operations Center (SIOC), and 

the JFO Coordination Group. This information 

is shared with the DHS Homeland Security 

Operations Center (HSOC), the National 

Counterterrorism Center (NCTC), and, as 

appropriate, other government agencies, 

consistent with operational security 

considerations. 

 The Intelligence unit usually is divided into 

teams based on functional responsibility. Teams 

manage intelligence related to the crisis site or 

target, build intelligence portfolios and 

databases on significant elements related to the 

investigation (subjects, vehicles, and 

organizations), analyze and identify trends in 

activities related to the investigation (predictive 

and strategic intelligence), conduct liaison with 

outside members of the Intelligence Community, 

and prepare periodic briefings and reports 

concerning the status of the crisis or 

investigation. The Intelligence unit is 

responsible for collecting and reviewing all 

intelligence related to the threat, crisis, or special 

event to enable the SAC to further develop and 

refine strategic objectives. 

Investigations 

 The Investigations unit provides oversight and 

direction to all investigative activity related to 

the threat, critical incident, or special event. The 

Investigations unit implements the strategy of 

the SAC by directing the collection and 

management of investigative information. It is 

composed of investigative personnel from the 

agencies with specific jurisdiction or authority 

for investigating crimes related to the threat, 

critical incident, or special event. The 

Investigations Unit Coordinator is usually an 

FBI Supervisor who has responsibility for 

investigating the most significant substantive 

law violation. 
December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-9 

 National Response Plan 

 Teams within the Investigations unit review all 

incoming information to determine investigative 

value. The Investigations unit assigns, tracks, 

and reviews all investigative leads and 

documents the investigation in the appropriate 

case file(s). The case agents or primary 

investigators within the Investigations unit 

manage all evidence and information, and 

prepare it for court presentation, if appropriate. 

The case agents or primary investigators are 

assisted by analytical personnel to ensure that all 

investigative information is pursued to its logical 

conclusion. A Records Check Team within the 

Investigations unit reviews case files and 

databases to ensure that all items of investigative 

value are identified and evaluated. The 

Investigations unit is responsible for collecting 

and reviewing all reports of investigative 

activity to enable the SAC to further develop 

and refine strategic objectives. 

Field Operations 

 The Field Operations units are based upon the 

specific needs of the threat, critical incident, or 

special event. The personnel staffing these units 

are subject-matter experts in a number of 

specialized skill areas. Field Operations unit 

coordinators are responsible for ensuring the 

activity of the specialized units is consistent with 

and in support of the strategy of the SAC. 

 Field Operations units may include 

representatives of tactical, negotiations, 

WMD/CBRNE, evidence response, surveillance, 

technical, or any other specialized unit deployed 

to the crisis site(s) or staged in readiness. The 

mission of these units is to provide the SAC 

with current information and specialized 

assistance in dealing with the threat, critical 

incident, or special event. Information is 

communicated between the JOC and the crisis 

site(s) through the Field Operations unit 

representatives in the JOC. This ensures that 

decisionmakers both in the JOC and in the 

forward areas maintain full situational 

awareness. The Field Operations units 

coordinate their activities within the JOC to 

ensure each is aware of the impact of their 

activities on the other field units. 

 Local, State, and Federal law enforcement 

specialty units assigned to assist with field 

operations during the threat, incident, or special 

event coordinate their activities with the 

appropriate FBI Field Operations units through 

the JOC. Federal Government mission-specific 

units are designated to help the FBI maintain 

their respective chains of command and 

coordinate their activities through representation 

in the JOC. The JOC manages the activities of 

the specialized units at a strategic level. 

Activities at the individual or “tactical” level are 

managed at the crisis site(s) through forward 

command structures such as the Tactical 

Operations Center, Negotiations Operations 

Center, and Evidence Response Team 

Operations Center. 

Operations Support Group 

 The Operations Support Group units designated 

within the JOC are based upon the specific 

needs of the threat, critical incident, or special 

event. The personnel who staff these units are 

subject-matter experts in a number of 

specialized areas. Operations Support Group 

unit coordinators are responsible for ensuring 

the activity of their units is consistent with and 

in support of the strategy of the SAC. 

 Operations Support Group units can include 

administrative, logistics, legal, media, liaison, 

communications, and information management. 

The mission of these units is to support the 

investigative, intelligence, and operational 

functions of the JOC. 

 The Administrative and Logistics units have 

responsibilities that are similar to the Finance 

and Logistics Sections in ICS. However, they 

are tasked with managing only the activities 

related to the law enforcement investigative, 

intelligence, and operational functions; they do 

not manage the administrative and logistics 

functions associated with the overall incident. 
TER-10 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

 National Response Plan 

 The Legal and Media units support the 

investigative and intelligence operations of the 

JOC through the preparation of specific legal 

processes and management of media affairs. 

These units focus on specific objectives related 

to the investigation such as search warrants and 

press releases, and not the strategic overall 

objectives handled by the Strategic Legal Team 

and JIC that are attached to the Command 

Group. 

 The Liaison unit is composed of representatives 

from outside agencies who assist the FBI with 

resolution of the threat, critical incident, or 

special event. The Liaison unit may include 

agencies without clear authority or jurisdiction 

over the threat, critical incident, or special event 

if they have a potential investigative interest. 

For example, law enforcement agencies that 

border affected jurisdictions may be represented 

in the JOC to maintain situational awareness of 

potential threats. Additional Liaison unit 

representatives may include fire department 

personnel, utility company workers, or 

engineering specialists. 

 The Communications unit handles radio and 

telephone communications to support JOC 

operations. The Communications unit 

establishes communications networks within the 

JOC. It also establishes networks to facilitate 

timely and reliable information-sharing between 

the JOC and other command and control centers. 

 The Information Technology unit is responsible 

for the JOC computer system operation within 

each unit and between units. Information 

technology specialists and facilitators assigned 

to this unit are responsible for ensuring the 

uninterrupted operation of the information 

management system used during JOC 

operations. 

Consequence Management Group 

 The JOC Consequence Management Group 

consists of representatives of agencies that 

provide consequence-focused expertise in 

support of law enforcement activities. The JOC 

does not manage consequence functions; rather, 

it ensures that law enforcement activities with 

emergency management implications are 

communicated and coordinated to appropriate 

personnel in a complete and timely manner. 

 A DHS representative coordinates the actions of 

the JOC Consequence Management Group, and 

expedites activation of a Federal incident 

management response should it become 

necessary. FBI and DHS representatives screen 

threat/incident intelligence for the Consequence 

Management Group. Representatives of the 

JOC Consequence Management Group monitor 

the law enforcement criminal investigation and 

may provide advice regarding decisions that 

impact the general public or critical 

infrastructure. This integration provides 

continuity should a Federal incident 

management response become necessary. 

 Agencies comprising the Consequence 

Management Group may also have personnel 

assigned to other units within the JOC structure. 

Depending on the nature of the incident and 

required assets, additional teams assigned to 

support the FBI may be included under Other 

Specialized Units. 

 Should the threat of a terrorist incident become 

imminent, the JOC Consequence Management 

Group may forward recommendations to the 

RRCC Director to initiate limited predeployment of assets under the Stafford Act. 

 Requests for DOD assistance for law 

enforcement and criminal investigation during 

the incident come from the Attorney General to 

the Secretary of Defense through the DOD 

Executive Secretary. Once the Secretary 

approves the request, the order is transmitted 

either directly to the unit involved or through the 

Chairman of the Joint Chiefs of Staff. The FBI 

SAC informs the Principal Federal Official 

(PFO), if one has been designated, when 

requesting this additional assistance. 

 The Consequence Management Group is 

established when a JOC is necessary but a JFO 

has not yet been activated, or the event has not 

reached the level of being considered an Incident 

of National Significance. 
December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-11 

 National Response Plan 

 Representatives in this group may move to 

appropriate positions in other sections of the 

JFO when one is established. 

The Response 

 Receipt of a terrorist threat may be through any 

source or medium and may be articulated or 

developed through intelligence sources. It is the 

responsibility of all local, State, and Federal 

agencies and departments to notify the FBI when 

such a threat is received. As explained below, 

the FBI evaluates the credibility of the terrorist 

threat and notifies the HSOC, NCTC, and other 

departments and agencies, as appropriate. 

 Upon receipt of a threat of terrorism within the 

United States, the FBI conducts a formal threat 

credibility assessment in support of operations 

with assistance from select interagency experts. 

For a WMD or CBRNE threat, this assessment 

includes three perspectives: 

 Technical Feasibility: An assessment of the 

capacity of the threatening individual or 

organization to obtain or produce the 

material at issue; 

 Operational Practicability: An assessment 

of the feasibility of delivering or employing 

the material in the manner threatened; and 

 Behavioral Resolve: A psychological 

assessment of the likelihood that the 

subject(s) will carry out the threat, including 

a review of any written or verbal statement 

by the subject(s). 

 A threat assessment is conducted to determine 

whether the potential threat is credible, and 

confirm whether WMD or CBRNE materials are 

involved in the developing terrorist incident. 

Intelligence varies with each threat and impacts 

the level of the Federal response. If the threat is 

credible, the situation requires the tailoring of 

response actions to use Federal resources needed 

to anticipate, prevent, and/or resolve the 

situation. The Federal response focuses on law 

enforcement/investigative actions taken in the 

interest of public safety and welfare, and is 

predominantly concerned with preventing and 

resolving the threat. In addition, contingency 

planning focuses on the response to potential 

consequences and the pre-positioning of tailored 

resources, as required. The threat increases in 

significance when the presence of a CBRNE 

device or WMD capable of causing a significant 

destructive event, prior to actual injury or loss, is 

confirmed or when intelligence and 

circumstances indicate a high probability that a 

device exists. In this case, the threat has 

developed into a WMD or CBRNE terrorist 

situation requiring an immediate process to 

identify, acquire, and plan the use of Federal 

resources to augment State, local, and tribal 

authorities in lessening or averting the potential 

consequence of terrorist use or employment of 

WMD or CBRNE material. It should be noted 

that a threat assessment would also be conducted 

if an incident occurs without warning. In this 

case, the assessment is focused on criminal 

intent, the extent of the threat, and the likelihood 

of secondary devices or locations. 

 The FBI manages a Terrorist Threat Warning 

System to ensure that vital information 

regarding terrorism reaches those in the U.S. 

counterterrorism and law enforcement 

community responsible for countering terrorist 

threats. This information is coordinated with 

DHS and the NCTC, and is transmitted via 

secure teletype. Each message transmitted under 

this system is an alert, an advisory, or an 

assessment—an alert if the terrorist threat is 

credible and specific, an advisory if the threat is 

credible but general in both timing and target, or 

an assessment to impart facts and/or threat 

analysis concerning terrorism. 

 Upon determination of a credible threat, FBI 

Headquarters activates its SIOC to coordinate 

and manage the national-level support to a 

terrorism incident. At this level, the SIOC 

generally mirrors the JOC structure operating in 

the field. The SIOC is staffed by liaison officers 

from other Federal agencies who coordinate 

with and provide assistance to the FBI. The 

SIOC serves as the focal point for law 

enforcement operations and maintains direct 

connectivity with the HSOC. The HSOC is 

notified immediately by the SIOC once a threat 

has been determined to be credible. In turn, this 

notification may result in activation of NRP 

components in coordination with the FBI. 
TER-12 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

 National Response Plan 

 The FBI leads the criminal investigation related 

to the incident, and the SIOC is the focal point 

for all intelligence related to the investigative 

law enforcement response to the incident. 

Consistent with the NRP, affected Federal 

agencies operate headquarters-level emergency 

operations centers, as necessary. FBI 

Headquarters initiates appropriate liaison with 

other Federal agencies to activate their 

operations centers and provide liaison officers to 

the SIOC. In addition, FBI Headquarters 

initiates communications with the SAC of the 

responsible Field Office, apprising him/her of 

possible courses of action and discussing 

deployment of the DEST. The FBI SAC 

establishes initial operational priorities based 

upon the specific circumstances of the threat or 

incident. This information is then forwarded to 

FBI Headquarters to coordinate identification 

and deployment of appropriate resources. 

 The JOC is established by the FBI under the 

operational control of the FBI SAC, and acts as 

the focal point for the field coordination of 

criminal investigation, law enforcement, and 

intelligence activities related to the threat or 

incident. When a PFO is designated for a 

terrorism incident, the FBI SAC provides full 

and prompt cooperation, resources, and support 

to the PFO, as appropriate and consistent with 

applicable authorities. The PFO (or an initial 

PFO designated by the Secretary of Homeland 

Security) may elect to use the JOC as an initial 

operating facility for strategic management and 

identification of State, local, and tribal 

requirements and priorities, and coordination of 

the Federal response. The FBI SAC coordinates 

with the PFO, including providing incident 

information to the PFO as requested, 

coordinating the public communications strategy 

with the PFO, and approving Federal 

interagency communications for release to the 

public through the PFO. It is recognized, 

however, that in some cases it may be necessary 

for the FBI SAC to respond directly to 

media/public inquiries on investigative 

operations and matters affecting law 

enforcement operations, particularly during the 

early stages of the emergency response. 

 The local FBI Field Office activates a Crisis 

Management Team to establish the JOC in the 

affected area, possibly collocated with an 

existing emergency operations facility. In 

locating the JOC, consideration is given to the 

possibility that the facility may have to 

accommodate other Federal incident 

management field activities including the JFO, 

the JIC, and other supporting teams. 

Additionally, the JOC is augmented by outside 

agencies, including representatives from the 

DEST (if deployed), who provide interagency 

technical expertise as well as interagency 

continuity during the transition from an FBI 

command post structure to the JOC structure. 

 Based upon a credible threat assessment and a 

request by the SAC, the FBI Director and DHS 

Under Secretary for Emergency Preparedness 

and Response, in consultation with the Attorney 

General and Secretary of Homeland Security, 

may request authorization through the National 

Security Council to deploy the DEST to assist 

the SAC in mitigating the crisis situation. The 

DEST is a rapidly deployable, interagency team 

responsible for providing expert advice and 

support concerning the Federal Government’s 

capabilities in resolving the terrorist threat or 

incident. This includes law enforcement, 

criminal investigation, and emergency 

management assistance, technical and scientific 

advice, and contingency planning guidance 

tailored to situations involving chemical, 

biological, or nuclear/radiological weapons. 

 Upon arrival at the FBI command post or JOC, 

the DEST may act as a stand-alone advisory 

team to the SAC providing recommended 

courses of action. Although it would be 

unusual, the DEST may be tasked to deploy 

before a JOC is established. The DEST may 

handle some of the specialized interagency 

functions of the JOC until the JOC is fully 

staffed. The DEST emergency management 

component merges into the Consequence 

Management Group in the JOC structure. 
December 2004 Terrorism Incident Law Enforcement and Investigation Annex TER-13 

 National Response Plan 

 Prior to an actual WMD or CBRNE incident, 

law enforcement, intelligence, and investigative 

activities generally have priority. When an 

incident results in the use of WMD or CBRNE 

material, rescue and life-safety activities 

generally have priority. Activities may overlap 

and/or run concurrently during the incident 

management, and are dependent on the threat 

and/or the strategies for responding to the 

incident. 

 Upon determination that applicable law 

enforcement/intelligence goals and objectives 

are met and no further immediate threat exists, 

the FBI SAC may deactivate the JOC and order 

a return to routine law enforcement/investigative 

operations in accordance with pre-event 

protocols. 

 When an incident occurs and an ICP is 

established on-scene, FBI personnel integrate 

into the ICP to enhance the ability of the FBI to 

carry out its mandated mission (see Figure 3). 

Three specific positions within an ICP are 

provided. The first FBI Special Agent (SA) or 

Joint Terrorism Task Force (JTTF) member 

responding receives an initial briefing from the 

Incident Commander or his/her designee and 

works closely with the Incident Commander as a 

member of the Unified Command. The FBI 

representative then informs the local Field 

Office of the current situation and, if necessary, 

requests additional assets. When a more senior 

FBI SA arrives on the scene, he/she assumes the 

role of the FBI representative in the Unified 

Command. 

 The first arriving SA or JTTF member moves to 

the Operations Section as the Deputy Chief of 

Operations. This position is responsible for 

managing the deployment and coordination of 

Federal law enforcement and investigative assets 

in support of the Incident Action Plan. 

Additionally, an FBI SA assumes the position of 

Deputy Chief of Planning within the ICP. This 

position permits the FBI SA to remain updated 

on the situation and serve as a conduit for 

requests for additional law enforcement and 

investigative assets. The Agent also inputs 

Federal objectives into the developing incident 

action plan and performs other duties as 

appropriate. Also, FBI assets form a unit in the 

Operations Section. Throughout the incident, 

the actions and activities of the Unified 

Command at the incident scene and the 

Command Group of the JOC (and the JFO 

Coordination Group if established) are 

continuously and completely coordinated 

throughout the incident. 
TER-14 Terrorism Incident Law Enforcement and Investigation Annex December 2004 

 National Response Plan 

FIGURE 3. On-scene coordination 

Unified

 Command

(Police, Fire, EMS, FBI) 

Operations Section Planning Section Logistics Section Finance and Admin 

Section 

Law Enforcement 

Branch 

Fire Services 

Branch 

Medical Services 

Branch 

Air Operations 

Branch 

FBI Law 

Enforcement and 

Investigations 

Branch 

Public Information 

Safety Liaison 

Note: Operational control of assets 

at the scene is retained by the 

designated officials representing the 

agency (local, State, or Federal) 

providing the assets. 

(Other sub-units established as needed)