i Incident Management and Support Keystone

FEMA Incident Management 

and Support Keystone

January 2011


Incident Management and Support Keystone 3

 
Incident Management and Support Keystone

CONTENTS 

Contents ................................................................................................................4

Chapter 1: Introduction .........................................................................................1

Purpose ..................................................................................................................................1

Scope2

Foundational Documents and Authorities............................................................................3

Background............................................................................................................................5

Chapter 2: National Response Framework Doctrine ............................................6

1. Engaged Partnership.........................................................................................................6

2. Tiered Response.................................................................................................................6

3. Scalable, Flexible, and Adaptable Operational Capabilities ............................................7

4. Unity of Effort Through Unified Command......................................................................7

5. Readiness to Act.................................................................................................................8

Chapter 3: Recovery Core Principles ....................................................................9

1. Individual and Family Empowerment..............................................................................9

2. Leadership and Local Primacy..........................................................................................9

3. Pre-disaster Planning......................................................................................................10

4. Partnerships and Inclusiveness ......................................................................................10

5. Public Information...........................................................................................................10

6. Unity of Effort..................................................................................................................11

7. Timeliness and Flexibility ...............................................................................................11

8. Resilience and Sustainability..........................................................................................11

9. Psychological and Emotional Recovery ...........................................................................11

Chapter 4: FEMA’s Incident Management and Support Tenets ........................ 12

Tenet 1: Engage the Whole Community .............................................................................12

Tenet 2: Empower Emergency Managers to Make Decisions and Take 

Coordinated Action.....................................................................................................14

Tenet 3: Respond Quickly With Decisive Initial Actions....................................................15

Tenet 4: Use Outcome-Based Objectives.............................................................................16

Tenet 5: Develop Creative Solutions and Atypical Resources ............................................17

Chapter 5: FEMA Incident Management and Support Key Concepts ............... 19
Incident Management and Support Keystone

Concept 1: Incident Management and Support Are Conducted in Accordance With NIMS

....................................................................................................................................20

Concept 2: Effective Preparedness Provides the Basis for Successful Incident Management 

and Support................................................................................................................26

Concept 3: Incidents Are Categorized by Disaster Levels to Guide Deployment of 

Resources....................................................................................................................27

Concept 4: Incidents Should Be Managed at the Lowest Possible Operational Level.......28

Concept 5: Unity of Effort in Response Is Achieved Through Unified Command. Unity of 

Effort in Recovery is Achieved Through Unity of Purpose .......................................29

Concept 6: Disciplined Priorities Enable Meaningful Objectives.......................................31

Concept 7: Establishing a Secure Operating Environment, Including Emergency Routes, Is 

Essential to Effective Incident Management and Support.......................................31

Concept 8: Disaster Emergency Communications Are Essential to Effective Incident 

Management and Support .........................................................................................32

Concept 9: Anticipate Potential Requirements and Quickly Move Resources to Support the 

Response and Short-Term Recovery..........................................................................32

Concept 10: Enable Citizens and Survivors to Assist Their Communities Before, During, 

and After an Incident.................................................................................................33

Concept 11: Response and Recovery Actions Must Be Targeted to Assist the Most 

Vulnerable ..................................................................................................................34

Concept 12: Response, Recovery, and Mitigation Activities Operate Concurrently as Part 

of Incident Management and Support.......................................................................34

Concept 13: Response and Recovery decisions are informed by risk analysis ...................35

Concept 14: Planning Is the Foundation for Achieving Common Objectives Through 

Integrated Response and Recovery Efforts................................................................35

Concept 15: Successful Incident Management and Support Is Ultimately Accomplished 

When Communities Are More Resilient and Sustainable than They Were Before the 

Incident.......................................................................................................................36

Concept 16: Incident Planning Is a Key Activity at All Echelons of FEMA Response and 

Recovery .....................................................................................................................37

Concept 17: There Is Only One Incident Action Plan (IAP) for Each Incident, and the IAP 

Is Developed Only at the Incident Level ...................................................................41

Concept 18: Effective Incident Planning Requires a Comprehensive System for 

Information Collection, Sharing, and Analysis That Includes All Echelons of an 

Incident.......................................................................................................................41

Concept 19: Deliberate Planning is the Foundation for Incident Planning.......................43

Concept 20: Deliberate Planning Is Only as Effective as Its Ability to Guide Actual 

Operations ..................................................................................................................43

Chapter 6: Applying FEMA Incident Management and Support Doctrine ......... 45

Key Roles and Responsibilities............................................................................................45

FEMA’s Incident Command and Management Organization ............................................51
Incident Management and Support Keystone

Conclusion............................................................................................................................53
Incident Management and Support Keystone 1

CHAPTER 1: INTRODUCTION 

PURPOSE 

This Federal Emergency Management Agency (FEMA) Incident Management and Support 

Keystone establishes the foundational doctrine that guides FEMA’s conduct of disaster 

operations. 

This Keystone is the primary document from which all 

other FEMA disaster response, recovery, mitigation,

and logistics directives and policies are derived. It 

describes how the response doctrine, articulated in 

the National Response Framework (NRF), and 

recovery doctrine are implemented in the context of 

FEMA incident management and support operations. 

This Keystone is fully in line with the National Incident 

Management System.

Incident Management is the incident-level operation of the Federal role in emergency 

response, recovery, logistics, and mitigation. Responsibilities in incident management 

include the direct control and employment of resources, management of incident offices,

operations, and delivery of Federal assistance through all phases of emergency response.

Incident Support is the coordination of all Federal resources that support emergency 

response, recovery, logistics, and mitigation. Responsibilities include the deployment of 

national-level assets, support of national objectives and programs affected during the 

disaster, and support of incident operations with resources, expertise, information, and 

guidance.

This keystone document describes the full function of FEMA assistance, from the earliest 

lifesaving operations and support through the entire life of the Joint Field Office (JFO). The 

keystone addresses how FEMA will provide lifesaving operations and necessary resources; 

restore power and rebuild roads in the affected communities; provide technical assistance to 

community floodplain management programs and flood insurance; and manage individual 

assistance inspections, temporary housing, public assistance inspections, 406 mitigation, 

and hazard mitigation grants. The Incident Management and Support Keystone leads a family 

of other doctrinal documents that guide the implementation of FEMA’s disaster operations. 

This document is intended to

• standardize procedures,

• institutionalize best practices, and

• guide planning, training, equipping, and staffing.

FEMA’s mission is to support 

U.S. citizens and first 

responders to ensure that, as 

a nation, we work together to 

build, sustain, and improve 

our capability to prepare for, 

protect against, respond to, 

recover from, and mitigate all 

hazards. 
Incident Management and Support Keystone 2

Incident: An occurrence, natural or manmade, that requires a response to 

protect life or property. Incidents can, 

for example, include major disasters, 

emergencies, terrorist attacks, terrorist 

threats, civil unrest, wildland and urban 

fires, floods, hazardous material spills, 

nuclear accidents, aircraft accidents, 

earthquakes, hurricanes, tornadoes, 

tropical storms, tsunamis, war-related 

disasters, public health and medical 

emergencies, and other occurrences 

requiring response and recovery efforts.

(Source: National Incident Management System)

Doctrine is an authoritative statement of fundamental principles of an organization. It is 

authoritative yet—when applied with judgment—adaptable enough to address diverse 

situations. Doctrine provides a standard frame of reference for FEMA and explains why the 

Agency performs its functions. Doctrine is a guide to action and judgment founded in hardwon experience; it facilitates readiness and increased efficiency and effectiveness by 

standardizing activities and processes. Doctrine links theory, experience, innovation, and 

practice.

Doctrine shows how the key actors in an 

incident align their processes to promote 

coordinated and effective outcomes. It 

provides a basis for enhanced capabilities 

through training, staffing, equipping, 

exercises, and future concept development. 

It directly influences how policy and plans 

are developed and implemented, how FEMA 

organizes to achieve its mission, and how 

resource requirement decisions are made. 

The consistent application of doctrine 

outlined in this Keystone will assist FEMA in 

better managing its functions, requirements, 

capabilities, priorities, policies, organizational design, command and control authorities, and 

the allocation of resources across the full spectrum of disaster response and recovery.

SCOPE 

This FEMA Incident Management and Support Keystone applies to all FEMA incident 

management and support operations, including incidents that have occurred, efforts 

undertaken based on an identified threat, and actions performed in anticipation of, or in 

preparation for, a significant event. 

This doctrine pertains to FEMA incident management and support operations that involve— or 

that may involve—a presidential declaration under the Stafford Act, as well as incidents 

requiring a coordinated Federal response where the Stafford Act does not apply. This 

doctrine applies to the full range of incidents contained within one or several jurisdictions, as 

well as those incidents that are national in scope. 

This Keystone is intended to promote readiness to act, effective cooperation, interoperability, 

and sharing of essential resources and information among all levels of government, 

nongovernmental organizations (NGOs), and the private sector—by communicating to our 

partners the principles by which FEMA conducts incident management and support 

operations. 
Incident Management and Support Keystone 3

FOUNDATIONAL DOCUMENTS AND AUTHORITIES 

A number of foundational documents provide statutory, regulatory, and executive guidance 

for FEMA disaster response. Some key foundational documents are as follows:

• Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-288, 

as amended, 42 U.S.C. 5121-5207). The Stafford Act authorizes the programs and 

processes by which the Federal Government provides disaster and emergency 

assistance to State and local governments, tribal nations, eligible private nonprofit 

organizations, and individuals affected by a declared major disaster or emergency. 

The Stafford Act covers all hazards, including natural disasters and terrorist events. 

• Title 44 of the Code of Federal Regulations (CFR), Emergency Management and 

Assistance. The Code of Federal Regulations is a codification of the general and 

permanent rules and regulations published in the Federal Register that contain basic 

policies and procedures. Title 44 is entitled Emergency Management and Assistance, 

and Chapter 1 of Title 44 contains the regulations issued by FEMA, including those 

related to implementing the Stafford Act.

• Homeland Security Act (Public Law 107-296, as amended, 6 U.S.C. §§ 101 et seq.).

The Homeland Security Act of 2002 created the Department of Homeland Security 

(DHS) as an executive department of the United States. The Homeland Security Act 

consolidated component agencies, including FEMA, into the Department. The 

Secretary of Homeland Security is the head of the Department and has direction, 

authority, and control over it. All functions of all officers, employees, and 

organizational units of the Department are vested in the Secretary. The mission of the 

Department includes preventing terrorist attacks within the United States, reducing 

America’s vulnerability to terrorism, and minimizing the damage and recovering from 

attacks that occur. The Post-Katrina Emergency Management Reform Act of 2006 

(described below) amended the Homeland Security Act with respect to the 

organizational structure, authorities, and responsibilities of FEMA and the FEMA 

Administrator. 

• Homeland Security Presidential Directive 5 (HSPD-5), 2003. Homeland Security 

Presidential Directive 5 enhances the ability of the United States to manage domestic 

incidents by directing the establishment of a single, comprehensive National Incident 

Management System (NIMS). This management system is designed to cover the 

prevention of, preparation for, response to, and recovery from terrorist attacks, major 

disasters, and other emergencies. The system allows all levels of government 

throughout the Nation to work together efficiently and effectively. The directive gives 

further detail on which government officials oversee and have authority for various 

parts of the NIMS, and it makes several amendments to various other Homeland 

Security Presidential Directives.
Incident Management and Support Keystone 4

• Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), 

October 4, 2006. The Post-Katrina Emergency Management Reform Act (PKEMRA) 

clarified and modified the Homeland Security Act with respect to the organizational 

structure, authorities, and responsibilities of FEMA and the FEMA Administrator. This 

act enhanced FEMA’s responsibilities and its autonomy within DHS. Per PKEMRA, 

FEMA is to lead and support the Nation in a risk-based, comprehensive emergency 

management system of preparedness, protection, response, recovery, and mitigation. 

Under the act, the FEMA Administrator reports directly to the Secretary of Homeland 

Security. FEMA is now a distinct entity within DHS, and the Secretary of Homeland 

Security can no longer substantially or significantly reduce the authorities, 

responsibilities, or functions of FEMA—or the capability to perform them—unless 

authorized by subsequent legislation. The act further directed the transfer to FEMA of 

many of the functions of DHS’s former Preparedness Directorate. 

• National Response Framework (NRF), January 2008. The NRF is a guide to how the 

Nation conducts all-hazards response. It is built upon scalable, flexible, and adaptable 

coordinating structures to align key roles and responsibilities across the Nation, 

linking all levels of government, NGOs, and the private sector. The NRF is intended to 

capture specific authorities and best practices for managing incidents that range from 

serious but purely local events, to large-scale terrorist attacks or catastrophic natural 

disasters.1

• National Incident Management System (NIMS), December 2008. The NIMS is a set of 

principles that provides a systematic, proactive approach to guiding government 

agencies at all levels, NGOs, and the private sector to work seamlessly to prevent, 

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

regardless of cause, size, location, or complexity—in order to reduce the loss of life or 

property and harm to the environment.

 

 

 

1 Catastrophic incident: An incident of such magnitude that all available assets that were designed and put in 

place for response are completely overwhelmed or broken at the incident, regional, or national level.
Incident Management and Support Keystone 5

BACKGROUND 

Over the past 30 years, FEMA has been called upon repeatedly to become engaged not only 

to deliver the traditional recovery programs but also to coordinate the delivery of emergency 

services—services such as search and rescue, emergency power, debris clearance, 

emergency communications, emergency roofing, disaster housing, and other commodities to 

support State, local, tribal and Federal incident response operations.

The failure to provide these services in a timely and coordinated manner with Federal, State, 

local and tribal partners resulted in the criticism that FEMA received following incidents such 

as Hurricane Hugo (1989), Hurricane Andrew (1992), and Hurricane Katrina (2005). In 

response to these experiences, FEMA altered its focus and organization in fundamental ways. 

During the 1990s, the organization reduced its emphasis on civil defense and prioritized the 

natural disaster response system. FEMA gave greater attention to mitigation and 

preparedness as well. Following these efforts, FEMA’s scope and responsibility increased in 

the mid-2000s through executive and legislative action. 

As the Nation’s professional emergency management organization, FEMA continues to make 

a concerted effort to build, sustain, and improve its ability to assist State and local 

governments by developing and using standards and doctrine to expedite the delivery of 

these emergency services. While statutes and executive orders give FEMA the authority to 

act, doctrine explains why and how Federal emergency managers act as they do. 
Incident Management and Support Keystone 6

NRF Response Doctrine—

Key Principles 

1. Engaged partnership

2. Tiered response

3. Scalable, flexible, and adaptable 

operational capabilities

4. Unity of effort through unified 

command

5. Readiness to act

CHAPTER 2: NATIONAL RESPONSE FRAMEWORK 

DOCTRINE 

The National Response Framework (NRF) is the definitive authority for national response in 

the United States. It guides how our Nation responds to all hazards. The framework therefore 

provides the basis for all FEMA response doctrine. 

The NRF defines basic roles, responsibilities, and operational concepts for response across 

all levels of government, with nongovernmental organizations (NGOs), and with the private 

sector. The overarching objective of response activities centers on saving lives and protecting 

property and the environment. 

The key principles articulated in the NRF 

Response Doctrine are of such significance to 

this response operations keystone that they are 

included here. According to the NRF, these 

principles are rooted in America’s Federal system 

and the Constitution’s division of responsibilities 

between Federal and State governments. 

1. ENGAGED PARTNERSHIP 

Leaders at all levels must communicate and 

actively support partnerships by developing shared 

goals and aligning capabilities so that no one is overwhelmed in times of crisis. Layered, 

mutually-supporting capabilities at Federal, State, tribal, and local levels allow for planning 

together in times of calm and responding together effectively in times of need. Engaged 

partnership includes ongoing communication of incident activity among all partners and 

shared situational awareness for a more rapid response.

Engaged partnerships are essential to preparedness. Effective response begins with a host of 

preparedness activities conducted well in advance of an incident. Preparedness involves a 

combination of planning, resources, training, exercising, and organizing to build, sustain, and 

improve operational capabilities. Preparedness is the process of identifying the personnel, 

training, and equipment needed for a wide range of potential incidents and developing 

jurisdiction-specific plans for delivering capabilities when needed for an incident.

2. TIERED RESPONSE 

Incidents must be managed at the lowest possible jurisdictional level and supported by 

additional capabilities when needed. Each level need not be overwhelmed prior to requesting 

resources from another level. 
Incident Management and Support Keystone 7

Incidents begin and end locally, and most are wholly managed at the local level. Many 

incidents require unified response from local agencies, NGOs, and the private sector, and 

some require additional support from neighboring jurisdictions or the particular State 

involved. A small number require Federal support. National response protocols recognize this 

and are structured to provide additional tiered levels of support when there is a need for 

more resources or capabilities to support and sustain the response and initial recovery. All 

levels should be prepared to respond, anticipating resources that may be required.

3. SCALABLE, FLEXIBLE, AND ADAPTABLE OPERATIONAL CAPABILITIES 

As incidents change in size, scope, and complexity, the response must adapt to meet 

requirements. The number, type, and sources of resources must be able to expand rapidly to 

meet needs associated with a given incident. The disciplined and coordinated process 

described in the NRF can provide for a rapid surge of resources from all levels of government, 

appropriately scaled to need. Execution must be flexible and adapted to fit each individual 

incident. Responders must also remain nimble and adaptable for the duration of a response, 

especially as needs grow and change. Equally, the overall response should be flexible as it 

transitions from the response effort to recovery.

4. UNITY OF EFFORT THROUGH UNIFIED COMMAND 

Effective unified command is indispensable to response activities and requires a clear 

understanding of the roles and responsibilities of each participating organization. Success 

requires unity of effort, which respects the chain of command of each participating 

organization while harnessing seamless coordination across jurisdictions in support of 

common objectives.

The Incident Command System (ICS) and Multiagency Coordination System (MACS) are 

important elements across multijurisdictional or multiagency incident management activities. 

They provide structure to enable agencies with different legal, jurisdictional, and functional 

responsibilities to coordinate, plan, and interact effectively on scene. As a team effort, unified 

command allows all agencies with jurisdictional authority and/or functional responsibility for 

the incident to provide joint support through mutually developed incident objectives and 

strategies established at the command level. Each participating agency maintains its own 

authority, responsibility, and accountability.

The National Incident Management System (NIMS) supports response through the following 

elements of unified command: (1) developing a single set of objectives; (2) using a collective, 

strategic approach; (3) improving information flow and coordination; (4) creating a common 

understanding of joint priorities and restrictions; (5) ensuring that no agency’s legal 

authorities are compromised or neglected; and (6) optimizing the combined efforts of all 

agencies under a single plan.
Incident Management and Support Keystone 8

5. READINESS TO ACT 

Effective response requires readiness to act balanced with an understanding of risk. From 

individuals, households, and communities to local, tribal, State, and Federal governments, 

national response depends on the instinct and ability to act. A forward-leaning posture is 

imperative both for incidents that could expand rapidly in size, scope, or complexity, and for 

no-notice incidents. 

Once response activities have begun, on-scene actions are based on NIMS principles. To 

save lives and protect property and the environment, decisive on-scene action is often 

required of responders. Although some risk may be unavoidable, first responders anticipate 

and manage risk through proper training and planning.

Command—either single or unified—is responsible for establishing immediate priorities for 

the safety of not only the public, but also the responders and other emergency workers 

involved in the response, and for ensuring that adequate health and safety measures are in 

place.

Acting swiftly and effectively requires clear, focused communication and the processes to 

support it. Without effective communication, a bias toward action will be ineffectual at best, 

and likely perilous. An effective national response relies on disciplined processes, 

procedures, and systems to communicate timely, accurate, and accessible information on 

the incident’s cause, size, and current situation to the public, responders, and others. Welldeveloped public information, education strategies, and communication plans help to ensure 

that lifesaving measures, evacuation routes, threat and alert systems, and other public safety 

information are coordinated and communicated to numerous diverse audiences in a 

consistent, accessible, and timely manner. 
Incident Management and Support Keystone 9

CHAPTER 3: RECOVERY CORE PRINCIPLES 

The core principles and organizational constructs introduced coexist with the National 

Response Framework (NRF) and build upon its organizational structure and resources to 

more effectively address long-term recovery needs. The principles articulated in this chapter

guide the full spectrum of recovery efforts with the recognition that recovery is a continuum. 

Recovery begins with pre-disaster preparedness and includes a broad spectrum of planning 

activities. That clarifies the roles and responsibilities for stakeholders in both pre- and postdisaster recovery efforts. It also recognizes that disaster, when it occurs, impacts some 

segments of the population more than others.

1. INDIVIDUAL AND FAMILY EMPOWERMENT 

All community members must have equal opportunity to participate in community recovery 

efforts in a meaningful way. Care must be taken to assure that actions, both intentional and 

unintentional, do not exclude groups of people based on race, color, national origin (including 

limited English proficiency), religion, sex or disability. Care must be taken to identify and 

eradicate social and institutional barriers that hinder or preclude individuals with disabilities 

and others in the community historically subjected to unequal treatment from full and equal 

enjoyment of the programs, goods, services, activities, facilities, privileges, advantages, and 

accommodations provided. A successful recovery is about the ability of individuals and 

families to rebound from their losses in a manner that sustains their physical, emotional, 

social and economic well-being. The restoration of infrastructure systems and services is 

critical during recovery. It is vital that all individuals who make up the community are 

provided with the tools to access and use a continuum of care that addresses both the 

physical losses sustained and the psychological and emotional trauma experienced. 

2. LEADERSHIP AND LOCAL PRIMACY 

Successful recovery requires informed and coordinated leadership throughout all levels of 

government, sectors of society and phases of the recovery process. It recognizes that local, 

state and tribal governments have primary responsibility for the recovery of their 

communities and play the lead role in planning for and managing all aspects of community 

recovery. This is a basic, underlying principle that should not be overlooked by state, federal 

and other disaster recovery managers. States act in support of their communities, evaluate 

their capabilities and provide a means of support for overwhelmed local governments. The 

federal government is a partner and facilitator in recovery, prepared to enlarge its role when 

the disaster impacts relate to areas where federal jurisdiction is primary or affects national 

security. The federal government, while acknowledging the primary role of local, state and 

tribal governments, is prepared to vigorously support local, state and tribal governments in a 

large-scale or catastrophic incident.
Incident Management and Support Keystone 10

3. PRE-DISASTER PLANNING 

The speed and success of recovery can be greatly enhanced by advanced establishment of 

the process and protocols prior to a disaster for coordinated post-disaster recovery planning 

and implementation. All stakeholders should be involved to ensure a coordinated and 

comprehensive planning process, and develop relationships that increase post-disaster 

collaboration and unified decision-making. Another important objective of pre-disaster 

recovery planning is to take actions that will significantly reduce any disaster impacts that 

may occur by rebuilding a more disaster resistant and resilient community. Hence, the NDRF 

strongly encourages innovation among the states, localities, and the private sector in working 

together to identify state and locally-generated tools and resources, pre-disaster, that will 

serve to support and sustain disaster mitigation and long-term recovery efforts.

4. PARTNERSHIPS AND INCLUSIVENESS 

Partnerships and collaboration across groups, sectors and governments promote a 

successful recovery process. Partnerships and inclusiveness are vital for ensuring that all 

voices are heard from all parties involved in disaster recovery and that all available resources 

are brought to the table. This is especially critical at the community level where 

nongovernmental partners in the private and nonprofit sectors play a critical role in meeting 

local needs. Inclusiveness in the recovery process includes individuals with disabilities and 

others with access and functional needs, advocates of children, seniors and members of 

underserved communities. Sensitivity and respect for social and cultural diversity must be 

maintained at all times. Compliance with equal opportunity and civil rights laws must also be 

upheld.

5. PUBLIC INFORMATION 

Clear, consistent, culturally appropriate and frequent communication initiatives promote 

successful public information outcomes. These incorporate a process that is inclusive and 

ensures accessibility to all, including those with disabilities, persons who are deaf or blind 

and those with limited English proficiency. Public information messaging helps manage 

expectations throughout the recovery process and supports the development of local, state 

and tribal government communications plans. This ensures stakeholders have a clear 

understanding of available assistance and their roles and responsibilities; makes clear the 

actual pace, requirements and time needed to achieve recovery; and includes information 

and referral help lines and websites for recovery resources.
Incident Management and Support Keystone 11

6. UNITY OF EFFORT 

A successful recovery process requires unity of effort, which respects the authority and 

expertise of each participating organization while coordinating support of common recovery 

objectives. Common objectives are built upon consensus and a transparent and inclusive 

planning process with clear metrics to measure progress. 

7. TIMELINESS AND FLEXIBILITY 

A successful recovery process upholds the value of timeliness and flexibility in coordinating 

and efficiently conducting recovery activities and delivering assistance. It also minimizes 

delays and loss of opportunities. The process strategically sequences recovery decisions and 

promotes coordination; addresses potential conflicts; builds confidence and ownership of the 

recovery process among all stakeholders; and ensures recovery plans, programs, policies and 

practices are adaptable to meet unforeseen, unmet and evolving recovery needs. 

8. RESILIENCE AND SUSTAINABILITY 

A successful recovery process promotes practices that minimize the community’s risk to all 

hazards and strengthens its ability to withstand and recover from future disasters, which 

constitutes a community’s resiliency. A successful recovery process engages in a rigorous 

assessment and understanding of risks and vulnerabilities that might endanger the 

community or pose additional recovery challenges. The process promotes implementation of 

the National Infrastructure Protection Plan (N I P P) risk management framework to enhance 

the resilience and protection of critical infrastructure against the effects of future disasters. 

Resilience incorporates hazard mitigation strategies; critical infrastructure, environmental 

and cultural resource protection; and sustainability practices not only in reconstructing the 

built environment, such as housing and infrastructure, but also in revitalizing the economic, 

social and natural environments.

9. PSYCHOLOGICAL AND EMOTIONAL RECOVERY 

A successful recovery process addresses the full range of psychological and emotional needs 

of the community as it recovers from the disaster through the provision of support, 

counseling, screening and treatment when needed. These needs range from helping 

individuals to handle the shock and stress associated with the disaster’s impact and recovery 

challenges, to addressing the potential and consequences of individuals harming themselves 

or others through substance, physical and emotional abuses resulting from the disaster. 

Successful recovery acknowledges the linkages between the recovery of individuals, families 

and communities.
Incident Management and Support Keystone 12

CHAPTER 4: FEMA’S INCIDENT MANAGEMENT AND 

SUPPORT TENETS 

Tenets are the core beliefs that FEMA 

emergency managers hold to be true. 

Tenets describe the core basis for action 

during response and recovery. They are 

consistent with and expand on the key 

principles articulated in the National 

Response Framework (NRF)—which apply 

to the Nation as a whole—by focusing on 

FEMA’s role as a partner and provider. 

Tenets clearly guide the approach to any 

incident, regardless of size. These are 

enduring principles that frame the overall 

approach to conducting successful 

incident management and support 

operations and should be applied in virtually all circumstances. FEMA’s tenets are the 

principles that a Federal emergency manager can fall back on to guide his or her actions

during any situation. By adhering to these tenets, the manager can better conduct response 

and recovery operations. These tenets are a step forward, providing clear imperatives for 

bold, coordinated action when providing support.

TENET 1: ENGAGE THE WHOLE COMMUNITY 

Responding to emergencies, especially major disasters, involves multiple agencies, 

organizations, and individuals. Locally, successful response and recovery require the 

combined efforts of the whole community, including local and tribal governments, nonprofits, 

faith-based organizations, other nongovernmental organizations (NGOs), private businesses, 

and individuals. 

Recovering successfully from a disaster depends upon the interaction of a wide range of 

public and private programs and initiatives, including good planning, local capacity, effective 

leadership and decision-making structures, and public confidence-building. Recovery will 

engage members of a community who are neither first responders nor emergency personnel, 

creating significant challenges for coordinating and managing effective response and 

recovery.

The same principle applies at the Federal level. The power of the Federal Government’s 

ability to assist State, local and tribal governments comes from combining the unique 

capabilities of all Federal departments and agencies—as well as the national private sector 

FEMA Incident Management and 

Support Tenets 

1. Engage the whole community.

2. Empower emergency managers to 

make decisions and take coordinated 

action.

3. Respond quickly with decisive initial 

actions.

4. Use outcome-based objectives.

5. Develop creative solutions and 

atypical resources.
Incident Management and Support Keystone 13

and NGOs— and bringing all of these capabilities to bear on the problem in a coordinated 

manner. 

When an incident occurs that requires a Federal response, FEMA has two important roles:

1. FEMA applies its own resources. The following are examples:

• Incident Management Assistance Teams (IMATs), search and rescue teams, 

and Preliminary Damage Assessment (PDA) teams

• Caches of emergency commodities 

• Response, recovery, and mitigation personnel 

2. FEMA marshals and coordinates the entire Federal government’s response and 

recovery as follows:

• National-, regional-, and incident-level incident management and support, such 

as the following:

oInitial lifesaving/life-sustaining activities

oRecovery and community support

o Mitigation Assistance

• Coordination and administration of statutory FEMA programs and assistance, 

such as the following:

oPublic Assistance

oIndividual Assistance

oNational Flood Insurance Program

Most Federal departments and agencies have unique capabilities, expertise, and 

relationships with public- and private-sector elements that are critically important to incident 

response efforts. In some cases Federal 

departments and agencies respond to incidents 

under their own statutory or executive authorities,

rather than at FEMA’s request. When this happens, 

the activities of those Federal departments and 

agencies must ultimately be integrated into the 

overall Federal response and support process. 

During incident response operations, FEMA also 

works to enable the private sector to provide goods 

and services to the community. The most effective way to care for survivors is to reestablish 

the systems (stores, utilities, health care) that survivors need to care for themselves. The 

private sector provides most of these systems before an incident and will ultimately provide 

Whole Community 

The term whole community—with

regard to disaster resilience—

refers to the sum of the people

and the commercial, economic, 

governmental, infrastructure, 

and social systems that make up 

a jurisdiction.
Incident Management and Support Keystone 14

them again. When the private sector is operational, the community recovers more quickly by 

retaining jobs and a stable tax base. Accelerating the process of getting these private-sector 

elements back in business is a key emergency response priority. Assisting in this process is 

the American entrepreneurial spirit, which is an important asset in times of adversity. People 

want to help, and survivors themselves represent an important pool of support and expertise.

In catastrophes, engaging all normal emergency response and recovery resources is 

important, but it will not be enough. FEMA must work with Federal, State, local, and tribal 

governments, the private sector, nongovernmental organizations, and community partners to 

find innovative and atypical means to solve problems, and to obtain and apply resources that 

are not part of the normal process. Many of the most important needs are confronted during 

the initial hours of a response and are required by the populations most vulnerable in times 

of crisis. 

Recovery is an opportunity for communities to rebuild in a manner that will reduce or 

eliminate risk from future incidents. Communities can incorporate stronger building codes 

and land-use ordinances. Vulnerable structures can be retrofitted, elevated, or removed from 

harm. Community members, businesses, and local governments can incorporate risk 

reductions strategies into governance and local decision making.

Most Americans are steadfast and resilient in times of crisis and can be an immediate and 

valuable resource for incident managers. FEMA’s incident management and support 

operations should take that into account and empower survivors to participate in the 

response and recovery efforts. 

TENET 2: EMPOWER EMERGENCY MANAGERS TO MAKE DECISIONS AND 

TAKE COORDINATED ACTION 

The coordinated actions of the entire response 

community—not the efforts of any single 

individual or organization, no matter how bold—

determine the success or failure of response 

operations. Emergency managers at the incident 

must be empowered to make decisions and

perform their roles independently. 

Responding to disasters and emergencies is a 

complex process because the operational 

environment is inherently extraordinary. For 

incidents that are large enough to require 

Federal support, the problems are even more 

complex. For such incidents, no single

Empower People to Make 

Decisions and Take Action 

With clearly defined priorities and 

objectives, emergency managers should 

be empowered to make decisions and 

take actions. They should ask the 

following questions:

• Is it good for survivors?

• Is it legal and ethical?

• Is it something I am willing to be 

accountable for?

If the answer to these questions is 

“Yes,” action should be taken.
Incident Management and Support Keystone 15

organization or individual possesses all the assets or answers. Instead, the combined efforts 

of all partners provide the power to address critical needs and allow for an effective response 

and recovery. 

To empower emergency managers, leaders must build a foundation of trust across the whole 

community, provide a clear vision for the operation, and treat all stakeholders as valued 

members of the team. The experience, expertise, and judgment of emergency managers 

should be leveraged to help tackle complex situations.

Emergency managers must be comfortable with uncertainty, innovative in solving problems,

and willing to make decisions with less-than-perfect information and insufficient 

time. Decisions can be made by considering what is legal, moral, and best for survivors.

FEMA’s role in response and recovery is unique. While other Federal departments and 

agencies may respond on their own and provide much-needed assistance, it is FEMA’s job to 

identify, acquire, and deploy the necessary assets from across the Federal Government. 

FEMA must bring all of these Federal assets to bear on the situation quickly and effectively 

while ensuring that efforts are accomplished in coordination with State, local, and tribal 

officials and with private-sector and NGO response elements. 

Unity of effort means coordinating activities to achieve common objectives regardless of 

whether the participants are from the same organization. FEMA response and recovery 

operations routinely involve multiple organizations at the local, regional, and national levels. 

FEMA’s incident management and support operations can be effective only if they are 

implemented in a unified manner with our partners, to include Federal, State, local, tribal 

governments, the private sector, NGOs, communities, and individuals.

TENET 3: RESPOND QUICKLY WITH DECISIVE INITIAL ACTIONS 

During a response to, and recovery from, any incident, the first decisions and actions that 

emergency managers and response personnel take set the stage for the success or failure of 

the response, and affect how costly and timely the recovery will be. Decisive effort must be 

exerted during the initial response.

Emergency managers must operate with a bias towards vital action and sometimes assume 

risk by making decisions in an environment of insufficient information. Emergency managers 

must constantly anticipate the worst-case scenario, determine which aspects of the incident 

are critical to success, and not hesitate to take action.
Incident Management and Support Keystone 16

Emergency managers often confront 

problems that offer few attractive options. 

Speed, legality, cost, cultural sensitivities,

ensuring the safety of and improving the 

lives of survivors—all are criteria that must 

be weighed. Speed and taking care of 

survivors are the most important criteria 

and should carry the heaviest weight in the 

decision-making process. A more 

deliberative decision-making process used 

in normal day-to-day operations may need 

to be put aside in order to save and sustain 

life and protect property. An imperfect 

action applied in time—and based on 

professional training, experience, and 

judgment—is better than a perfect solution 

applied too late. 

Planning is a critical tool in reducing the 

amount of risk that is assumed during an 

initial response. It is also vital for 

integration, identification, and prioritization 

of key actions and projects in community recovery. Successful planning enhances emergency 

managers’ ability to make decisions by providing potential courses of action and other key 

information. 

TENET 4: USE OUTCOME-BASED OBJECTIVES 

Management by objective is a key characteristic of the National Incident Management 

System (NIMS). Clearly defined objectives that focus on outcomes—which measure change, 

rather than outputs (which measure numbers)—should drive all response activities. At every 

level of response, objectives focus actions toward achieving desired ends. This precept 

highlights the importance of having good objectives that enable responders to concentrate 

on the most important tasks and promote individual initiative and creativity.

Outcome-based objectives clarify what emergency managers need to accomplish by 

emphasizing the desired result rather than the method or intervening steps. An outcomebased objective would state, “Ensure that survivors have the basic commodities they need.” 

A less effective, output-based objective would state, “Deliver 100 truckloads of bottled 

water.” Response actions must focus on outcomes in terms of saving and sustaining life 

while supporting community resilience.

“THINK SMART. . . THINK BIG. . . 

GO BIG . . . GO FAST.” 

FEMA personnel must focus on responding 

aggressively to every incident. We must do 

the following:

• Always plan to support the communities,

irrespective of the limitations that may 

inhibit us prior to an incident.

• Quickly bring all possible resources to 

bear against the effects of an incident. In 

incident response, it is better to have and 

not want, than to want and not have.

• Focus on stabilizing the incident during 

initial response, since effective response 

and recovery systems cannot be 

established without the requisite security.

• Use experience, training, expertise, and 

judgment to make timely decisions when 

the necessary information is not available.
Incident Management and Support Keystone 17

Similarly, a critical component of 

recovery is the establishment of realistic 

metrics for tracking progress, ensuring 

accountability, and reinforcing realistic 

expectations among stakeholders. 

Measuring and communicating the 

progress of recovery efforts increases 

public confidence in the recovery 

process by promoting transparency, 

accountability, and efficiency. It enables 

local leadership to identify ongoing 

recovery needs and engages partners in 

providing assistance and problem 

resolution. Recovery progress serves as 

a tracking mechanism for improving and 

adjusting recovery strategies and 

activities and ensuring continuing 

improvement.

Communities determine how to qualify and quantify their progress. They measure progress 

toward recovery holistically, recognizing that recovery outcomes and impacts are measured 

beyond a single criterion, such as dollars spent or assistance delivered on a program-byprogram basis.

TENET 5: DEVELOP CREATIVE SOLUTIONS AND ATYPICAL RESOURCES 

Response and recovery operations must be able to adapt and develop new systems and 

capabilities when existing capabilities are either destroyed or found to be inadequate to meet 

incident management and support requirements.

While hundreds of incidents occur each year, occasionally a disaster will strike that is of such 

proportions that it affects the entire Nation. Such catastrophes are characterized as follows: 

• The effects of the incident overwhelm not only the standard governmental and 

economic processes but also the systems designed to operate during and in response 

to disasters.

• Requirements exceed available resources throughout the Nation.

• The incident otherwise profoundly affects the entire Nation. While all disasters are 

catastrophic to those whom they affect directly, some impact people across the 

country and may require response and recovery support from jurisdictions far beyond 

the borders of the affected State. 

Outputs vs. Outcomes: An Example 

FEMA regularly provides massive amounts 

of commodities to the Agency’s partners 

as well as to survivors. However, success 

is not measured in the volume of 

commodities moved.

During a hurricane, FEMA could provide 

millions of liters of water to partners. If 

measured in output, the operation would 

be successful. However, if the water 

cannot be distributed due to 

environmental considerations, then the 

operation was still incomplete—when 

looked at in terms of outcomes (in this 

case, people having water). 
Incident Management and Support Keystone 18

In such large-scale response and recovery operations, typical systems and resources may not 

offer the range of options needed to meet the requirements of survivors. Emergency 

managers may not be able to apply traditional solutions in ways that meet the requirements. 

Innovative thinking will be of utmost importance to meet the needs of survivors in large-scale 

events. 

For incidents that can be anticipated, pre-disaster preparedness, planning, mitigation, and 

efforts in building community capacity and resilience are the key. Identifying the breaking 

point of our current systems and resources and comparing them to the anticipated needs 

enables us to plan ways to bridge the gaps. Building or acquiring needed capabilities is best 

done before a specific threat is realized. These efforts result in a resilient community with an 

improved capacity to respond and recover from future disasters. Timely decisions in 

response to these impacts can significantly reduce the cost and time for recovery.

Effective response and recovery operations in catastrophes represent a significant departure 

from response activities during routine incidents. In the aftermath of a catastrophe, FEMA 

emergency managers may not be able to rely on processes and procedures that work 

effectively in other incidents. Emergency managers at all levels, including FEMA personnel, 

will need to deal with the reality that all normal resources will already have been exhausted 

or unavailable; and they will need to apply their best experience and knowledge to find 

innovative ways to anticipate and meet the lifesaving and life-sustaining needs of State, local 

and tribal governments. In terms of acquiring and applying resources, these officials will need 

to respond quickly with decisive initial actions.

Logistics, in terms of getting what is needed to those who need it when they need it, is always 

a key issue in effective response; however, logistics takes on a life-or-death dimension in 

catastrophes. In catastrophes, the effects of the incident may incapacitate or overwhelm

State and local governments, the private sector, and NGOs. In such situations, FEMA 

personnel must be prepared to act beyond their normal roles and quickly assume the 

responsibilities of these organizations and perform them effectively and efficiently—until the 

organizations can resume operations. Leaders must be prepared for other challenges, 

including management of expectations and the inevitability of external criticism of response 

and recovery efforts.

Finally, a catastrophic disaster is an opportunity to build a stronger more resilient community 

that is cognizant of sustainable community principles. By understanding the cause of 

damages, communities are able to take action to ensure rebuilding will reduce impacts of 

disasters in the future.

 
Incident Management and Support Keystone 19

CHAPTER 5: FEMA INCIDENT MANAGEMENT AND 

SUPPORT KEY CONCEPTS 

FEMA Incident Management and Support Key Concepts 

1. Incident Management and Support are Conducted in Accordance with the National Incident 

Management System (NIMS).

2. Effective Preparedness Provides the Basis for Successful Incident Management and 

Support.

3. Incidents Are Categorized by Disaster Levels to Guide Deployment of Resources.

4. Incidents Should Be Managed at the Lowest Possible Operational Level.

5. Unity of Effort in Response Is Achieved Through Unified Command. Unity of Effort in 

Recovery is Achieved Through Unity of Purpose.

6. Disciplined Priorities Enable Meaningful Objectives.

7. Establishing a Secure Operating Environment, Including Emergency Routes, Is Essential to 

Effective Incident Management and Support.

8. Disaster Emergency Communications Are Essential to Effective Incident Management and 

Support.

9. Anticipate Potential Requirements and Quickly Move Resources to Support the Response 

and Short-Term Recovery.

10. Enable Citizens and Survivors to Assist Their Communities Before, During, and After an 

Incident.

11.Response and Recovery Actions Must Be Targeted to Assist the Most Vulnerable.

12.Response, Recovery, and Mitigation Activities Operate Concurrently as Part of Incident 

Management and Support.

13.Response and Recovery Decisions Are Informed By Risk Analysis

14. Planning Is the Foundation for Achieving Common Objectives Through Integrated Response 

and Recovery Efforts.

15. Successful Incident Management and Support Is Ultimately Accomplished When 

Communities Are More Resilient and Sustainable Than They Were Before the Incident.

16. Incident Planning Is a Key Activity at All Levels of FEMA Response Operations.

17. There Is Only One Incident Action Plan (IAP) for Each Incident, and the IAP Is Developed Only 

at the Incident Level.

18. Effective Incident Planning Requires a Comprehensive System for Information Collection, 

Sharing, and Analysis that Includes All Echelons of FEMA Response and Recovery Efforts.

19.Deliberate Planning Is the Foundation for Incident Planning.

20.Deliberate Planning Is Only as Effective as Its Ability to Guide Actual Operations.
Incident Management and Support Keystone 20

Key concepts are the critical means through which incident management and support is 

accomplished. In support of tenets, these key concepts describe essential ideas, practices, 

and standards that must be followed in order to promote a unified and effective incident 

management and support. While not all of the concepts may apply to all situations, these 

concepts are the first bridge between theory and practice, between belief and action. They 

make tangible the ideas put forward in our tenets, as well as the principles as put forth in the 

National Response Framework (NRF). These concepts are intended to guide the development 

and conduct of operations, plans, training, 

staffing, equipping, and other contributors to 

successful incident management and support

operations. Key concepts are the building 

blocks of successful operations. 

CONCEPT 1: INCIDENT 

MANAGEMENT AND SUPPORT ARE 

CONDUCTED IN ACCORDANCE WITH 

NIMS 

The National Incident Management System

(NIMS) was developed to enhance the ability 

to manage domestic incidents within the 

United States. The objective is to ensure that 

all levels of government across the Nation 

work efficiently and effectively together, using 

a single, national approach to domestic

incident management. NIMS provides a 

common incident management template that 

gives personnel a flexible but standardized 

system for emergency management and 

incident management and support activities. 

NIMS operational guidelines allow disparate 

organizations and agencies to work together 

in a coordinated manner.

A fundamental premise of NIMS is that 

incidents are typically managed at the local 

level first. NIMS is predicated on the concept 

that local jurisdictions retain command, 

control, and authority over response activities 

for their jurisdictional areas. Adhering to NIMS 

processes allows local agencies to better 

What Is FEMA’s Incident Level? 

• While FEMA has commonly referred 

to it as “the field,” FEMA’s incident 

level refers to the level at which 

FEMA incident management is 

accomplished, typically in partnership with States and in support of 

local officials. This is the level at 

which a Unified Coordination Group

(UCG) employs Federal resources to 

achieve jointly-developed incident 

objectives. 

• The FEMA representative to the UCG 

is the Federal Coordinating Officer 

(FCO), who holds directive authority 

over FEMA assets. For a non-Stafford 

Act incident, the Department of 

Homeland Security (DHS) 

representative to the UCG is the 

Federal Coordinator.

• The area of a FEMA incident is

defined by the geographical boundaries of the jurisdictions listed in 

the pertinent declaration in the case 

of a Stafford Act incident or other 

executive guidance for a nonStafford Act incident.

• A Federal employee assigned as part 

of a command and general staff in 

support of a UCG operates under the 

roles and responsibilities of the incident position and under the 

authority of the leadership of the 

command and general Staff.
Incident Management and Support Keystone 21

control and utilize incoming resources. Control is delegated to the lowest level of execution 

because the FEMA response element closest to the scene has the most direct knowledge of 

the situation, ready access to State and local officials, the capacity to apply resources with 

greatest accuracy, and the ability to adjust support quickly as needs change. Managing at the 

lowest level allows the incident objectives to be set at the operational level most acquainted 

with the needs of the affected population. This approach focuses the efforts of higher 

echelons within FEMA on the incident requirements and ensures unity of effort.

The Unified Coordination Group (UCG) is the primary Federal or State organizational structure 

for managing and supporting disaster response operations at the field level. Until a Federal 

Coordinating Officer (FCO) is appointed and establishes operational capability, the FEMA 

Region continues to coordinate Federal assistance to respond to the incident. This reduces 

unnecessary delay between incident occurrence and the initiation of a Federal response, 

should one be needed. After the establishment of a UCG, the Region maintains responsibility 

to support incident management. The role of FEMA headquarters is to support the affected 

Region(s).

The components of NIMS—(1) preparedness, (2) communications and information 

management, (3) resource management, (4) command and management, and (5) ongoing 

management and maintenance—were designed to work together flexibly and systematically 

to provide the national template for incident management.

NIMS integrates best practices into a comprehensive template for emergency management 

and response personnel to use nationwide in an all-hazards context. These best practices lay 

the groundwork for the components of NIMS and provide the mechanisms for the further 

development and refinement of the supporting national standards, guidelines, protocols, 

systems, and technologies. NIMS fosters the development of specialized technologies that 

facilitate emergency management and incident response activities, and allows for the 

adoption of new approaches that will enable continuous refinement of the system over time. 

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

set of doctrines, concepts, principles, terminology, and organizational processes that enables 

effective, efficient, and collaborative incident management. To that end, FEMA doctrine is 

how FEMA operates within the NIMS operating systems.

All of the NIMS components are important to efficient response operations, but three apply 

directly to supporting an incident, as follows:

• Communications and information management

• Resource management

• Command and management

The function and importance of these three components are further explained below. 
Incident Management and Support Keystone 22

Communications and Information Management 

Effective incident management and support activities rely on flexible, reliable 

communications and information systems that provide situational awareness to emergency 

management and response personnel and their affiliated organizations. Properly planned 

and executed communications systems enable the dissemination of information among 

command and support elements and, as appropriate, cooperating agencies and 

organizations. 

Incident communications require the development and use of common communications 

plans and interoperable communications equipment, processes, standards, and 

architectures. During an incident, this integrated approach links the operational and support 

units of the various organizations. Communications and information management planning 

address the incident-related policies, equipment, systems, standards, and training necessary 

to achieve integrated communications.

Situational awareness is established and maintained by collecting, analyzing, and 

disseminating incident information to all appropriate parties. The following characteristics

facilitate situational awareness:

• Interoperability allows emergency management and response personnel to 

communicate within and across agencies and jurisdictions via voice, data, or video, 

when needed and when authorized

• Reliability enables communications and information systems to function in any type of 

incident and under adverse conditions

• Scalability allows responders to increase the number of users in a system

• Portability permits communications and information systems to move easily and 

quickly

• Resiliency enables communication systems to withstand and continue to perform 

after damage or infrastructure loss

• Redundancy ensures that there are always multiple means to communicate

Resource Management 

Incident management and support activities require the skillful management of resources 

(personnel, teams, facilities, equipment, and/or supplies) to meet incident needs. Typing, 

inventorying, organizing, and tracking facilitate the ordering, deployment, and recovery or 

demobilization of resources before, during, and after an incident. 

Resource management includes the coordination, oversight, and other processes that 

provide the right resources when and where they are needed. Resources are ordered to meet 

identified needs based on evolving incident priorities. As an incident grows in size or 
Incident Management and Support Keystone 23

complexity, or if it starts on a large scale, other sources—Federal, State, the private sector, 

and nongovernmental organizations (NGOs)—may have to meet resource needs.

Efficient and effective deployment of resources requires that sound resource management 

concepts and principles be used in all phases of emergency management and incident 

response. The underlying concepts of resource management are the following:

• Consistency: A standard method for identifying, acquiring, allocating, and tracking 

resources

• Standardization: Resource typing, which includes naming conventions, to improve the 

effectiveness of resource ordering

• Coordination: Facilitation and integration of resources for optimal benefit

• Use: Incorporating resources from all levels of government, the private sector, and 

NGOs, where appropriate, in resource management planning efforts

• Information management: Thorough integration of communications and information 

management elements into resource management organizations, processes, 

technologies, and decision support

• Credentialing: Use of criteria that ensure consistent training, licensure, and 

certification standards

It is incumbent upon emergency managers to be able to develop response and recovery

capabilities, preferably through capabilities-based planning before an event, to address 

requirements for which resources do not exist. During the response to and recovery from

catastrophes, the needs of communities and survivors will not be met through government 

assets alone. Through the innovative and adaptive application of our Nation’s capabilities, 

both public and private, we can and will enable our communities to respond to and recover 

from these incidents. 

 
Incident Management and Support Keystone 24

ICS Management Characteristics 

1. Common terminology

2. Modular organization

3. Management by objectives

4. Incident action planning

5. Manageable span of control

6. Incident facilities and locations

7. Comprehensive resource management

8. Integrated communications

9. Establishment and transfer of command

10. Chain of command and unity of command

11. Unified command

12. Accountability

13. Dispatch and deployment

14. Information and intelligence management

Command and Management—The Incident Command System and Multiagency 

Coordination System 

The Incident Command System (ICS) is designed to manage incidents. While the 

management characteristics of ICS apply to FEMA operations at all levels, FEMA uses the 

actual ICS organization and functions at 

the incident level only. 

Flexibility to manage incidents of any 

size requires coordination and 

standardization among emergency 

management and response personnel 

and their affiliated organizations. At the 

heart of NIMS is ICS, which 

standardizes key incident management 

characteristics such as modular 

organization, common terminology, 

manageable span of control, unity of 

command and chain of command, 

incident action planning, and 

comprehensive resource management. 

All of these promote common 

understanding and integration among 

jurisdictions and disciplines. All levels 

of government—Federal, State, tribal, 

and local—as well as many NGOs and 

the private sector use ICS at the 

incident level. As a system, ICS not only provides an organizational structure for incident 

management but also guides the process for planning, building, and adapting that structure. 

ICS is designed to be adaptable, flexible, and scalable in order to function in any type of 

incident, regardless of cause, size, location, or complexity—and whether the incident is within 

a single jurisdiction or agency, a single jurisdiction with multiagency involvement, or multiple 

jurisdictions with multiagency involvement. As incidents change in size, scope, and 

complexity, the response must be adaptable to meet changing requirements. Execution must 

be flexible and adapted to specifically fit the nature and scope of a given incident. 

The implementation of ICS corresponds to the size and complexity of the incident. Selective 

implementation allows for a scaled response and a level of coordination appropriate to each 

event. It is not always obvious whether a seemingly minor incident might be the initial phase 

of a larger, rapidly growing threat. Response and recovery must be quickly adaptable, flexible, 

and scalable.
Incident Management and Support Keystone 25

A common misunderstanding is that in being adaptable, flexible, and scalable, ICS can be 

whatever an individual or organization wants it to be. But NIMS and ICS are standardized 

systems. In the context of ICS, adaptable, flexible, and scalable are defined as follows:

• Adaptable means that ICS can be used to manage any kind or type of hazard or 

incident that may be the threat or occurrence of either a natural or man-made

disaster or a planned event, such as the Olympics.

• Flexible means that the organizational structure is a modular design, which allows the 

flexibility of using only the organizational response functions required for the incident. 

However, the Operations Section must always be the focus of an ICS structure.

• Scalable means that the ICS can expand to fit the magnitude of the incident, from a 

very small incident to a large complex incident. This characteristic allows only the 

necessary positions to be staffed based on incident needs.

Nothing that the terms adaptable, flexible, and scalable describe permits organizations to 

ignore the 14 ICS Management Characteristics inherent to ICS. The organizational structure 

can be expanded or reduced. New positions can be created to meet the needs of the incident 

as long as the changes conform to the organizational protocols and the ICS management 

characteristics. Functioning in accordance with NIMS improves FEMA response operations by 

applying tested incident management concepts, and improves FEMA’s capacity to interface 

efficiently and effectively with State, local, NGO, and private-sector partners.

Using ICS for every incident or planned event hones the skills needed for the large-scale 

incidents. Failing to consistently utilize ICS degrades an organization’s ability to respond 

effectively.

Our accepted mechanisms for command and coordination may not be available for use 

during the initial stages of a catastrophe. FEMA’s emergency management professionals 

must be ready to operate in this type of austere environment by applying effective planning, 

marshaling as robust a response capability as possible, and using judgment in applying these 

resources in an information-deprived environment. Most leaders will be able to command 

and control only those facets of a response with which they are physically collocated and 

where they can control the outcomes. All efforts will need to be focused on the priorities of 

saving and sustaining lives, and every effort must be made to capitalize on available 

resources to maximize the support provided. 

The Multiagency Coordination System (MACS) is a process that allows all levels of 

government and all disciplines to work together more efficiently and effectively. Multiagency 

coordination occurs across the different disciplines involved in incident management, across 

jurisdictional lines, or across levels of government. Multiagency coordination can and does 

occur regularly whenever personnel from different agencies interact in such activities as 

preparedness, prevention, response, recovery, and mitigation.
Incident Management and Support Keystone 26

CONCEPT 2: EFFECTIVE PREPAREDNESS PROVIDES THE BASIS FOR 

SUCCESSFUL INCIDENT MANAGEMENT AND SUPPORT 

Effective disaster response and recovery operations are based on preparedness, which 

includes a continuous cycle of planning, organizing, training, equipping, exercising, 

evaluating, and taking corrective action. Preparedness efforts validate and maintain plans, 

policies, and procedures, describing how they will prioritize, coordinate, and manage 

information and resources.

• Planning builds relationships, provides the tools for capability building, identifies 

resources, and outlines operational and organizational concepts that are the 

fundamental building blocks for effective response and recovery operations.

• Training and equipping provide personnel with the knowledge, skills, and tools they 

need to perform their assigned functions as an individual or as part of a defined team.

• Conducting exercises allows individuals and teams to rehearse and demonstrate 

capabilities.

• Assessing and evaluating performance in actual incidents and exercises provides an

empirical basis for improving plans and capabilities.

Preparedness activities must be coordinated among all appropriate agencies, organizations, 

and Federal, State, tribal, and local authorities. Well-established, pre-disaster partnerships at 

the local, tribal, State and Federal levels help to drive a successful response and recovery

process. Individual, business, and community preparation and resilience-building programs 

provide a foundation for recovery plans that improve the speed and quality of post-disaster 

recovery decisions.
Incident Management and Support Keystone 27

CONCEPT 3: INCIDENTS ARE CATEGORIZED BY DISASTER LEVELS TO 

GUIDE DEPLOYMENT OF RESOURCES 

FEMA uses three disaster levels (figure 1) to categorize an incident based on the actual or 

anticipated impact, size, complexity of the incident, and the Federal assistance required. The 

Director of Disaster Operations (DDO) and FEMA Regional Administrator (RA) coordinate on 

the designation of disaster levels and may adjust disaster level designations as the 

magnitude and complexity of the incident change.2 They will use these designations to guide 

the assignment of resources such as Incident Management Assistance Teams (IMATs)—that 

are, Type I, II, or III.

Figure 1. FEMA Disaster Levels 

 

2 The role of the DDO is to synchronize all FEMA Headquarters response operations and related activities during 

major disasters or emergency activations. “Headquarters Leadership During Disaster Operations,” FEMA 

Administrator memorandum, June 25, 2009.
Incident Management and Support Keystone 28

We manage incidents at the lowest 

operational level because FEMA 

personnel closest to the scene 

• have the most direct knowledge of the 

situation,

• have the most ready access to State 

and local officials,

• have the capacity to apply resources 

with the greatest precision, and

• can adjust activities and resources 

quickly as needs change.

Resources are organized by category, kind, and type, including size, capacity, capability, skill, 

and other characteristics. This makes the resource ordering among all levels of governments, 

NGOs, and the private sector more efficient and ensures that communities receive needed 

resources.

In a catastrophic (Level I) incident, FEMA officials must anticipate that many needed 

resources will simply not be available. Meeting critical shortfalls will require both innovation 

and tapping nontraditional sources. 

CONCEPT 4: INCIDENTS SHOULD BE MANAGED AT THE LOWEST POSSIBLE 

OPERATIONAL LEVEL 

A basic premise of NIMS and the NRF is that incidents should be managed at the lowest 

possible level. 

Control of FEMA incident management and support efforts is delegated to the lowest level of 

execution because the FEMA element 

closest to the scene has the most direct 

knowledge of the situation, most ready 

access to State and local officials, the 

capacity to employ resources with 

greatest accuracy, and the ability to 

adjust support quickly as needs change. 

Delegating control in this way 

emphasizes a bottom-up approach to 

the chain of command, from the 

incident through the Region to FEMA 

Headquarters.

Delegating control enables officials at 

various levels and with different 

authorities and responsibilities to organize, plan, and assign resources necessary to 

accomplish incident objectives and prioritize recovery actions and projects. 

The FEMA Administrator and Regional Administrator; State, tribal, and local emergency 

response organizations; and other Federal and private-sector agencies maintain control of 

their assigned resources until they choose to delegate that control. The FEMA Administrator 

and RAs may delegate control of FEMA-specific resources to the FCO when the FCO is ready 

to take charge; that delegation can be rescinded as necessary. Once the FCO has control, the 

FCO directs Federal resources, as required, to accomplish incident objectives. The FCO may 

allow other Federal, State, tribal, or local incident commanders to temporarily control and 

direct FEMA resources, but the FCO or appropriate Federal authorities always retain final 

control of Federal resources.
Incident Management and Support Keystone 29

CONCEPT 5: UNITY OF EFFORT IN RESPONSE IS ACHIEVED THROUGH 

UNIFIED COMMAND. UNITY OF EFFORT IN RECOVERY IS ACHIEVED 

THROUGH UNITY OF PURPOSE 

Successful incident management and support operations require unity of effort.

Cooperation and mutual aid are the cornerstones of success for effective joint activity. A 

coordinated approach that promotes unity of effort provides the strongest foundation to 

manage all hazards and threats. Unity of effort is achieved through clearly defined roles and 

responsibilities, access to information, and a shared understanding of how risks are 

managed and prioritized to inform the allocation of limited resources.

Clear, objectively measurable, collaboratively developed performance metrics help define 

collective unity of purpose. Unity of purpose is the foundation for unity of effort during 

incident management and support operations.

Unified command is a structure that brings together the designated officials from the 

principal jurisdictions affected by the incident to coordinate an effective response while 

carrying out their own jurisdictional responsibilities. Unified command ensures that, 

regardless of the number of agencies or jurisdictions involved, all decisions are based on 

mutually agreed-upon objectives.

FEMA incident management activities are organized at the incident level according to the ICS 

structure. Unity of effort is achieved through the UCG—the structure that executes unified 

command and leads incident activities. The UCG is composed of senior leaders representing 

Federal and State interests, and, in certain circumstances, tribal governments, local 

jurisdictions, and/or the private sector. The FCO is the primary Federal official responsible for 

coordinating, integrating, and synchronizing Federal response activities in Stafford Act 

incidents. The FCO is also responsible for establishing the UCG, the composition of which 

varies from incident to incident depending on the scope and nature of the disaster and the 

assets needed. A UCG enables agencies with different legal, geographic, and functional 

authorities and responsibilities to coordinate, plan, and interact effectively.

The ICS organization is not appropriate to use at levels other than the incident. However, this 

does not mean that unified command is impossible. For support activities such as those 

conducted in the Regional and National Response Coordination Centers, unity of effort and 

unified command are achieved through an alternative structure that is consistent with the 

principles of NIMS and ICS. MACs is the structure that facilitates unified command beyond 

the incident level. 

While the UCG provides the mechanism for coordinating public response, it must also reach 

out and embrace private entities that have and will continue to ensure the viability of 
Incident Management and Support Keystone 30

communities before and after an incident. We must not seek to replicate private systems, but 

include them as a function that must be enabled. 

Multiagency Coordination System (MACS). The principal functions and responsibilities of 

MACS entities typically include ensuring that each agency involved in incident management 

activities is providing appropriate situational awareness and resource status information; 

establishing priorities between incidents and/or area commands in concert with the Incident 

Coordination Group or UCG(s); acquiring and allocating resources required by incident 

management personnel in concert with the priorities established by the UCG(s); anticipating 

and identifying future resource requirements; coordinating and resolving policy issues arising 

from the incident(s); and providing strategic coordination as required.

While FEMA’s response and recovery efforts center around the incident level, FEMA’s 

regional and national elements have important capabilities and expertise that are applied to 

support the UCG. At the national level, FEMA Headquarters officials interface with senior 

Presidential Administration personnel, the leaders of other DHS components, other Federal 

departments and agencies, the private sector, and NGOs to expedite resources and find 

solutions to policy and programmatic problems that are impeding response and recovery. At 

the FEMA regional level, the FEMA RA is ultimately responsible for the FEMA response to all 

incidents in the region. Regional response and recovery coordination and program division 

staff in the Regional offices represent the first line of support to the FCO and UCG by helping 

to source and deploy required resources. 

Catastrophes may render traditional incident command structures and even the normal 

unified command processes impractical. In such cases, leaders must be prepared to operate 

promptly and, in some cases, unilaterally—based on priorities and the best information 

available with regard to needs.

Unity of Purpose Through Community and Partner Engagement. A key element in an 

expedient recovery involves community interface and successful coordination with outside 

sources of help, such as surrounding governments, foundations, universities, nonprofit 

organizations, and private-sector entities. 

Recovery stakeholders leverage and coordinate disaster and traditional public- and privateassistance programs to accelerate the recovery process and to avoid duplication of efforts.

Leadership establishes the guidance for the transition from response operations to recovery 

and, finally, a return to a normal state of community functioning, including the shift of roles 

and responsibilities.

Stakeholders collaborate to maximize the use of available resources to rebuild housing, 

infrastructure, schools, businesses, and the social-historical-cultural fabric of the impacted

community in a resilient manner. Collaboration of stakeholders is also necessary to provide 

health care access and functional support services. Local opinions are incorporated so that 
Incident Management and Support Keystone 31

community needs are met in a more holistic manner, maximizing the provision and utilization 

of recovery resources. All perspectives within the community have an opportunity to 

participate in all phases of disaster and recovery planning; transparency and accountability in 

the process are clearly evident. Impacted communities assume the leadership in developing 

recovery priorities and activities that are realistic, well-planned, and clearly communicated.

Organizational structures for coordinating recovery assistance are scalable and flexible. 

Recovery structures at all government levels evolve, adapt, and develop new skills and 

capacities to address the changing landscape of post-disaster environments.

CONCEPT 6: DISCIPLINED PRIORITIES ENABLE MEANINGFUL OBJECTIVES 

It is critical during the initial response to an event for action priorities to be established. 

Priorities give precedence to incident objectives, and while objectives must be based on 

requirements, priorities guide the status in which objectives must be addressed. 

During a large-scale or complex event, resources and capabilities will not exist to meet all 

competing demands. A disciplined set of response and recovery priorities is crucial in order to 

communicate to all those involved in incident management and support what must be 

accomplished first. This is especially crucial for resources and capabilities that are in high 

demand—and few of which may exist—during an incident. Emergency managers can use 

priorities to guide the employment of resources in support of objectives. 

CONCEPT 7: ESTABLISHING A SECURE OPERATING ENVIRONMENT, 

INCLUDING EMERGENCY ROUTES, IS ESSENTIAL TO EFFECTIVE INCIDENT 

MANAGEMENT AND SUPPORT 

Ensuring the safety and security of survivors and emergency workers is a fundamental 

requirement. Failure to establish and maintain a secure environment will hinder all response 

efforts.

• Effective incident management and support activities rely on clear access to the 

disaster scene, flexible and reliable communications, and information systems that 

provide situational awareness to emergency management and response personnel 

and their affiliated organizations.

• Effective response requires that response officials can get resources (responders, 

teams, equipment, and commodities) to those affected by the incident. FEMA must 

support local efforts to clear highways, bridges, ports, and airports as a first priority in 

incident management and support operations. Without the capacity to get the needed 

resources to disaster survivors, response efforts cannot succeed.
Incident Management and Support Keystone 32

Pushing Resources 

Pushing resources is the process of 

FEMA incident support officials 

dispatching pre-planned individuals, 

teams, equipment, and supplies to 

convenient but non-intrusive locations

in the vicinity of the incident without a 

specific request from the incident level. 

From this location the UCG may apply 

the resources expeditiously to achieve 

incident objectives. Pushing resources 

is intended to meet critical needs 

promptly but not to overwhelm the staff 

at the incident with items they do not 

want or need.

CONCEPT 8: DISASTER EMERGENCY COMMUNICATIONS ARE ESSENTIAL 

TO EFFECTIVE INCIDENT MANAGEMENT AND SUPPORT 

Establishing and maintaining effective disaster emergency communications and information 

systems is critical to FEMA’s role in coordinating the Federal government’s response, 

continuity efforts, and restoration of essential services before, during, and after an incident. 

Promoting and providing operable and interoperable communications and information 

systems capabilities across all levels of government ensures mission-critical information and 

situational awareness for emergency management decision-makers and support elements.

Ensuring effective incident communications requires the following:

• Supporting effective, tactical, operable and interoperable voice, video, and 

information systems for emergency response teams

• Identifying and documenting mission-critical disaster emergency communications and 

information systems capabilities, requirements, solutions, and mitigation strategies

• Developing effective command and control communications frameworks

• Supporting the coordination and delivery of secure communications solutions

• Promoting communications interoperability with Federal, State, tribal, and local 

emergency response providers

CONCEPT 9: ANTICIPATE POTENTIAL REQUIREMENTS AND QUICKLY MOVE 

RESOURCES TO SUPPORT THE RESPONSE AND SHORT-TERM RECOVERY 

Resource management consists of the 

coordination, oversight, and processes that 

provide timely and appropriate resources 

during an incident. As incident priorities are 

established, the needs are identified and the 

resources ordered. Management systems 

function to translate incident resource 

requests into actual delivered materiel and 

capability where and when needed.

To ensure rapid response to a disaster, 

FEMA may proactively alert its Logistics 

Distribution Centers before an incident 

occurs; identify and set up mobilization 

centers and staging areas (in the vicinity of 

the affected area); and begin deploying 

commodities and teams based on predetermined execution schedules or resource-modeling 

tools. FEMA commodities remain under Federal control until transferred to a particular State. 
Incident Management and Support Keystone 33

An Example of Engaging Citizens: 

FEMA supports citizen engagement through 

initiatives such as Citizens Corps grants and 

Community Emergency Response Team (CERT) 

training.

CERT enhances community self-sufficiency 

through the development of multifunctional 

response teams who act as an adjunct to 

communities’ emergency services during major 

disasters. When emergencies happen, CERT 

members can give critical support to first 

responders and safely provide immediate 

assistance to victims.

The UCG, once operational, takes responsibility for identifying requirements, directing staging 

areas in or near the affected area, and coordinating logistical support for resources deployed 

to the affected area.

To expedite the availability of essential resources before or immediately after a disaster, 

commodities and teams may be pushed to the mobilization centers, Incident Support Bases, 

and staging areas. When commodities are pushed, clear communications with lower 

operational levels are essential to ensure that sufficient personnel and facilities are available 

to receive and manage them. 

The process of pushing resources will transition to a pull process as soon as operational 

control is established at the incident level (for example, the RA ceases sending resources and 

the FCO begins requesting resources). The UCG then establishes resource requirements in 

coordination with State, territorial, and/or tribal partners.

As an exception to this established process, during a Type I incident when there is no lower 

level to task—due to the lack of communications or presence on the ground—FEMA national 

incident support officials may push resources from the whole of the Nation to the impacted 

area to meet anticipated needs. 

CONCEPT 10: ENABLE CITIZENS AND SURVIVORS TO ASSIST THEIR 

COMMUNITIES BEFORE, DURING, AND AFTER AN INCIDENT 

Both during and after disasters and 

emergencies, those who survive the 

incident are the first to respond, 

helping neighbors and others who 

have been affected even before first 

responders arrive. As the situation 

stabilizes, survivors continue to rally 

together to provide assistance. Local 

government should recognize 

members of the community as an 

important resource and work to 

enable their efforts before, during, 

and after an incident. FEMA supports 

State and local governments in 

encouraging survivor and citizen 

involvement in preparedness, 

response, recovery, and mitigation 

activities. 
Incident Management and Support Keystone 34

CONCEPT 11: RESPONSE AND RECOVERY ACTIONS MUST BE TARGETED 

TO ASSIST THE MOST VULNERABLE 

While bold, coordinated action is called for in FEMA’s response, it is critical to remember that 

the success of the response and community’s recovery is going to be measured in how the 

most vulnerable members of the community are cared for. FEMA needs to assure that 

response and recovery activities respect the civil rights and civil liberties of all populations 

and do not result in discrimination on account of race, color, national origin (including limited 

English proficiency), religion, sex, or any form of disability. 

The medically frail, the very young, the elderly, and persons with other special needs should

be a primary focus during the response and recovery efforts. Leveraging the desire of local 

citizens to assist emergency managers will expand the resources available to maximize the 

support to this segment of the community and improve the effectiveness of the overall 

response and recovery.

CONCEPT 12: RESPONSE, RECOVERY, AND MITIGATION ACTIVITIES 

OPERATE CONCURRENTLY AS PART OF INCIDENT MANAGEMENT AND 

SUPPORT 

All aspects of FEMA operations, programs, and activities are important to the people and 

communities affected by an incident. Response, recovery, and hazard mitigation often are 

concurrent (and not sequential) activities. Immediate actions to save lives, meet human 

needs, and protect property and the environment receives priority in the early stages of a 

disaster. However, even as these immediate imperatives are being addressed, recovery and 

mitigation efforts must begin. 

While the initial emphasis may be on response, response actually happens concurrently with 

the execution of short-term recovery and the planning for long-term recovery. For example, 

individual assistance activities, such as providing shelters, registration, and information on 

registration; assessing locations for Disaster Recovery Centers; and assessing potential 

temporary housing needs—all require immediate attention. Some of these activities may be 

considered short-term recovery even though they persist for a longer term. Longer-term 

recovery programs such as public assistance and hazard mitigation normally begin before the 

immediate response activities are completed.

While various components of FEMA have specific programs or capabilities that can assist 

local jurisdictions in the aftermath of a disaster, the various FEMA components cannot apply 

these programs and capabilities independently. Instead, the efforts of all FEMA elements 

must be synchronized, and this is the responsibility of the “operations” function at the 

incident level. Regionally, ensuring the coordination of FEMA programs and capabilities to 

support the incident is the responsibility of the RA and the Regional Response Coordination 
Incident Management and Support Keystone 35

Staff. The FEMA Administrator is ultimately responsible for synchronizing incident support 

activities within FEMA, accomplishing this through the DDO and the National Response 

Coordination Staff. 

CONCEPT 13: RESPONSE AND RECOVERY DECISIONS ARE INFORMED BY 

RISK ANALYSIS 

Understanding how hazard characteristics affect communities is crucial to providing effective 

emergency response and informed recovery actions. By understanding natural and 

manmade hazards and how they can affect people, communities and the built environment, 

FEMA can make risk-informed decisions from the earliest response activity through sustained 

recovery actions. FEMA utilizes risk analysis tools to assist communities in evaluating and 

managing the risk posed by hazards, and coordinates Federal Response around sound risk 

information.

FEMA provides comprehensive risk management strategies by engaging public and private 

sector resources and partners to develop studies and maps of hazard information, assists in 

the development of community mitigation planning and use of real time data and predictive 

modeling during events to provide critical risk analysis. In addition, ongoing risk analysis is 

conducted through Risk Analysis programs at FEMA headquarters, regional program offices 

and field offices. 

CONCEPT 14: PLANNING IS THE FOUNDATION FOR ACHIEVING COMMON 

OBJECTIVES THROUGH INTEGRATED RESPONSE AND RECOVERY EFFORTS 

For FEMA response doctrine purposes, two fundamental types of emergency planning are 

established as follows: 

• Deliberate planning is accomplished under nonemergency conditions, developing 

general procedures for responding to future threats or scenarios.

• Incident planning is associated with an actual or potential incident, likely under 

emergency conditions, developing procedures for responding to actual or projected 

effects. This includes Incident Action Planning and planning efforts described by terms 

such as crisis action planning, strategic planning, and adaptive/advanced planning.

For FEMA recovery doctrine purposes, two fundamental types of recovery planning are 

established, as follows:

• Pre-disaster recovery planning enables local, State, and tribal governments to 

effectively direct recovery activities and expedite a unified recovery effort. Pre-disaster 

plans provide a common platform to guide recovery decisions and activities. Predisaster recovery planning involves a State or community articulating a process for 
Incident Management and Support Keystone 36

how it organizes and manages its long-term recovery, establishes relationships among 

stakeholders, and develops methods for prioritizing recovery decisions and addresses

land-use considerations. Effective community pre-disaster recovery planning includes 

integration with other recovery preparedness, mitigation, and community resiliencebuilding work. Individual, business, and community preparations and resiliencebuilding provide a foundation for recovery plans that improve the speed and quality of 

post-disaster recovery decisions.

• Post-disaster recovery planning puts complex decisions in the context of the disaster 

and forms the foundation for allocating resources. The planning process provides the 

benchmark to measure the affected community’s progress toward a successful 

outcome. Post-disaster recovery planning involves incorporating constituents’ input,

leading the development of the community’s recovery visions, priorities, resources, 

capability, and capacity. Post-disaster recovery planning incorporates critical 

mitigation efforts as well as resilience, sustainability, and accessibility-building 

measures.

Proper pre- and post-disaster planning is critical for communities to develop resilience and is 

a prerequisite for the implementation of a well-constructed recovery process.

Planning is a foundational element of both preparedness and all phases of incident 

management and support. Planning benefits emergency management by doing the following:

• Identifying objectives

• Describing organization structure(s)

• Assigning tasks to achieve objectives

• Identifying resources to accomplish tasks

• Anticipating potential impediments and issues

• Contributing to unity of effort by providing a common blueprint for all incident 

management and incident support activities

Planning activities are based on the principles and tenets of the NRF. The planning process 

initiates and builds important personal relationships that add tremendous value during 

incident response and recovery operations.

CONCEPT 15: SUCCESSFUL INCIDENT MANAGEMENT AND SUPPORT IS 

ULTIMATELY ACCOMPLISHED WHEN COMMUNITIES ARE MORE RESILIENT 

AND SUSTAINABLE THAN THEY WERE BEFORE THE INCIDENT. 

Resilient and sustainable communities are better able to respond to and recover from 

incidents. Federal efforts, as described in the Stafford Act and foundational documents to 
Incident Management and Support Keystone 37

this keystone document, reinforce these principles at the community level by providing 

assistance for communities to reduce their risk from hazards. As a result, sound incident 

management and support incorporates recovery and mitigation throughout Federal efforts. 

Federal support to a community fosters risk analysis, risk reduction, and risk insurance 

principles and practices to assist communities throughout a disaster—to rebuild a safer and 

more resilient community through the delivery of Federal hazard mitigation assistance.

Resilience incorporates hazard mitigation strategies; critical infrastructure, environmental,

and cultural resource protection; and sustainability practices—not only in reconstructing the 

built environment, such as housing and infrastructures, but also in revitalizing the economic, 

social, and natural environments. A successful Federal management and support role for 

response, recovery, and mitigation efforts will respond to immediate operational 

requirements, while at the same time facilitating a recovery that supports a more resilient 

community. Federal assistance programs for response, recovery, and mitigation have proven 

successful when they help communities reach these goals.

CONCEPT 16: INCIDENT PLANNING IS A KEY ACTIVITY AT ALL ECHELONS 

OF FEMA RESPONSE AND RECOVERY 

Planning guides incident response and recovery operations at all levels and ensures that the

focus remains on achieving incident objectives. Incident planning is an integral element of 

incident management and support and is thus a critical component of the response. This 

means that planning activities, whether developing situational awareness or creating 

planning products, must fulfill requirements that are closely coordinated with response staff 

members. Planners are facilitators who provide a coherent process to capture and articulate 

response concepts. 

Incident planning rests on the foundation of deliberate planning, which outlines the roles, 

responsibilities, authorities, and resources of departments and agencies. Deliberate plans, 

which are developed pre-incident, are adapted to fit an actual incident. Both deliberate plans 

and incident plans must support State, local and tribal partners in addressing not only the

average resident who may be affected by the disaster but also the whole community and the 

most vulnerable, including children, the elderly, other underserved populations, and those 

with special needs. Incident plans include the Incident Action Plan (IAP), Incident Functional 

Plans, the Advance Operational Plan (AOP), the Incident Strategic Plan, and Regional and 

National Support Plans, as well as functional plans that may be developed at any level. 

In dealing with incidents of catastrophic proportions, traditional planning efforts may be 

insufficient. Regional and national support planning in such cases must address and resolve 

the critical resource shortfalls and logistical challenges that cannot be met through normal 

processes. 
Incident Management and Support Keystone 38

Planning is a key function at the incident, regional, and national levels; however, because 

incident management is done only at the incident level, planning done at the incident 

support levels (regional and national) is inherently different. The next section outlines the 

types of planning done at each level (also see table 1).

Table 1: Incident Planning Levels 

FEMA Incident-Level Planning 

The UCG develops the incident objectives and is responsible for the following planning 

activities:

• Executing the incident command structure incident action planning process to 

produce an IAP for each operational period.

 An IAP is a written document, and contains general objectives reflecting the 

strategy for managing an incident, which may include the identification of 

operational resources and assignments, attachments that provide direction, and 

important information for incident management.

 The IAP is the focal point of incident-level planning. It builds on Federal, State, 

tribal, and local deliberate plans, tailoring efforts to the priorities and objectives 

established by the UCG.

 

 The IAP will govern evolving operational periods throughout the life of the Federal 

response recovery and mitigation efforts.

• Developing and maintaining an AOP to estimate requirements and anticipate activities 

over multiple operational periods (typically three to seven days beyond the current 

operational period). 

 An AOP identifies and quantifies anticipated short-term critical resource 

requirements for operations (such as initial response resources, specialized 

teams, and aviation assets). The AOP is based on and supports incident objectives 

and priorities, and complements incident action planning. It includes short-term 

milestones that facilitate timely ordering to ensure that resources are available 

when needed. 

Incident-Level 

Planning

•Incident Action Plan

•Advanced Operational Plan

•Incident Strategic Plan

•Functional Plans

Regional Planning

•Regional Support Plan

•Functional Plans

National Planning

•National Support Plan

•Functional Plans
Incident Management and Support Keystone 39

 Additionally, the AOP provides a mechanism to synchronize other planning efforts 

beyond the current operational period, capture procedures derived from deliberate 

plans, and identify future resource requirements that may take longer to provide—

or that will not be needed until later in the incident.

• Developing and maintaining an Incident Strategic Plan to estimate requirements and 

anticipate activities over the life cycle of the entire incident.

 An Incident Strategic Plan is a written document that provides overall direction for 

incident management and specifies milestones to be accomplished over time. It 

outlines the goals, operational priorities, and desired end-state that enable the 

UCG to determine where they are in the life cycle of the incident and when goals 

have been achieved. Longer-term goals form the foundation of the Incident 

Strategic Plan, laying out where the UCG wants response and recovery and 

mitigation operations to be at selected times along a complete incident timeline. 

The UCG develops and approves these goals that are based on input from the 

command and general staff. The command and general staff then develop the 

milestones and estimated workload and staffing requirements.

• Developing functional plans, as necessary, to address particular operational issues, 

such as interim housing, power restoration, demobilization, and continuity of 

operations.

 Functional plans are developed as required to address specific functional and 

operational issues. They are not confined to the current operational period but 

may address a single operational period or multiple operational periods. A 

functional plan will typically include identification of the operational resources 

required and proposed actions; it may also include timelines and milestones.

FEMA Regional Support Planning 

The Regional Response Coordination Center Staff conducts planning at the regional level to 

provide regional resources and guidance to support incident operations. Regional planning 

may include the following:

• Developing a regional support plan that identifies the resources required to support 

the incident objectives and priorities. Possibly covering multiple operational periods, 

this process focuses and documents regional support efforts, and the resulting plan 

provides information to both the incident personnel and headquarters officials on 

regional efforts to support the incident. Regional support planning can identify 

resources available and assist in the development of AOPs by identifying gaps in 

critical assets. 

• Developing functional plans, as required, to address particular requirements or 

emergent program policy issues (for example, regionally sharing disaster commodities 
Incident Management and Support Keystone 40

or adjudicating individual assistance eligibility) in support of one or more incidents 

within the region.

FEMA National Support Planning 

The National Response Coordination Center Staff conducts planning to support regional and 

incident operations. Headquarters planning may include the following:

• Developing a national support plan as needed to assist regional support and incident 

efforts when the Regional Response Coordination Center is not activated. This plan 

outlines national efforts to support incident and regional priorities. It provides 

information to the incident personnel, regional staff, and other senior leaders on 

national efforts to support the incident.

• Developing functional plans as required, addressing particular requirements or 

emergent program policy issues associated with one or more incidents. These plans 

outline specific national functional or programmatic efforts to support the incident.

Communication among the incident, regional, and national levels is essential to the success 

of incident planning at all levels. Figure 2 illustrates the time frames and roles of the four 

types of plans discussed above.

Figure 2. Incident plans shown in the context of an incident timeline 
Incident Management and Support Keystone 41

CONCEPT 17: THERE IS ONLY ONE INCIDENT ACTION PLAN (IAP) FOR 

EACH INCIDENT, AND THE IAP IS DEVELOPED ONLY AT THE INCIDENT 

LEVEL 

FEMA response and recovery operations are conducted in accordance with the NIMS. The 

principles of NIMS guide FEMA incident operations and planning. The ICS component of NIMS 

uses an iterative planning process called incident action planning. FEMA maintains a 

deliberate planning process that provides a conceptual basis for incident planning. FEMA 

incident management command and general staff use this process to produce a written IAP 

for each operational period.3

The IAP is a key element of incident planning and guides FEMA operations associated with 

the incident. It is developed under the direction of the UCG, which comprises senior leaders 

representing, at a minimum, Federal and State governments and may include senior leaders 

from tribal governments, local jurisdictions, and/or the private sector. Regardless of the 

membership, the purpose of the UCG is to establish and achieve shared objectives. 

Regional and national support planning efforts reinforce the incident priorities and objectives 

but do not replace the IAP. The objectives outlined in the IAP cannot be changed at higher

levels.

CONCEPT 18: EFFECTIVE INCIDENT PLANNING REQUIRES A 

COMPREHENSIVE SYSTEM FOR INFORMATION COLLECTION, SHARING, 

AND ANALYSIS THAT INCLUDES ALL ECHELONS OF AN INCIDENT 

Information must flow up to senior leaders and back to incident managers to ensure that all 

levels of leadership have the knowledge they need to make informed decisions. 

Information Management 

Information management is performed to provide responders and planners with incident 

information that is tailored to meet the need for decision makers to have a common 

operating picture of the information management structure.

To be effective, planning must be based on accurate, timely information. Planning requires a 

system for information collection, analysis, and sharing among all levels; however, decision 

 

3 “Operational Period: The time scheduled for executing a given set of operation actions, as specified in the 

Incident Action Plan. Operational periods can be of various lengths, although usually they last 12 to 24 hours.”

NIMS, December 2008, p. 144.
Incident Management and Support Keystone 42

makers must assume additional risk in a disaster environment when information is limited 

and, at times, inaccurate.

Collection is a continual and iterative process, with data integrated at every level. Collection 

ensures that decision makers at the incident, regional, and national levels are supplied with 

the data necessary to accurately understand the situation. Collection requirements are based 

on critical information requirements and essential elements of information (EEI). These 

pose—and hopefully answer—the questions that are vital to making the correct incident 

management decisions.

Critical information requirements are items of information regarding the situation and 

environment, which senior leaders need by a specified time to assist them in reaching 

decisions. Essential elements of information, derived from deliberate plans, are a 

comprehensive list of information requirements that are also needed to promote informed 

decision making. Essential elements of information are prioritized to answer the essential 

questions of the FCO or UCG needed at that time in the incident. 

Figure 3: Relationship among collection, analysis, the common operating picture, and situational awareness 

Analysis provides the UCG and other senior leaders with relevant information about the 

situation. Analysis verifies and validates raw data, when possible, then identifies relevant 

information for answering critical information requirements to help decision makers address 

pressing concerns. It is used to ensure that incident management and support activities are 
Incident Management and Support Keystone 43

based on the most accurate and relevant information available. Analysis is also valuable in 

spotting emerging developments, such as rising shelter occupancy rates. The earlier these 

developments are detected, the greater the flexibility in resolving the issues. 

Dissemination is information shared to assist decision makers in fulfilling their 

responsibilities. Shared situational awareness minimizes confusion, reduces duplication of 

effort, and provides a basis for effective and efficient resource management. For emergency 

managers to clearly understand the needs of the UCG, information must be shared in all 

directions so that a complete picture of pertinent information that may affect decisions and 

support elements is provided.

CONCEPT 19: DELIBERATE PLANNING IS THE FOUNDATION FOR INCIDENT 

PLANNING 

Deliberate planning is the means by which leaders anticipate specific hazard or threat 

scenarios and envision desired outcomes, develop effective ways of achieving the desired 

outcome, and communicate decisions. A plan is an evolving instrument describing 

anticipated actions that will maximize opportunities and guide response operations. Since 

planning is an ongoing process, a plan is always an interim product based on information and 

understanding at the moment. As an interim product, a deliberative plan is always subject to 

revision. 

Deliberate plans do not provide all the information needed to respond to an incident; 

however, such plans can be adapted to provide the best starting point for incident 

management. Deliberate plans that are well conceived and pertinent to an incident that 

occurs can actually provide the basis for IAPs for the initial operational periods, describing 

objectives, resource requirements, taskings, and priorities.

Good deliberate plans give incident managers an important head start on incident response. 

For no-notice incidents, the benefits of this head start may be measured in terms of actual 

lives saved. 

CONCEPT 20: DELIBERATE PLANNING IS ONLY AS EFFECTIVE AS ITS 

ABILITY TO GUIDE ACTUAL OPERATIONS 

Consistent use of a standardized and proven deliberate planning process and plan format 

facilitates planning and enhances the value of the plans produced.

There are many ways to produce deliberate plans. For FEMA planners, using a standard

planning process to produce a plan in a format that is equally applicable and acceptable to 

State, local, and private-sector partners improves joint planning. 
Incident Management and Support Keystone 44

The value of a deliberate plan is determined by the accuracy of its risk or hazard analysis, the 

adequacy of the resources provided for in the plan, and the acceptability of the plan to those 

who must implement it.

The measure of a good deliberate plan is not whether execution in an actual incident 

transpires exactly as planned, but whether the plan facilitates effective organization, 

communication, and action in the face of unfolding events. 

An effective deliberate planning process does the following:

• Engages all stakeholders

• Attempts to reduce the unknowns in the anticipated incident and acknowledges the 

impossibility of planning for every contingency and every aspect of the mission area

• Uses facts, including knowledge regarding people’s likely behavior, the threat or 

hazard itself (gathered through modeling or disaster simulation), and required 

capabilities

• Focuses on developing general principles while maintaining flexibility for action and 

innovation

• Includes a period to train, exercise, and test the plan once it is developed

• Continuously incorporates new hazard information, best practices, and lessons 

learned
Incident Management and Support Keystone 45

CHAPTER 6: APPLYING FEMA INCIDENT MANAGEMENT 

AND SUPPORT DOCTRINE 

KEY ROLES AND RESPONSIBILITIES 

The following section outlines the functions of key officials and structures in the conduct of 

FEMA incident management and support. This outline is not intended to document all the 

incident management and support activities but rather to describe the key roles and 

responsibilities—at the national, regional, and incident levels—of those who collaborate to 

achieve unity of effort. 

National 

At FEMA Headquarters, many organizational elements and individuals play key roles in 

incident support. The FEMA Administrator, the Director of Disaster Operations (DDO), the 

National Watch Center, and the National Response Coordination Staff (NRCS) have lead roles 

and responsibilities, described in the following section.

Figure 4. National organizational structure 

FEMA Administrator 

The FEMA Administrator is the principal advisor to the President,4 the Secretary of Homeland 

Security, and the National Security Staff on all matters regarding emergency management.5

 

4 Per the Robert T. Stafford Disaster Relief and Emergency Assistance Act, the President is responsible for 

declaring a disaster or emergency.

5 See the Post-Katrina Emergency Management Reform Act, enacted as part of the FY 2007 DHS Appropriations 

Act, Public Law 109-295.

FEMA 

Administrator

Director of 

Disaster 

Operations

Chief of the NRCS
Incident Management and Support Keystone 46

The Administrator has overall responsibility for FEMA’s response and recovery operations. 

When FEMA is engaged in a specific incident or potential incident, the Administrator ensures 

optimal flow of information and coordination between FEMA and DHS Headquarters. The 

Administrator keeps the Secretary of Homeland Security informed regarding incident status, 

activities, and issues, and the Administrator resolves problems or issues that cannot be 

resolved at lower levels. 

Director of Disaster Operations 

The DDO is the senior FEMA official designated by the FEMA Administrator to coordinate and 

synchronize all Headquarters operational activities for credible threats during major disaster 

or emergency activations.

In dealing with a specific incident or potential incident, the DDO does the following:

• Ensures information flow and coordination among all FEMA operational levels—

national, regional, and incident(s)

• Coordinates and synchronizes all Headquarters disaster response operations, 

programs, and related activities

• Provides appropriate incident support to the Regional Administrators (RAs) and

Federal Coordinating Officers (FCOs)

• Directs deployment of national teams as needed

• Advises the FEMA Administrator on program and policy issues related to incident 

management and support and provides recommended courses of action

FEMA National Watch Center 

The FEMA National Watch Center provides around-the-clock situational awareness for FEMA

by doing the following:

• Supporting the collection and distribution of pre-incident information to the National 

Operations Center for the development of the national common operating picture

• Providing analysis of collected information and national situational awareness of

potential, developing, or ongoing situations that may require a Federal response 

National Response Coordination Staff 

The National Response Coordination Center for FEMA disaster response is activated by the 

DDO in anticipation of, or in response to, an incident by activating the National Response 

Coordination Staff, which includes FEMA personnel, appropriate Emergency Support Function 

(ESF) representatives, and other personnel (including representatives of nongovernmental 

organizations [NGOs] and the private sector, when appropriate) to coordinate with the 

affected Region(s) and provide needed resources and policy guidance to support an incident. 
Incident Management and Support Keystone 47

The National Response Coordination Staff provides national emergency management 

coordination, conducts operational planning, deploys national resources, and collects and 

disseminates incident information as it builds and maintains national situational awareness. 

The National Response Coordination Staff does the following:

• Maintains situational awareness of specific potential threats or incidents

• Activates and deploys national teams, as the DDO, RA, or FCO directs

• Coordinates with the National Operations Center

• Coordinates support and situational reporting with the Regional Response 

Coordination Center

• Collects, validates, analyzes, and distributes incident information

• Deploys initial response resources and other disaster commodities when required

• Coordinates with the affected Region(s) to identify and report initial requirements 

for Federal assistance

• Develops National Support Plans to source and address identified resource 

shortfalls

Regional 

The ten Regions are FEMA’s first line of disaster response. For any given incident, FEMA 

disaster response begins and ends with the affected Region in the lead. The RA, the Regional 

Watch, and the Regional Response Coordination Center have central roles throughout the life 

cycle of an incident. 

FEMA Regional Administrator 

The FEMA RA is the primary FEMA representative to State governors, other Federal 

departments and agencies, and State, tribal, and local emergency management authorities 

during day-to-day operations. 

When the Region is not actively engaged in an incident, the RA operates an around-the-clock

watch and maintains an Incident Management Assistance Team (IMAT) capable of managing 

a Level II disaster. 

After the President has declared a major disaster or emergency, the RAs have control of 

FEMA resources committed within their Regions. The RAs delegate directive authority for 

incident management and control of assigned Federal resources to the FCO when the FCO 

has established operational capability.6

 

6 Operational capability: The attainment of the ability to employ required and effective response capabilities that 

are staffed by adequately trained, equipped, and supported responders.
Incident Management and Support Keystone 48

For an anticipated or actual incident, the RA does the following:

• Activates and oversees the Regional Response Coordination Center staff

• Assists State authorities in conducting damage assessments

• Assist States with the major disaster or emergency declaration process

• Coordinates with the DDO on designating the disaster type (to ensure the request of 

resources and support)

When a Stafford Act emergency or major disaster has been declared, the RA does the 

following:

• Delegates Disaster Recovery Manager authority 7

• Delegates control of regional Federal resources to the FCO when the FCO has 

established operational capability 

• Provides oversight of incident management

• Provides guidance and direction to the FCO and ensures that incident objectives and 

priorities are appropriate and sufficient throughout the life cycle of an incident

• Ensures the proper transfer of authority when there is a change of FCO

• Reviews and approves the FCO’s transition and demobilization plan

• Establishes requirements for transition of the FCO’s control of assigned Federal 

resources to the RA

Regional Watch Center 

Each FEMA region maintains an around-the-clock watch capability to make the RA and the 

RA’s staff aware of potential, developing, or ongoing situations that may require Federal 

response. The Regional Watch Center collects and distributes information to the National 

Watch Center for development of national situational awareness. In several FEMA regions,

the Mobile Emergency Response Support Operations Centers (MOC) provide this watch 

capability to the Regional Administrator.

Regional Response Coordination Staff 

Each of FEMA’s regional offices maintains a Regional Response Coordination Center. The RA 

stands up the center by activating the Regional Response Coordination Staff, which includes 

FEMA personnel, the appropriate ESF representatives, and other personnel (including 

representatives of NGOs and the private sector when appropriate) to provide needed 

 

7 44 CFR 206.41.(b)
Incident Management and Support Keystone 49

resources and policy guidance to support an incident and coordinate with the National 

Response Coordination Staff. The staff coordinates Federal and regional response efforts 

and maintains connectivity with State emergency operations centers, state fusion centers, 

and other Federal and State operations and coordination centers.8

Before the FCO assumes control of the Federal response, the Regional Response 

Coordination Staff will do the following: 

• Establish and maintain the Regional Response Coordination Center, including ESF 

coordinators

• Contact the emergency operations center in the affected State(s) to identify 

capabilities and anticipate shortfalls to determine initial response requirements

• Implement processes for collecting, analyzing, and disseminating incident information 

to all appropriate parties 

• Activate and deploy Federal assets

• Establish mobilization centers and staging areas, as needed

• Deploy appropriate Regional IMATs

• Request deployment of a national IMAT or additional IMATs from other Regions

Once the FCO has assumed control, the Regional Response Coordination Staff will do the 

following:

• Maintain situational awareness of the incident to support the RA’s incident 

management oversight role, transitioning to the Regional Watch as soon as the 

situation allows

• Develop and implement Regional Incident Strategic Plans as needed to source and 

address identified resource shortfalls for complex or multiple incidents

Incident Level 

FEMA’s incident level refers to the level for which operational control of FEMA incident 

operations, including the Federal resources deployed to an incident and the establishment of 

 

8 Many states and larger cities have created State and local fusion centers to share information and intelligence 

within their jurisdictions as well as with the Federal government. The Department of Homeland Security, through 

the Office of Intelligence and Analysis, provides personnel with operational and intelligence skills to the fusion 

centers. This support is tailored to the unique needs of the locality and serves to do the following:

• Help the classified and unclassified information flow

• Provide expertise

• Coordinate with local law enforcement and other agencies 

• Provide local awareness and access
Incident Management and Support Keystone 50

a Unified Coordination Group (UCG), is delegated to an FCO or Federal Resource Coordinator. 

The extent of an incident is declared or determined by the principal authority, and the 

boundaries are specifically defined—such as a given State (or States), enumerated counties, 

a city, or any combination of jurisdictions involved.

Federal Coordinating Officer 

The FCO coordinates Federal support in the response to and recovery from emergencies and 

major disasters declared under the Stafford Act. The RA delegates control of FEMA incident 

operations—including the Federal resources deployed to the incident—and Disaster Recovery 

Manager authority to the FCO, once the FCO establishes operational capability. The FCO is 

appointed only for Stafford Act incidents and serves as the primary Federal representative to 

the State Coordinating Officer. For non-Stafford Act incidents, the Department of Homeland 

Security (DHS) may designate a Federal Resource Coordinator to perform essentially the 

same functions that the FCO performs but without the specific Stafford Act authorities. In 

these non-Stafford Act incidents, the Federal Resource Coordinator coordinates support 

through interagency agreements and memorandums of understanding; through senior 

Federal, State, local, and tribal officials; and with representatives of relevant private 

organizations and NGOs.

The FCO is the focal point of Federal coordination within the UCG, ensuring overall integration 

of Federal emergency management, resource allocation, and integration of Federal activities 

in support of, and in coordination with, State, tribal, and local government officials. The FCO

does the following:

• Accepts the appointment from the FEMA Administrator to ensure that Federal 

assistance is provided in accordance with the declaration, applicable laws, and 

FEMA/State agreements9

• Accepts the delegation of Disaster Recovery Manager authority, control of regional 

Federal resources, and guidance from the RA

• Takes immediate action to reduce the threats to life, property, public health and 

safety, and the environment

• Ensures that a UCG is formed

• Identifies and establishes a Joint Field Office in coordination with the State 

Coordinating Officer

• Determines Federal assistance needs and arranges required support

• Establishes incident priorities and objectives in collaboration with other members of 

the UCG

 

9 44 Code of Federal Regulations (CFR), Emergency Management and Assistance, Part 206—Field Disaster Assistance;

44 CFR 206.41, Appointment of Disaster Officials, Federal Coordinating Officer (current as of 2009).
Incident Management and Support Keystone 51

• Assigns tasks and responsibilities to other Federal departments and/or agencies

• Ensures that the Federal incident management and support structure is appropriate 

to meet the needs of the incident and is structured on the principles of the National 

Incident Management System (NIMS) and the Incident Command System (ICS)

• Ensures that incident information is complete, validated, analyzed, and disseminated 

appropriately

• Ensures that adequate safety measures are in place and that safety practices are 

observed

• Resolves issues at the incident level and raises issues to the Region and/or FEMA 

Headquarters level for resolution when required

• Ensures that an efficient and orderly transfer of authority is conducted when 

transferring command to another FCO

• Develops, coordinates, and approves the Incident Transition or Demobilization Plan

• Coordinates release priorities for assigned resources with the RA

FEMA’S INCIDENT COMMAND AND MANAGEMENT ORGANIZATION 

Command and General Staff 

The FCO’s command and management organization is defined in ICS as the command and 

general staff, which are responsible for overall management of FEMA’s incident operations. 

The command and general staff direct FEMA’s operations from the Joint Field Office, which is 

generally located at or near the incident site.

Command Staff 

The Command Staff is responsible for advising the FCO and is assigned responsibility for key 

activities, including external affairs, safety, and liaison. A Chief of Staff is often included, as 

required by incident circumstances. 

• External affairs is a relatively large function managing the interface with the public, 

the media, and/or other agencies with incident-related information requirements

• Safety monitors incident operations and advises the FCO on matters relating to safety

• Liaison functions as the point of contact for representatives of assigned and 

cooperating organizations to provide input on their agency’s policies, resources 

availability, and other incident-related matters

• The Chief of Staff is responsible for coordinating and facilitating the functioning of the 

Command Staff
Incident Management and Support Keystone 52

General Staff 

The General Staff is responsible for the functional aspects of the incident command 

structure. The sections of the General Staff are responsible for the operations, planning, 

logistics, and finance and administration functions.

• The Operations Section manages the operations that coordinate the delivery of 

Federal assistance programs and services, including lifesaving assistance (urban 

search and rescue, medical, evacuations support, etc.), life-sustaining assistance 

(shelter, water, food, etc.), individual assistance, public assistance, hazard mitigation 

assistance, environmental planning and historic preservation compliance, disaster 

emergency communication, staging of resources, community recovery, and other 

Federal support to supplement State and local government efforts. 

• The Planning Section collects, analyzes, validates, and disseminates incident 

information to the UCG, incident personnel, and regional and national coordination 

centers. This section facilitates and develops all incident plans. It is also responsible 

for the check-in and status of all assigned resources and for maintaining accurate, 

timely incident files.

• The Logistics Section provides facilities, services, and material in support of the 

incident. It is responsible for transportation, supplies, food, communications and 

information technology, and medical services. It is also responsible for establishing a 

Single Point Order Tracking system to centrally manage and track resource orders for 

disaster supplies, equipment, services, personnel, and teams throughout FEMA. 

Resource ordering can occur at multiple echelons simultaneously. 

• The Finance/Administration Section manages and supervises all financial, 

administrative, and cost analysis. This section is also responsible for funds control, 

document control, personnel actions, personnel time, travel voucher preparation, 

acquisitions, and administering compensations and claims.

Emergency Support Functions 

FEMA coordinates incident response support from across the Federal government by 

activating, as needed, one or more of the 15 ESF teams. Federal ESFs are the primary 

mechanism for grouping Federal functions most frequently used in emergency management. 

ESFs provide the structure for organizing, planning, and deploying Federal interagency 

support to domestic disasters and emergencies. Each ESF is composed of one or more 

primary agencies and supporting agencies and organizations.

ESF resources may be assigned to the command and general staff, as well as to the Regional 

Response Coordination Center and the National Response Coordination Center. While the 

primary agency representatives of given ESFs are typically assigned to specific sections for 
Incident Management and Support Keystone 53

management purposes, ESF resources may be assigned anywhere and to multiple locations, 

as required, within incident management and support structures.

CONCLUSION 

The information provided in the document applies to all types of FEMA incidents—from small 

floods that affect only two counties to catastrophes that devastate thousands of people in 

many states and multiple FEMA Regions. While the doctrine provides authoritative guidance 

that is specific and quite detailed in some cases, it is intended to be applied by FEMA 

professionals exercising good judgment and applying the expertise they have gained through 

experience and training.

Generally speaking, the exact applicability of the standard guidance will decrease as the 

disaster type increases. Guidance that applies fully and quite literally for a Type III incident 

may provide a general doctrinal context for dealing with a Type I incident.

The guidance is not intended to preclude well-considered innovation or the exceptions that 

FEMA leaders must make to properly perform their demanding jobs—under conditions that 

are rapidly changing and that may involve life-or-death decisions.