u.s. coast guard national incident management system (nims) incident …€¦ · the key...
TRANSCRIPT
U.S. Coast Guard National Incident Management
System (NIMS) Incident Command System
(ICS)
Communications and Information
Management Job Aid
January 2013
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Table of Contents I. Communication and Information Management: Key Elements .................................. 6 II. Common Operating Picture ......................................................................................... 7
A. Elements of a Common Operating Picture ........................................................................... 7
B. Why Do We Need a Common Operating Picture? ............................................................ 7
C. A Basis for Situational Awareness ......................................................................................... 8
III. Communications and Information Management ..................................................... 9 A. Communications and Information Management: Concepts and Principles .............. 10
B. Communications and Information Management: Management Characteristics ..... 11
C. This Is NIMS Communications and Information Management ................................... 12
IV. Building Communications and Information Management Capabilities ................ 13 A. Target Capabilities .................................................................................................................... 13
B. Target Capability Areas ........................................................................................................... 14
C. Communications ........................................................................................................................ 14
D. Dimensions of Interoperability .............................................................................................. 14
E. Interoperability: Best Practice ................................................................................................ 15
F. What Is Your Communications Target? ............................................................................. 16
V. Information Gathering, Capabilities and Intelligence ............................................... 17 A. Information Gathering .............................................................................................................. 17
B. What Is the Information Gathering Target? ....................................................................... 17
C. Information Analysis and Production of Intelligence ..................................................... 18
D. What Is the Information and Intelligence Target? ........................................................... 18
E. Sharing and Disseminating Information and Intelligence ............................................. 18
F. Standards for Sharing and Dissemination .......................................................................... 19
G. What Is the Information Sharing and Dissemination Target? ...................................... 20
H. Developing Your Capabilities ................................................................................................ 20
I. Communications Systems ....................................................................................................... 20
J. Improving Interoperability ...................................................................................................... 21
K. Information Types ..................................................................................................................... 22
L. Situation Status Information ................................................................................................... 22
1. Situation Status Information: Monitoring the Steady State ...................................... 23
2. Situation Status Information: Threat Analysis ............................................................. 23
3. Situation Status Information: Response ......................................................................... 24
M. Operational Information .......................................................................................................... 25
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N. Resource Information ............................................................................................................... 25
O. Management and Control Information ................................................................................ 26
P. Public and Stakeholder Information ..................................................................................... 26
Q. Information Needs Throughout an Incident ....................................................................... 26
R. Information Sources and Consumers ................................................................................... 27
S. Connecting Sources and Consumers .................................................................................... 29
VI. Information Processing System ............................................................................. 30 A. Step 1: Monitor/Gather ............................................................................................................ 30
B. Step 2: Verify .............................................................................................................................. 30
1. Consequences of Using Unverified Information ......................................................... 31
2. Lessons Learned From Hurricane Katrina ..................................................................... 31
C. Step 3: Synthesize/Analyze .................................................................................................... 31
D. Step 4: Report/Disseminate .................................................................................................... 31
1. Dissemination Mechanisms ............................................................................................... 32
2. Developing Reporting Mechanisms ................................................................................ 33
E. Step 5: Obtain Feedback .......................................................................................................... 34
1. Feedback Before and During an Incident ...................................................................... 34
2. Post-Response Feedback .................................................................................................... 35
VII. Information Tools, Capabilities and Readiness ..................................................... 36 A. Examples of Information Tools ............................................................................................. 36
1. Geospatial Information Systems ....................................................................................... 36
2. Plume/Elliptical Modeling Programs .............................................................................. 37
3.Spread Projections ................................................................................................................. 37
4.Hazard-Specific Modeling .................................................................................................. 37
B. Information Security ................................................................................................................. 38
C. Checking Your Capabilities .................................................................................................... 38
D. Communications Interoperability Capability .................................................................... 38
E. Information Management System Capability .................................................................... 39
F. Systems and Tools Readiness ................................................................................................ 39
G. Plans, Protocols, and Procedures .......................................................................................... 40
1. Planning Documents ............................................................................................................ 41
2. Documenting Plans and Procedures ................................................................................ 42
3. Tips for Developing SOPs .................................................................................................. 42
4. Mutual Aid and Assistance Agreements ........................................................................ 42
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H. Training and Exercises ............................................................................................................. 43
1. Need for Training .................................................................................................................. 44
2. Need for Exercises ................................................................................................................ 44
VIII. Incident Communications and Information Flow .................................................. 45 A. Overview ...................................................................................................................................... 45
B. Importance of Incident Communications ........................................................................... 45
C. Plain Language and Common Terminology ...................................................................... 45
1. Tips for Plain Language and Common Terminology ................................................. 46
2. Plain Language: Best Practice ........................................................................................... 46
D. Importance of Information Flow ........................................................................................... 47
1. Information Flow Through the ICS ................................................................................. 47
2. Formal Communications Flow ......................................................................................... 48
3. Informal Information Flow ................................................................................................ 49
4. Information Flow Within the Multiagency Coordination System .......................... 49
IX. Setting Up the Incident Information Management System.................................... 51 A. Step 1. Identify Communications Needs ............................................................................ 51
1. EOC Linkages ........................................................................................................................ 51
2. Communications Within the EOC ................................................................................... 52
3. Tips for Handling Communications at the EOC .......................................................... 52
4. Communications in the EOC: Best Practices ............................................................... 53
5. Public Information ................................................................................................................ 53
B. Step 2. Determine Means of Communication ................................................................... 53
1. Protecting Sensitive Information ...................................................................................... 54
C. Step 3. Ensure Interoperability and Redundancy ............................................................. 54
D. Step 4. Manage Information Flow ........................................................................................ 54
1. Linking to Critical Functions............................................................................................. 54
2. Tailoring Access to Usage .................................................................................................. 55
X. Activating Information Management Processes ........................................................ 57 A. Ensuring Information Quality ................................................................................................ 57
B. Tips for Verifying Information .............................................................................................. 58
C. Tips for Information Analysis ................................................................................................ 58
D. Common Information Pitfalls ................................................................................................ 59
E. Using Standard Forms .............................................................................................................. 60
1. Managing the Flow of Information .................................................................................. 60
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2. Forms for Incident Planning .............................................................................................. 60
3. Forms for Reporting Information ..................................................................................... 61
XI. Continuous Improvement....................................................................................... 62 A. Overview ...................................................................................................................................... 62
B. Learning From Experience ..................................................................................................... 62
C. Focusing on Communications and Information Flow ..................................................... 63
D. Key Steps for Continuous Improvement ............................................................................. 63
1. Step 1: Review Incident Documentation ........................................................................ 63
2. Step 2: Conduct After-Action Review ............................................................................ 63
a. Discussion Topics ......................................................................................................... 64
b. Tips for Conducting the AAR ................................................................................... 65
3. Step 3: Develop an After-Action Report ........................................................................ 66
E. Developing the Improvement Plan ....................................................................................... 66
1. Task 1: Identify the Problem .......................................................................................... 67
2. Task 2: Find the Right Solution .................................................................................... 68
3. Task 3: Assign, Implement, and Test the Solution .................................................. 68
a. Tests .................................................................................................................................. 68
b. Training ........................................................................................................................... 68
c. Exercises .......................................................................................................................... 69
F. Maintaining Systems Readiness ............................................................................................ 72
G. Tips for Maintaining Systems Readiness ........................................................................... 73
H. Resources for Continuous Improvement ............................................................................ 73
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I. Communication and Information Management: Key Elements
The key communications and information management elements that support incident management are based on best practices:
• Common Operating Picture: Using flexible communications and information systems that allow all emergency management and response partners to establish and maintain a common operating picture or overview of the incident. Establishing and maintaining a common operating picture requires collating and gathering information—such as traffic, weather, actual damage, resource availability—of any type (voice, data, etc.) from agencies/organizations in order to support decision-making.
• Interoperability: Ensuring that emergency management/response personnel and their affiliated organizations can communicate within and across agencies and jurisdictions.
• Common Terminology: Using common terminology or plain English to avoid confusion or misunderstandings.
• Mutual Aid and Assistance Agreements: Specifying communication protocols and information-sharing arrangements in mutual aid and assistance agreements.
• Exercising: Establishing partnerships and testing communications protocols in advance of an incident.
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II. Common Operating Picture A shared understanding of incident needs and priorities is vital to support effective decision-making. A common operating picture:
• Is a single set of relevant, usable information that is shared across response organizations at all levels.
• Is a continuously updated overview of an incident compiled throughout the incident's life cycle.
The quality of the picture depends on each contributor’s ability to gather, analyze, and share information.
A. Elements of a Common Operating Picture A simple way of looking at the common operating picture is that the picture begins with raw data, which is analyzed into information and then into intelligence.
1. Common Operating Picture Elements
• Data are the many information bits that amass during an incident. Data may come from a wide variety of inputs, including 911 calls, eyewitness reports, radio traffic among responders, weather reports, and many others.
• Information is created when separate bits of data are put together, organized, and verified to develop a picture of what is happening. Information constantly evolves as more data are added and the picture becomes clearer. Information sharing is what keeps everyone on the same page.
• Intelligence results from analyzing the information and adding findings, conclusions, and recommendations for action.
B. Why Do We Need a Common Operating Picture?
Establishing and maintaining a common operating picture during an incident:
• Improves incident safety. • Provides the basis for informed predictions and proactive response.
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• Allows effective, consistent, and timely tactical and strategic decisions. • Supports a coordinated response among all response participants. • Helps ensure consistency of messages shared with the agency leaders, the media,
the public, all levels of government, and others.
C. A Basis for Situational Awareness Another benefit of having a common operating picture is that it makes situational awareness possible.
Situational awareness is pulling together information into an understanding of the larger picture.
Situational awareness also provides the basis for prediction—using one’s understanding of the factors within the incident environment to predict how the situation is likely to unfold.
By regularly monitoring conditions and events, emergency managers compile new data with which to update the picture and adjust predictions.
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III. Communications and Information Management
Effective emergency response depends on communication—the ability to maintain a common operating picture through the constant flow of information.
During and after Hurricane Katrina, communications systems failed, severely hampering information flow and response operations. In New Orleans, most of the city was flooded. The combined effects of wind, rain, storm surge, breached levees, and flooding knocked out virtually the entire infrastructure—electrical power, roads, water supply and sewage, and communication systems.
"We lost our communications system, and when you are not able to communicate, you can’t coordinate your response. You never think that you will lose your entire infrastructure."
Communications problems are not limited to systems being destroyed or not functioning. Similar problems arise when agencies cannot exchange needed information because of incompatible systems. NIMS identifies several important features of public safety communication and information systems. Communication systems need to be:
• Interoperable—able to communicate within and across agencies and jurisdictions. • Reliable—able to function in the context of any kind of emergency. • Scalable—suitable for use on a small or large scale as the needs of the incident
dictate. • Portable—built on standardized radio technologies, protocols, and frequencies. • Resilient—able to perform despite damaged or lost infrastructure. • Redundant—able to use alternate communication methods when primary systems
go out.
Regardless of the communications hardware being used, standardized procedures, protocols, and formats are necessary to gather, collate, synthesize, and disseminate incident information. And in a crisis, life-and-death decisions depend on the information we receive.
In this course you will learn more about developing a NIMS Communications and Information Management system that incorporates these important elements.
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A. Communications and Information Management: Concepts and Principles
NIMS identifies the following main concepts and principles underlying an effective communications and information management system:
Underlying Concepts and Principles
• Common Operating Picture: Having a common operating picture during an incident helps to ensure consistency for all emergency management/response personnel engaged in an incident.
• Interoperability: Communications interoperability allows key decision makers to communicate within and across agencies and jurisdictions via voice, data, or video in real time, when needed, and when authorized.
• Reliability, Scalability, and Portability: A flexible communications and information system can function in any type of incident, regardless of cause, size, location, or complexity. Flexibility is derived from being:
o Reliable—able to function in the context of any incident to which emergency management/response personnel would be expected to respond.
o Scalable—able to accommodate increasing numbers of users on a system. o Portable—able to facilitate the interaction of systems that are normally
distinct. For example, the use of standardized assignment of radio channels across jurisdictions allows responders to participate in an incident outside their jurisdiction and still use familiar equipment.
• Resiliency: Communications systems should be built to withstand and continue to perform after damage to or loss of infrastructure. Examples of resiliency practices include hardening dispatch centers, transmission systems, or infrastructure to
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withstand known risks, and equipping repeater antenna sites with independent power systems to ensure their continued functionality during a power failure.
• Redundancy: Redundancy preserves the ability to communicate when standard capabilities suffer damage. This may be achieved through the duplication of identical services or by providing diverse, alternative communication methods.
B. Communications and Information Management: Management Characteristics
NIMS also identifies four key management characteristics of an effective communications and information management system:
Management Characteristics
• Standard Communication Types: Emergency management/response personnel and their affiliated organizations should use standardized communications types, including strategic, tactical, support, and public address communications.
• Policy and Planning: Coordinated communications policy and planning provides the basis for effective communications and information management—especially during incident response activities. Careful planning should determine what communications systems and platforms will be used, who can use them, what information is essential in different environments, the technical parameters of all equipment and systems, and other relevant considerations.
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• Agreements: All parties identified in a jurisdiction’s emergency operations plan should have agreements in place that specify the communications systems and platforms through which they will use or share information.
• Equipment Standards and Training: Public/private communication systems and equipment should be regularly enhanced and updated, and the wide range of conditions under which they will be used should be considered when developing standards. Use of interoperable systems and equipment should be addressed in training and exercises to ensure that personnel understand their capabilities and limitations before an incident.
C. This Is NIMS Communications and Information Management
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IV. Building Communications and Information Management Capabilities
The ability to communicate and share information among all stakeholders in a multidiscipline, multi-jurisdiction incident response depends on having developed certain underlying capabilities before the incident occurs. This includes:
• Identify communications and information management target capabilities. • Describe five key elements of an effective communications and information
management system. • Assess your jurisdiction’s or agency’s communications and information
management capabilities.
This will help you answer the following questions:
• What are we aiming for? • What capabilities do we need to develop? • What can we do to improve our state of communications and information
management capability?
A. Target Capabilities To help jurisdictions assess and improve their readiness for effective incident communications and information sharing, the Department of Homeland Security developed the Target Capabilities List, or TCL.
The TCL identifies a wide range of target capabilities required to achieve the national mission of preparedness in four areas: Prevention, Protection, Response, and Recovery.
Communications and information management is a common function that underlies and supports all the other capability areas. The following discussion will present an overview of key communications and information target capabilities identified in the TCL.
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B. Target Capability Areas Communications and information management can be divided into the following capability areas:
• Communications, • Information Gathering, • Information Analysis and Production of Intelligence, and • Sharing and Dissemination.
C. Communications Communications capability is the fundamental ability to talk to one another. This capability includes operability—sufficient communications resources for response agencies to meet everyday internal and emergency communication requirements.
It also includes interoperability—the ability to communicate across agency and jurisdictional lines to exchange voice, data, and/or video on demand, in real time, when needed, and when authorized.
For example, in the chemical explosion scenario, local responders used compatible radio equipment and mutual aid channels to coordinate with arriving responders from other jurisdictions.
D. Dimensions of Interoperability In broad terms, interoperability is the ability of response personnel to interact and work well together. Technological solutions such as compatible radio equipment are important, but they are only one part of interoperable communications.
The interoperability model developed by the Department of Homeland Security’s SAFECOM program includes five key dimensions:
• Governance—Bringing together the people from across the jurisdiction who can make decisions and plan.
• Technology—Using technological solutions (systems and equipment) to create linkages between participating agencies and jurisdictions.
• Plans and Procedures—Developing strategies for carrying out communications policy and detailed tasks to carry out those strategies.
• Training and Exercises—Ensuring that interoperable communication is taught, practiced, and tested as part of a comprehensive training and exercise program.
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• Regular Usage—Incorporating the use of interoperable equipment and procedures into daily response and exercises.
E. Interoperability: Best Practice The Georgia Interoperability Network is a flexible and scalable interoperable communications system that uses a radio gateway unit to connect any number of radios to the statewide Internet protocol (IP) backbone. The system provides:
• Interoperable communications for first responders. • Interoperability with neighboring jurisdictions. • Dispatch backup capability with other agencies for continuity of operations. • Dispatch conferencing with other departments and agencies. • Interoperable communications statewide in major incidents.
Georgia Interoperability Network
Development of the Georgia Interoperability Network employed the five dimensions of interoperability:
Governance: Multiple entities cooperated in the project development, including State and local law enforcement, emergency management, and response organizations; local governments; statewide associations; university-based researchers; and others.
Technology: Users can use their own native radio systems regardless of the technology—whether VHF, UHF, 800 megahertz, or other. Because the network takes advantage of Internet technology, connections are almost instantaneous. Redundant systems are provided to ensure continuity of operations. Mobile communications units (MCUs) that use satellite technology can be dispatched to stricken areas.
Plans and Procedures: Planning for the project included technical and financial feasibility, marketing, system requirements, high-level project planning, procurement, and detailed project planning. SOPs were developed for the end user, core site, MCU operator, gateway vendor, network provider, and satellite service provider.
Training: Training was provided for end users, system administrators, system engineers, and MCU operators, and a rigorous testing program was implemented.
Regular Usage: The system is used for routine operations as well as for interoperable communications during multi-jurisdiction incidents.
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F. What Is Your Communications Target? Government agencies and organizations need the following types of plans, procedures, programs, and systems to support communications:
• Plans, policies, and procedures covering all aspects of communications during an incident.
• Reliable and redundant communications systems and equipment. • Interoperability among responders, Incident Command, and Emergency
Operations Centers (EOCs). • Alert and dispatch capabilities. • Training and exercise programs to support communications.
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V. Information Gathering, Capabilities and Intelligence
A. Information Gathering Information gathering entails obtaining, consolidating, and retaining raw data from diverse sources, including:
• Human sources. • Observation. • Technical sources. • Open (unclassified) materials.
An important element in information gathering capability is the ability to recognize relevant indicators and warnings within the gathered data.
B. What Is the Information Gathering Target? Building information gathering capability requires policies, plans, procedures, programs, and systems for:
• Monitoring open sources for relevant information. • Receiving and logging incoming data. • Authenticating and screening information for relevance. • Organizing and linking gathered information so that it is easily searchable and
retrievable.
Information gathering policies must comply with regulatory, statutory, privacy, and other requirements that may govern the gathering of information.
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C. Information Analysis and Production of Intelligence
Information analysis and production of intelligence involves:
• Merging, linking, and analyzing information to identify hazard pictures, potentially harmful patterns, and potential warnings.
• Producing timely and accurate intelligence products that can be used in prevention, awareness, response, and continuity planning operations.
• Consolidating analytical products at all government levels for tactical, operational, and strategic use.
D. What Is the Information and Intelligence Target?
Building capability in information analysis and production of intelligence requires policies, plans, procedures, programs, and systems for:
• Coordinated interface among government entities. • Training analytical staff. • Extracting and integrating relevant information gathered from all available
sources. • Analyzing information and producing intelligence products.
E. Sharing and Disseminating Information and Intelligence
It is important to share and disseminate information and intelligence:
• Among disciplines and agencies. • Among jurisdictions. • Between the Federal, State, tribal, and
local layers of government. • With the private sector and the public.
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In simplest terms, the goal is to get the right information to the right people at the right time.
An effective sharing and dissemination system:
• Provides reliable and effective information flow among information gatherers, analysts, and users.
• Allows for feedback among the information system participants.
F. Standards for Sharing and Dissemination Employing shared standards for information dissemination allows organizations to exchange information efficiently. These standards should include:
• Standard types of communications. Successful communications and information management requires that emergency management/response personnel and their affiliated organizations use the following types of standard communications:
o Strategic Communications—High-level directions, including resource priority decisions, roles and responsibilities determinations, and overall incident response courses of action.
o Tactical Communications—Communications from command to support elements and, as appropriate, cooperating agencies and organizations.
o Support Communications—Coordination in support of strategic and tactical communications including, for example, communications among hospitals concerning resource ordering, dispatching, and tracking from logistics centers; and traffic and public works communications.
o Public Information—Emergency alerts and warnings, press conferences, etc.
• Standard methods for transmitting and sharing incident information. An example is the use of emergency management information-sharing software that employs open standards.
• Standard formats and templates. You’ll learn more about standardized incident information formats in a later section.
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G. What Is the Information Sharing and Dissemination Target?
Building information-sharing capability requires policies, plans, procedures, programs, and systems for:
• Identifying participants in the information-sharing network. • Implementing information sharing and dissemination standards. • Conforming to regulatory, statutory, and/or privacy policies. • Ensuring that information security is maintained. • Sharing information among stakeholders via primary and/or backup mechanisms.
H. Developing Your Capabilities The first step in developing communications and information management capabilities is to ensure that the following building blocks are in place and optimized.
• Communications systems need to be interoperable and easy to use to link all the principal players.
• The hazard intelligence system must incorporate critical types of information. • Information sources (those who have information) must be linked with
information consumers (those who need the information). • An effective system is needed for processing information. • Available information tools for gathering and processing information should be
used.
I. Communications Systems The first building block of effective communications and information management is interoperable communications systems.
In many areas, jurisdictions and agencies struggle with interoperability because of inherent differences in the systems and equipment used by the various response partners. These differences may take significant time and resources to resolve.
In the meantime, there are measures that can be taken to improve interoperability while long-term solutions are developed.
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J. Improving Interoperability Jurisdictions and agencies can improve interoperability by completing the following three steps:
Step 1: Conduct a gap analysis. Use this analysis to determine:
1. What are the current capabilities? 2. Who needs to communicate with whom, under what conditions? 3. What and where are the shortfalls? 4. What are the priorities?
An interoperability self-assessment tool can be obtained from SAFECOM.
Step 2: Identify systems and equipment options. Research the technology options that would enable your organization to bridge the shortfalls identified in the gap analysis. Each option has advantages and disadvantages. Options should be thoroughly examined as part of joint planning by potential stakeholders.
DHS has developed a program to assist the emergency management/response community in identifying products that adhere to standards and the concepts and principles of the NIMS. This program—the NIMS Supporting Technology Evaluation Program (NIMS STEP)—provides independent, third-party evaluation of supporting technologies. A link to NIMS STEP is provided at the end of this section.
Step 3: Select and implement solutions. In selecting solutions that are right for your jurisdiction or organization:
• Focus on user needs. • Prioritize. Distinguish between “must have” and “nice to have.” • Take advantage of existing infrastructure, technology, and methods where
possible. • Keep it simple. Avoid too many solutions in one locale. • Seek economies of scale across the region and State. • Consider methods of protecting sensitive information.
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K. Information Types The next building block is incorporating critical information types in the hazard intelligence system so they can be accessed and shared by response participants. Key information types include:
• Situation status information. • Operational information. • Resource information. • Management and control information. • Public and Stakeholder information.
L. Situation Status Information Information evolves from the steady state (normal operations) to an emergency situation. Below is a simple “Ready-Set-Go” model that shows evolving situation status information.
Typically, as an incident develops, status information becomes more definitive. Early in an incident, information is used to make projections and predictions of what is likely to happen. As the incident evolves, information is used to analyze threats and make decisions on needed response actions.
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1. Situation Status Information: Monitoring the Steady State
In the steady state, operations center personnel monitor predictive information, watching for changes or anomalies that may:
• Indicate that more frequent monitoring is required. • Inform estimates of the time of onset, scope, and severity of an incident or event. • Prompt data analysis to determine threat level. • Trigger protective actions.
Situation Example: Monitoring the Steady State
The local emergency manager in a mid-size city in the Midwest checks National Weather Service reports daily as part of regular steady state monitoring. There is a long-range forecast of possible severe winter weather over a wide area. Should the Emergency Manager take some kind of action? The answer will be influenced by:
• Timeframe—How soon an incident or event is predicted to occur. The longer range the prediction, the less accurate and reliable it is. As the hazard gets closer, action becomes more likely.
• Risk level—The degree of certainty that an incident or event will occur. Different risk levels may prompt different types of action. For example:
o Slight risk may cause the emergency manager to step up the frequency of monitoring, checking periodically during the day at the weather updates.
o Moderate risk level may prompt even more frequent monitoring—perhaps hourly, sending heads-up messages to spotters and emergency services, and setting up a conference call with the National Weather Service for more detailed threat analysis.
o Significant risk might trigger constant monitoring as well as preparations such as coordinating with Public Works and Transportation, positioning plows for snow removal, issuing public warnings, and other protective actions.
2. Situation Status Information: Threat Analysis
When status information indicates a potential threat, review of the information becomes more focused on threat analysis. For example, analysts may consider:
• What is the current situation—its location, origins, impact, extent, and so on? • How likely is the situation to worsen or escalate?
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• What is the likely timeframe, and how does it impact decision-making? • What are the implications for preparatory, preventive, protective, or response
actions? • What additional information do we need for decision-making?
Situation Example: Threat Analysis
Officials in a large city in the Northeast have received reports of a shooting at a high-profile public venue. According to the initial report, a security guard and one other person are down. Additional information will be gathered about the situation and analyzed in an effort to determine if there is an ongoing or wider threat and what actions should be taken. Officials will consider such questions as:
• What do we know about the perpetrator(s) and the victims or intended targets? • Is this an isolated incident or part of a larger pattern? Is terrorism involved? • Are other similar venues at risk? • Should the building be locked down? • Should protective actions be taken at other venues? • Should the public be notified? What would be the impact of a public
announcement? • What else do we need to know in order to make these decisions?
3. Situation Status Information: Response Continuous information gathering and analysis lead to response actions. Actions will vary widely depending on the type of information, the event, and the timing. Below are a few examples.
• Thwarting or preventing the threat from occurring • Expanding or activating EOC staffing • Issuing notifications and warnings • Evacuating and sheltering residents • Initiating life-saving response activities • Minimizing damage to property and the environment • Planning recovery actions
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M. Operational Information Another key information type—operational information—relates to the flow of information about the incident with regard to people, property, and status of emergency services. It may address:
• Incident location and scope, and degree of containment or control. • Impact assessments:
o Injuries and fatalities o Critical infrastructure and property threatened, damaged, or lost
• Agencies involved and numbers of units on the scene and responding. • Threats to responders and to the public. • Strategy and tactics.
N. Resource Information Resource information is used to identify, inventory, dispatch, mobilize, transport, and demobilize human and material resources to ensure sustained operations. Resource information may address:
• Resource typing and inventory. • Resource needs (equipment, facilities, and personnel), including:
o Types. o Amounts. o Locations. o Estimated costs.
Resource information may also address:
• Resource availability: o What is available. o Where it can be obtained and in what amounts. o How quickly it can be mobilized.
• Resource tracking, reporting, and accountability from mobilization through demobilization.
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O. Management and Control Information Management and control information is used to make decisions in support of the operational objectives and to assess effectiveness. This type of information may address:
• Safety issues. • Budgetary and legal matters, including determining the basis for declarations. • Political environment. • Personnel performance. • Interagency agreements and coordination issues. • Labor concerns and contractual problems.
P. Public and Stakeholder Information The final type of information is public information—the outward flow of timely, accurate, and consistent information to keep the public informed. Normally, public information is disseminated through the media.
Public information may include:
• Alert system notices and other predictive information. • Information about degrees of threat to the general public, areas to avoid, and
similar information. • Instructions on protective measures such as evacuation routes and lifesaving
measures.
Stakeholder information may include:
• Alert system notices and other predictive information. • XXXXXX
Q. Information Needs Throughout an Incident As you can see, many types of information flow among the incident response and support elements. The nature of information needed by these elements will change throughout an incident.
Prevention Actions to avoid an incident or to intervene to stop an incident from occurring. Prevention involves actions to protect lives and property. It involves applying intelligence and other information to a range of activities that may include such countermeasures as
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deterrence operations; heightened inspections; improved surveillance and security operations; investigations to determine the full nature and source of the threat; public health and agricultural surveillance and testing processes; immunizations, isolation, or quarantine; and, as appropriate, specific law enforcement operations aimed at deterring, preempting, interdicting, or disrupting illegal activity and apprehending potential perpetrators and bringing them to justice.
Preparedness Before an incident, information is needed to support ongoing contingency planning and to inform choices about potential future responses. For example, predictive situation status information enables planners to position resources and make other preparations. Existing resource inventories enable them to anticipate resource shortfalls.
Response When an incident occurs, impact assessments are needed to deploy response units and determine the basis for declarations.
As the response unfolds, operational information is needed for planning. The goal is to identify required changes in the response and in the resources needed for the response. In this phase, the information system needs to have great flexibility in responding to the changing needs of its users.
Recovery Organizations involved in the later phases of the response need information for planning their longer term recovery activities and for mitigation. Recovery information typically relates to:
• Damage and casualties. • Economic and societal impact—longer term needs inflicted upon the population. • Mechanisms and resources available to meet those needs.
Mitigation Activities providing a critical foundation in the effort to reduce the loss of life and property from natural and/or manmade disasters by avoiding or lessening the impact of a disaster and providing value to the public by creating safer communities. Mitigation seeks to fix the cycle of disaster damage, reconstruction, and repeated damage. These activities or actions, in most cases, will have a long-term sustained effect.
R. Information Sources and Consumers We have looked at two key building blocks of an effective communications and information system: interoperable communications systems and the inclusion of critical information types.
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Another important building block is the linking of information sources with consumers.
Potential information sources that may be tapped during the preparation, response, and recovery effort include:
• People and organizations. • Databases and public sources. • Mapping and other technologies. • Incident reports.
The information network should include sources of reliable information about the following:
Incident Status – Current:
• Current conditions • Area impacted and degree of containment/control • Percent acres contained • Fatalities and injuries • Property damaged/destroyed • Property threatened • Critical infrastructure threatened/damaged • Environmental impacts
Incident Status – Predictive:
• Future weather conditions • Projected containment/control
Resources:
• Teams/personnel—status by agency • Commodities—status by agency • Equipment—status by agency • Teams/personnel—status by State/local • Commodities—status by State/local • Equipment—status by State/local • Unmet resource needs
Information consumers are those who need information to perform their roles in incident preparation, response, and recovery. Depending on the size and complexity of the incident, consumers may include:
• Government entities at all levels—local, regional, tribal, State, and Federal. • Nongovernmental organizations. • Public utilities and private-sector entities.
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• Hospitals, schools, and other special populations.
The information network should include all who may become involved in incident preparation, response, and recovery. Examples include:
• Government entities (local, regional, tribal, State, and Federal): o Emergency management agencies o Elected government officials o Regional planning commission o Firefighting o Emergency medical services (EMS) o Law enforcement (including tribal law enforcement) o Public works o Public health department and hospitals o Storm water management o Forestry department, game wardens, etc. o Port authorities o National Guard and Air National Guard
• Nongovernmental organizations (NGOs) involved in sheltering and provision of resources, such as:
o Voluntary agencies (e.g., American Red Cross, faith-based charity groups) o Auxiliary communications (e.g., ham operators, RACES) o Humane society and animal shelters
• Public utilities and private organizations involved in providing emergency resources, services, and communications
• Special populations: o Hospitals o School boards o Corrections o Special needs populations
S. Connecting Sources and Consumers One approach to linking potential sources of information with information consumers is to develop a plan for collecting information. Such a plan can be set up to identify:
• What—What information is required. • Who/Where—Who has the information or where it can be obtained, who is
responsible for getting it, who needs it. • How—How to get the information, how to provide it. • When—When the information is needed.
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VI. Information Processing System The next building block is to have an effective system for processing incident information. Using a system like the one illustrated below helps ensure that the right information gets to the right people at the right time in a form they can use.
A. Step 1: Monitor/Gather The first step in the information cycle is to monitor sources and gather data.
Identified information sources should be continually monitored, looking for relevant data that can help decision makers stay abreast of changing conditions.
A broad and varied approach to data gathering is essential.
B. Step 2: Verify The next step is to verify the relevance, reliability, and validity of the information and the credibility of the source by:
• Using trusted sources as the primary sources of information. • Collating and cross-checking against baseline data and against reports received
from other sources. • Talking to secondary sources. • Receiving positive verification that the information is accurate.
Any discrepancies should be reconciled to ensure that accurate data are being used.
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1. Consequences of Using Unverified Information Failure to verify information can lead to poor decisions about response activities and use of resources—sometimes with serious consequences.
If inaccurate information is released to the public, it can lead to loss of public confidence in the government’s ability to manage the situation.
2. Lessons Learned From Hurricane Katrina Hurricane Katrina demonstrated the importance of information accuracy. On the day of landfall, authoritative reporting from the field was very hard to obtain because of:
• Widespread destruction of communications infrastructure. • Incapacitation of many State and local responders.
As a result, local, State, and Federal officials were forced to depend on a variety of conflicting reports from a combination of media, government, and private sources.
Many of these sources continued to provide inaccurate or incomplete information, further clouding the understanding of what was occurring in New Orleans.
C. Step 3: Synthesize/Analyze Verified information must then be merged, synthesized, and interpreted to produce usable intelligence. The goal is to provide a clear picture of what changes have occurred and their significance to the response effort.
During this step, analysts blend, reconcile, and deconflict data received from multiple sources. They look for patterns and trends that may indicate emerging, immediate, or long-term threat conditions.
D. Step 4: Report/Disseminate Next, the intelligence must be reported or disseminated to those who need it. Reported information is what keeps the common operating picture current and accurate so that appropriate actions can be taken. Put another way, information is perishable; it must be refreshed regularly with new data.
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Information must flow to the appropriate levels to ensure that needed resources are made available. Depending on the size and scope of the incident, reporting may be:
• Local. In an incident involving local response units, the common operating picture is established at the local level, within the jurisdiction. Reporting mechanisms should be in place to ensure that all involved agencies and local officials are in the information loop. An example would be a weather event that can be handled with local fire, EMS, law enforcement, public works, and utilities resources.
• State, Tribal, or Regional. In an incident of limited size and complexity that requires outside assistance from mutual aid partners, the common operating picture may be established at the State, tribal, or regional level. Reporting mechanisms should channel information to the appropriate State, tribal, or regional officials. An example would be a hazardous materials incident requiring a limited evacuation of neighboring areas, and for which the local jurisdiction has insufficient resources. If help from multiple jurisdictions is needed, the State, tribal authority, or region would be in the information loop.
• Federal. In a very large, complex incident, a common operating picture will have to be established at a national level, and reporting information upward to the Federal level helps to build that picture. An example would be a hurricane impacting a large geographic area, or a terrorist incident that requires significant outside resources such as search and rescue, decontamination, medical services, and public health.
1. Dissemination Mechanisms A robust information processing system will have multiple and redundant mechanisms for disseminating information. The best approaches will depend on the type and urgency of the information, the nature and size of the audience, need for security, and other factors. Below are some examples of mechanisms for disseminating information.
Examples of Reporting Mechanisms:
• Telecommunications and radio: Wireless radio systems, landline and cellular telephones, and computer-aided dispatch.
• Online information transfer: E-mail, online databases, and emergency management information-sharing software.
• Person-to-person interaction: Briefings, coordination meetings (in person, teleconference, and video conference), message runners, town meetings, etc.
• Public media: TV and radio broadcasts, fliers, and other public information materials.
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• Public warning systems: Use of the Emergency Alert System and outside warning sirens to issue alerts, notifications, and warnings.
2. Developing Reporting Mechanisms Developing a broad array of reporting mechanisms requires completion of the following tasks:
• Identify dissemination requirements and available methods. • Prepare for telephone, radio, and online information transfer. • Set up a system for generating standardized reports. • Develop guidelines for information meetings. • Develop protocols for dissemination.
Tasks for Developing Reporting Mechanisms
Identify Dissemination Requirements and Available Methods
• Determine information characteristics that impact the choice of dissemination methods, including:
o Priority vs. non-priority information. o Secure vs. non-secure information. o Internal vs. external information—on site, off site, and public. o Information with broad audiences vs. information with a narrow,
specialized audience. • Identify available methods for disseminating information. • Establish primary and backup methods for dissemination of information.
Prepare for Radio, Telephone, and Online Information Transfer
• Determine what information can be disseminated by radio, telephone, and computer, ensuring that any security requirements can be met.
• Ensure that radio protocols include the use of plain language and common terminology.
• Establish access and protocols for use of online information-sharing venues. • Create call lists, e-mail lists, and other contact lists as needed.
Set Up a System for Generating Standard Reports
• Review, adapt, or develop (as needed) standard reporting formats. • Determine how reports will be generated and transmitted. • Establish schedules and responsibility for transmitting reports.
Develop Guidelines for Information Meetings
• Develop guidelines for information meetings, including:
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o Briefings. o In-person coordination meetings. o Teleconferences and videoconferences.
• Determine recommended parameters for: o Leadership and participation. o Frequency. o Location.
• Specifics (schedules, participant lists) are determined in response to actual conditions when an incident occurs.
Develop Protocols for Dissemination
• Develop protocols for all types of dissemination, including: o Responsibilities. o Schedules. o Information to be included. o Format. o Identification of recipients.
E. Step 5: Obtain Feedback No information processing model is complete without feedback. Feedback allows emergency personnel to evaluate response actions and identify lessons learned for continual improvement.
Feedback should be obtained before, during, and after the incident. It is important to be proactive in asking whether information is meeting the needs of users.
1. Feedback Before and During an Incident Communications and information management systems should be monitored throughout the approach and onset of the event/incident so that changes can be made as needed. Be alert to such issues as:
• Frequencies: Are they being used to best advantage? • Communications equipment: Can personnel communicate as needed with the
current setup? • Computer hardware and software: Does this infrastructure adequately support
the sharing of information? • Information flow: Is accurate, timely information getting to the right people in
an appropriate format?
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2. Post-Response Feedback All major stakeholders should participate in a thorough, honest, and transparent after-action review process.
As each component completes their portion of the response, that component needs to provide feedback. The lessons learned about communications and information flow can be used for:
• Revisions and corrections to plans and procedures. • Training and historical purposes. • Support for budget requests to replace, upgrade, or purchase new equipment.
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VII. Information Tools, Capabilities and Readiness
The final building block for an effective information system involves taking advantage of available tools for planning and for gathering and processing information.
Many technological tools are available, and they are evolving rapidly. The ability to use these tools depends on:
• Availability of expertise and time. • Financial resources. • Compatible data standards.
Make sure that results from these tools pass the rationality test. Trust your gut!
A. Examples of Information Tools Examples of technological information tools for planning, gathering, and processing information include:
• Geospatial information systems. • Plume/elliptical modeling programs. • Spread projections. • Hazard-specific modeling.
1. Geospatial Information Systems
A geographic information system (GIS) is an information system designed to work with data referenced by spatial or geographic coordinates. A GIS is both a database system and a set of operations for working with the data. GIS is used to:
• Conduct geospatial analyses of information. • Depict disaster boundaries and estimate
impacts. • Identify various categories of key facilities
located in, or around, a damaged area. • Synthesize many kinds and sources of data and
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imagery.
2. Plume/Elliptical Modeling Programs
Plume/elliptical modeling programs (such as NOAA’s Areal Locations of Hazardous Atmospheres (ALOHA) program) are predictors of airborne plumes for incident scenarios, including fire, hazmat, and biological/chemical/radiological release. These tools are mostly used for planning. Three-dimensional computer models and weather data are used to plot the projected dispersion and deposition of airborne particles, gases, vapors, aerosols, and radioactive materials in the environment. The plots can be overlaid on local maps to assist emergency response officials in deciding what protective actions are needed to effectively protect people and the environment.
3. Spread Projections Spread projections are predictions for the spread of communicable diseases, infestations, fire, or other hazards over time and distance following an incident.
Wildfire spread projections relate the rate of spread to weather conditions.
4. Hazard-Specific ModelingPrograms are available that analyze potential losses (physical, economic, and social) from specific types of hazards.
For example, HAZUS-MH is FEMA’s powerful risk assessment software program for analyzing potential losses from floods, hurricane winds, and earthquakes.
It combines current scientific and engineering knowledge with the latest GIS technology to produce estimates of hazard-related damage before or after a disaster occurs.
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B. Information Security Procedures and protocols need to be established to ensure information security. Inadequate information security may result in the release of information that:
• Places responders and community members in danger. • Increases the spread of rumors and inaccurate information. • Disrupts the critical flow of proper information. • Wastes resources and valuable time correcting misperceptions.
The inappropriate release of sensitive public health or law enforcement information could jeopardize national security, ongoing investigations, or public health.
C. Checking Your Capabilities Earlier in this job aid you learned about developing capabilities in several key areas of communications and information management.
In this part of the job aid you will check your jurisdiction’s or agency’s preparedness in six main areas of communications and information management, including:
• Communications interoperability, • Information management systems, • Systems and tools readiness, • Plans, protocols, and procedures, • Mutual aid and assistance agreements, and • Training and exercises.
D. Communications Interoperability Capability An effective communications system is one that:
• Performs well in the full range of situations that may arise. • Is reliable, portable, scalable, resilient, and redundant. • Supports routine communications within the agency or jurisdiction. • Supports interoperable communications with other entities during multidiscipline
or multi-jurisdiction incidents.
Incompatible communications technology can create barriers in the flow of critical information, and system modification or replacement can take significant time and money—often several budget cycles.
However, jurisdictions and organizations are finding many ways to bridge technological differences and work toward full interoperability. Examples include swap radios,
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gateways, shared channels, proprietary shared systems, and standards-based shared systems.
Examples of Technological Solutions for Interoperability
Five common options (among many others) include:
• Swap Radios—Swapping radios or maintaining a cache of standby radios is an age-old solution. It involves having agencies physically exchange radios on-scene. Swapping radios can be a simple, short-term solution.
• Gateway—A gateway is a computer link, or patch, between incompatible frequencies. A gateway is often used as an interim system modification.
• Shared Channels—Agencies who share a common frequency band may agree on common channels over which they will communicate.
• Proprietary Shared Systems—Agencies use compatible, vendor-specific equipment to communicate over a shared system. Users are assigned to talk groups and can communicate freely within those groups.
• Standards-Based Shared Systems—All radios that are built to a common standard (even though from different vendors) can communicate with each other over a regional shared system. This is a more complex, long-term solution.
E. Information Management System Capability Carrying out a coordinated incident response depends on having an information management system in place that allows stakeholders to share information on a real-time basis. The system should include policies, procedures, and technology to support:
• Monitoring/gathering. • Verification. • Synthesis/analysis. • Reporting/dissemination. • Feedback.
F. Systems and Tools Readiness The ability to maintain a common operating picture depends on (1) the required systems and tools being available, ready, and in good working condition when needed; (2) having trained staff to maintain/repair the systems; and (3) personnel being ready to use the systems. The need for system readiness applies to:
• Wireless radio systems.
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• Telephone and video technology. • Hardware and software for information sharing. • Networks for online access. • Web sites, databases, and other online resources. • Non-technological tools used for information sharing, such as standard report
forms.
Ensuring that systems and tools remain ready to support incident communications requires:
• Trained staff to maintain/repair systems. • Regular equipment maintenance and testing. • Availability of parts and replacements. • Training and regular usage to maintain personnel skills in operating equipment. • Availability of standard report templates.
G. Plans, Protocols, and Procedures Plans, protocols, and procedures provide a framework for managing communications and information sharing within and across jurisdictional/organizational boundaries. They should identify how the various entities will communicate and share information, including:
What • What information is essential. • What information can be shared.
Who • Who needs the information. • Who has the information.
When • On what schedule information will be compiled and transmitted. • In what instances transmission should not wait for established
schedules. • When alerts, warnings, and notifications will be released.
Where • Where responsibility for, and coordination of, communications hardware and software, information processing, and release of public information will reside.
How • How communications systems and platforms will be used. • How information will flow among all stakeholders. • How information will be coordinated for release to the public and
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media.
1. Planning Documents Communications and information management needs to be addressed in your key planning documents, including:
Communications Annex
The communications annex should address:
• Who is responsible for managing communications systems at each level (e.g., County EOC, State Emergency Management Agency).
• Communication linkages with other local EOCs, State EOC, Federal agencies, and mutual aid partners, including interoperable networks and talk-group assignments.
• Radio frequency assignments for command and tactical operations. • Decision criteria for allocating frequencies and for prioritizing their use when call
volume is high. • Information-sharing network standards. • Measures for protecting the integrity and confidentiality of sensitive information.
Standard Operating Procedures
SOPs should be kept simple. They should address:
• Current emergency notification phone lists. • Resource identifiers that radio users can use to contact specific units. • Radio protocols that support interoperable communications, such as using plain
language wherever possible and message confirmation (message – repeat – confirm – clarify).
• Procedures for collecting current, accurate, and complete information. • Procedures for verifying, handling, and analyzing information. • Procedures for information storage, retrieval, and reporting/dissemination.
Continuity Plan
The continuity plan should specify how communications and information management capabilities will be maintained in extraordinary circumstances, including:
• Interoperability with existing field infrastructures. • Communications capability commensurate with the agency’s essential functions. • Ability to communicate with essential personnel, agencies, and organizations.
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• Communications systems for use in situations with and without warning. • Ability to support continuity plan operational requirements. • Ability to operate at the alternate facility on short notice for an extended period. • Access to essential information sources, processing, and storage.
2. Documenting Plans and Procedures Putting policy, plans, and procedures in writing:
• Ensures that all parties have a common view of responsibilities, methods, resources, and restrictions.
• Helps maintain consistency over time regardless of personnel changes. • Helps keep procedures in line with established policy. • Provides the basis for periodic review, evaluation, and updating of procedures.
3. Tips for Developing SOPs When developing SOPs for communications and information management:
• Listen. Be open—listen to different perspectives. Someone else might have an idea that hasn’t been thought of.
• Keep it simple. Keep it short. During a crisis, no one has time to read lengthy instructions. Use checklists, numbered procedures, decision trees, and other easy-to-read formats.
• Develop filters. Have a way to minimize static (misinformation, confusion, distractions early in the incident) in order to focus on the real information.
• Look at incident types. Develop steps for how to handle particular types of instances, and whom to contact. The steps can be generic across types of incidents, but the players might differ.
• Just get started. If there are a lot of procedures that work well but have not been documented, the task may seem insurmountable. Without knowing it, you have already begun the process by doing it. Now just pick a place to begin and chip away at documenting it.
4. Mutual Aid and Assistance Agreements Mutual aid and assistance agreements provide the basis for effective coordination among agencies, organizations, and jurisdictions.
Communications and information-sharing issues should be explicitly addressed in the agreements to ensure that all parties understand how these activities will be coordinated.
Agreements should be recorded in memorandums of understanding (MOUs) or similar documents.
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Agreement Topics
All stakeholders involved in response operations should have mutual aid and assistance agreements in place that indicate how mutual aid resources will be incorporated into each jurisdiction’s communication system during a response—whether by shared frequencies, swap radios, or other means. Agreements should specify:
• How resources will be notified and dispatched and how they will communicate with the organization once they arrive.
• Equipment standards. • Radio usage procedures and frequency assignments. • Agreed-upon communications protocols, such as:
o Use of plain language, tactical language, and encryption. o Information security. o Predesignated organizational structures and responsibilities.
• Common “typing” for communications resources to reflect specific capabilities. • Common identifier “titles” for personnel, facilities, and operational locations used
to support incident operations.
Other possible agreement topics related to communications and information management include:
• Shared used and maintenance of equipment such as gateways, repeaters, or cell sites. Sharing investment and maintenance costs is one way to make interoperable communications more affordable.
• Provision of additional communications support by jurisdictions or private-sector vendors during a disaster.
• Shared 911/dispatch center services. • The role of local amateur radio/RACES Group in supporting emergency
operations. • Use of the communications system for planned events, training and exercises, or
other nonemergency usage.
H. Training and Exercises Through training and exercises, personnel can verify equipment capabilities, learn correct procedures, and test performance in the safety of a simulated incident before an incident occurs. (A real emergency is not the time to learn to operate equipment or follow new procedures!)
Participating in joint exercises also allows jurisdictions to reinforce mutual aid agreements and assistance agreements. The shared experience will make it easier for personnel to cooperate during a joint response. Remember—you can’t surge relationships.
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1. Need for Training Equipment used for interoperable communications is often complex, and the need for user and technician training may be underestimated.
Training should be provided regularly—especially when:
• New technology is procured. • Systems are upgraded. • New workers are hired or supervisors are promoted. • SOPs for multijurisdictional communications and information sharing are
implemented.
2. Need for Exercises Communications and information management should also be a part of a comprehensive exercise program. Exercises should include strategies designed to:
• Verify that communications facilities, systems, and equipment perform as designed.
• Verify that personnel know how to use the equipment. • Test assumptions about interagency coordination and information sharing. • Ensure that information flows to the right people at the right time.
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VIII. Incident Communications and Information Flow
A. Overview When an incident occurs, priorities shift from building communication and information management capabilities to using those capabilities in support of the response effort.
The organizational structure that carries out and coordinates the response requires a communications and information management system that can support the flow of information throughout the organization. This chapter will present steps for setting up and implementing such a system.
• Explain the importance of plain language and common terminology in incident communications.
• Indicate how information flows through the response organization during an incident.
• Describe a process for setting up an incident information management system. • Indicate how standard forms can help in managing the flow of incident
information.
B. Importance of Incident Communications Effectively communicated information can help save lives during an incident. The ability of personnel from different disciplines, jurisdictions, organizations, and agencies to work together during an incident depends on their being able to communicate with each other.
For example, in the chemical explosion incident you heard about in chapter I, being able to share information undoubtedly helped response personnel carry out their tasks of locating the explosion site, finding and rescuing injured people, evacuating residents, and bringing the blaze under control.
C. Plain Language and Common Terminology One of the most important elements of effective incident communications is the use of plain language (clear text) and common terminology. Plain language:
• Is the use of standard phrases and common terms and definitions that can be understood by individuals from all responder disciplines.
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• Simplifies the communication process and reduces the chance of error during an emergency situation regardless of the size, scope, location, or complexity of the incident.
1. Tips for Plain Language and Common Terminology
To help personnel from different disciplines, jurisdictions, organizations, and agencies communicate effectively during an incident:
• Use plain language for most communications, whether oral or written. This ensures that information dissemination is timely, clear, acknowledged, and understood by all intended recipients. Protocols for use of tactical language and encryption should also be available for the limited cases where a high level of security is required (e.g., an ongoing terrorist event).
• Do not use codes or acronyms. Because codes are not standardized across jurisdictions, using 10-codes or other coded language can result in miscommunication and confusion when multiple agencies and disciplines respond to an incident. Similarly, acronyms used by one agency or jurisdiction may not be understood by another and can lead to confusion.
• Confine radio communications to essential messages. Just because you can talk to everyone doesn’t mean you should. During incident response activities, radio traffic should be restricted to those messages necessary for the effective execution of emergency management/response personnel tasks.
• Develop policies and procedures that foster compatibility to allow information sharing among all personnel and their affiliated organizations to the greatest extent possible. Work with partners to develop joint policies and procedures for use of plain language, and provide training to personnel who will implement them.
• Practice using plain language for routine activities. Although NIMS does not require it, everyday use of plain language and common terminology will make it easier to do so in complex incidents.
2. Plain Language: Best Practice In October 2002, local, State, and Federal authorities from the Washington, DC, area joined in an unprecedented cooperative effort to capture the perpetrators of a 3-week-long shooting spree that paralyzed the National Capital Region.
All agencies agreed that they would refrain from using any types of codes, signals, or non-clear text communications when using the radio communication systems.
The use of plain language transmissions enhanced interoperability between officers and agents from various jurisdictions and helped lead to the apprehension of two suspects in the serial shootings.
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D. Importance of Information Flow Another important factor in incident communications is how well information flows through and between the Incident Command System (ICS) structure and the Multiagency Coordination System (MACS).
1. Information Flow Through the ICS When an incident occurs, the Incident Command System, or ICS, provides an integrated organization for managing the incident. Information must flow throughout the ICS organization so that everyone maintains a common operating picture. Integrated communications must be provided among all elements in the structure to support that information flow. There are two types of information flow: formal and informal.
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2. Formal Communications Flow Formal communication follows the lines of authority within the command organization. Use formal communication when:
• Receiving and giving work assignments. • Requesting support or additional resources. • Reporting progress on assigned tasks.
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3. Informal Information Flow Some information can be passed informally, without restriction. For example, the Operations Section Chief may directly contact the Logistics Section Chief to discuss the status of communications linkages. Informal information flow is used only to exchange information about the incident or event. It is NOT used for formal requests for additional resources or for tasking work assignments.
4. Information Flow Within the Multiagency Coordination System
In large or complex incidents, a Multiagency Coordination System (MACS) may be activated to support the incident. The MACS provides the architecture to support coordination for:
• Incident prioritization. • Critical resource allocation. • Communications systems integration. • Information coordination.
The Incident Commander keeps the senior officials within the MACS informed on important matters pertaining to the incident.
Components of a Multiagency Coordination System
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• Emergency Operations Centers—Physical locations at which the coordination of information and resources takes place. In large, complex, or multiple-incident scenarios, more than one EOC may be operating.
• Multiagency Coordination System Elements—Elements, such as Emergency Operations Centers (EOCs), MAC Groups, or Joint Field Offices (JFOs), used to facilitate incident management and policy coordination when incidents cross disciplinary or jurisdictional boundaries.
• On-Scene Command Structures—Organizational structures at the incident site. • Resource Coordination Centers—State and Federal resource centers that
facilitate the provision of resources to support incidents. • Dispatch Centers—Centers with the authority to request resources from
immediate mutual aid agencies to support the concepts of dispatching the closest forces and total mobility.
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IX. Setting Up the Incident Information Management System
Setting up an incident information management system involves these four steps:
1. Identify communications needs; 2. Determine means of communication; 3. Ensure interoperability and redundancy; 4. Manage information flow.
A. Step 1. Identify Communications Needs The first step is to identify communications needs, including:
• Critical linkages between on-scene Incident Command, the EOC(s), and other MACS elements.
• Communications flow within the EOC. • Public information.
1. EOC Linkages Communications linkages for the Emergency Operations Center are vital during an incident because the EOC serves as a key information hub. The EOC:
• Is a central point for collecting, analyzing, and interpreting incident information. • Serves as an information conduit between the incident scene and various
coordination entities. • Plays a key role in coordinating the information flow for complex incidents or
multiple simultaneous incidents. • Facilitates interoperable communications among all response partners.
Important EOC Linkages
Two-Way Linkages Between... To Support...
EOC and Incident Commander • Maintenance of a local common operating picture.
• Determining if and when external assistance is, or will be, required.
Agency leaders located at the EOC and their field representatives
• Coordinated management of incident operations.
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EOC and dispatch center • Maintenance of a local common operating picture.
• Provision of requested resources.
Local EOC and State EOC • Transmittal of external resource requests and responses.
• Provision of information to feed the State and Federal common operating picture.
Multiple EOCs • Maintenance of a local common operating picture.
• Resource coordination.
2. Communications Within the EOC Effective communications within the EOC is essential for successful management of an incident. The ongoing interaction that takes place among discipline leaders builds synergy that can support the on-scene Incident Command. Communications within the EOC should include:
• Message documentation and routing procedures. • Communicating major events. • Documenting actions taken.
3. Tips for Handling Communications at the EOC
The following practices will promote effective communications within the EOC:
• Document decisions. To the extent possible, document decisions concerning communications and information sharing in writing. Be sure written agreements include details about procedures that must be followed to request, activate, assign, track, deactivate, recondition, and pay for resources.
• Document resource requests and status. Ensure that resource requests are carefully documented to ensure the desired resource is located and provided. Documentation makes it easier to track the status of the request so that it can be closed when filled or identified as still open.
• Share documentation. Give all entities that are affected by the decisions made an opportunity to review documentation.
• Communicate directly. Direct communication among key personnel—either face-to-face or by phone or radio—is always preferable to communicating
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through an intermediary. Direct communication allows people to ask questions and gain clarification to resolve issues.
• Document date and time. Have a mechanism for time-stamping all incoming information and recorded actions. This will create a valuable record of incident activities that can be used during post-incident evaluation.
4. Communications in the EOC: Best Practices In Sedgwick County, Kansas, the EOC uses these practices to keep EOC personnel informed throughout an incident:
• Record messages and actions on an electronic log (E-log), automatically stamping them with the date and time of receipt. Some data, such as Emergency Alert System messages and National Weather Service feeds, are automatically posted to the E-log.
• Allow computer access to the E-log and other information by all EOC personnel. • Display information about major events and other priority information on a multi-
panel projection screen at the front of the EOC. • Hold regular status meetings of the disciplines present in the EOC to share
operational updates.
5. Public Information Public information must be coordinated and integrated across jurisdictions, agencies, and organizations; among Federal, State, tribal, and local governments; and with nongovernmental organizations and the private sector.
The Public Information Officer should be provided communications resources for handling:
• Media and public inquiries. • Emergency public information and warnings. • Rumor monitoring and response. • Media monitoring. • Monitoring of social networking sites.
B. Step 2. Determine Means of Communication There are many ways to communicate during an incident, including radio communications, landline or wireless telephone, teleconference, fax, email, online posting, pager, in-person communications, public media, and others. The most effective means in any situation will depend on:
• Type of information being communicated. • Proximity of the persons communicating.
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• Sensitivity of the information and need for security measures. • Size of the audience.
1. Protecting Sensitive Information When considering means of communication, remember that the media and the general public often listen to police scanners to get information about what is happening at incident scenes.
Some operational information must be protected from widespread dissemination. This information should be communicated only by a secure method.
C. Step 3. Ensure Interoperability and Redundancy Communications networks are often overloaded or fail completely following a major incident. Some systems may work in one situation but not in another. To ensure that communications can be maintained throughout an incident:
• Have backup communications systems in place. • Develop protocols for switching to those systems. • Make sure that all agencies know how to switch over and how they will be
notified to do so. • Verify the system works through training and exercise. • Include non-technological means of communication, such as using runners.
D. Step 4. Manage Information Flow Information management systems should be set up to ensure that information can flow freely throughout the response and support organization. To manage information flow:
• Link to critical functions. • Tailor information access to intended usage. • Activate information management processes. • Ensure information quality.
1. Linking to Critical Functions Linking the information management system to critical activities or operations will help determine:
• What information is needed, by whom, and in what form. • When the information is needed. • The best ways to gather, verify, analyze, and disseminate the information.
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Then make sure information to support critical activities for the current situation is flowing through the information pipeline, from source to consumer.
2. Tailoring Access to Usage Intended usage should influence how information is managed. Look at how and by whom the information is used to determine the best information management strategy.
Information Usage Information Management Strategy
Information many people need access to or that is used at several different locations
Provide for quick and easy access, updating, and sharing; multiple ways to access the information; and version control.
Sensitive information Provide for secure storage and controlled access.
Information transmitted to the public
Provide ready access to those with authority to speak to the media. Keep the information current!
Providing Information to EOC Personnel
Key EOC Personnel
During an incident, key personnel rely on timely, accurate information. And effective operation at the EOC requires access to all of the information needed to make good, timely decisions. Key personnel at the EOC closest to the incident must have access to:
• Email. • All information that they would have at the incident scene or at department
headquarters. • Operational data from departmental or other databases. • Information needed from other key personnel through the MACS.
Support Personnel
Support personnel at the EOC have the need for:
• Static files that are maintained in the EOC. These are files that do not change or that change infrequently. Examples include policies and procedures, delegations of authority, and jurisdiction maps.
• Dynamic files that are maintained by the jurisdiction or individual agencies or created at the EOC during each emergency. These are files that change frequently or are unique to the emergency. Examples include resource assignments and agency call-down rosters.
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• “Go kits” that are maintained by individuals or individual agencies. An office “go kit” is a portable container holding information and supplies the owner will need in an emergency. Examples of contents include office supplies, maps, standard operating procedures and other directives, and spare cell phone and computer batteries.
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X. Activating Information Management Processes
Make sure that mechanisms for information gathering, verification, analysis, dissemination, and feedback are activated immediately and continue to function despite the pressures of the emergency.
Don’t let information “fall through the cracks” because many things are happening at once.
A. Ensuring Information Quality Quality information is timely, accurate, thorough, and easy to interpret. To ensure the quality of incident information:
• Gather new information and information updates continually so the common operating picture remains up to date.
• Verify incoming information to be sure it is accurate, complete, and relevant. Don’t shortcut information verification to get information out quickly. Decisions made on the basis of erroneous information can waste precious time, often with serious consequences.
Other strategies to ensure the quality of incident information include:
• Synthesize and analyze raw data to provide decision makers with a clear picture of what changes have occurred and their significance to the response effort.
• Disseminate information quickly and in a form that is easy to interpret and to correlate with other available information. Using standardized forms makes it easier to identify changes that occur from one operational period to the next.
• Use feedback to identify information management system modifications that will improve the quality of information being provided to decision makers.
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B. Tips for Verifying Information When verifying information:
Consider the source—
• Is the source credible and in a position to know? In some cases, the information should be obtained from or verified by the original source. (For example, one jurisdiction based shelter counts on secondhand reports of displaced residents, whereas actually visiting the incident site would have given them very different and more realistic numbers.)
• Has the source provided reliable data in the past?
Corroborate—
• Does a second independent source (person, remote sensor, satellite image, and database) agree?
• Can someone higher up the ladder verify the information?
Trust your gut—
• Does the information look plausible? • Does it match the trends established in earlier reports or in past situations?
(For example, a local emergency response agency received unusually high mortality counts after an incident. They subsequently learned that two different assessment teams had covered the same area and provided duplicate counts.)
• Does the information appear to be up to date?
Where discrepancies occur, follow up and reconcile the differences to ensure that accurate data are being used.
C. Tips for Information Analysis When analyzing information:
Determine the priorities. Rank the information in a way that provides the clearest picture of the emerging situation.
Look for potential dangers. Examine data to identify possible indications or warnings of hazards/threats.
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Look for surprises. Identify situations that are not evolving as projected (for example, only half of the anticipated number of residents have sought shelter in the county, whereas more than 90 percent have done so in neighboring counties).
Look for trends. Identify similarities in the data that point to a pattern.
Avoid over-generalizing. Data that cover only a small geographic area may not represent the big picture.
D. Common Information Pitfalls Another way to ensure information quality is to be proactive in avoiding information pitfalls that can disrupt the common operating picture. Typical information pitfalls include:
• Different snapshots. • Different meaning. • Speaking without thinking. • Painting with too broad a brush.
Different Snapshots. The problem of different snapshots occurs when information about the same situation is gathered at different times or using different definitions. This situation leads to:
• The perception that the government’s facts are inconsistent or false. • Executives and others making statements or decisions based on old information.
Different Meaning. The problem of different meaning occurs when information can be interpreted in different ways. This can happen because of regional differences in terminology, agency differences, or simply ambiguous phrasing.
For example, if an incident message refers to a tanker, what is it referring to? Perhaps to the fire apparatus that transports large amounts of water. But in some regions, that equipment is called a tender, water tender, water buffalo, or water bowser. Another example arose during Hurricane Katrina, when there was confusion over the meanings of overtopping vs. breaching the levees.
Speaking Without Thinking. This problem usually results from failure to verify facts and ignoring conflicting information. In an incident, there is often little time to verify facts. However, when there is conflicting information from credible sources, it is important to take the time to verify before passing the information along as fact.
Painting With Too Broad a Brush. This problem involves drawing inaccurate inferences from available information, jumping to conclusions, or making faulty
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predictions. It is important to base inferences and conclusions on the facts in evidence and your own prior knowledge.
E. Using Standard Forms During an incident, it is important to be able to record incident information and access it later for analysis and planning. Using standard forms for this purpose:
• Saves time for the person(s) reporting the information. • Saves time for those who use the information. • Makes it easier to compare data from different operational periods and to
recognize patterns and trends.
ICS forms are one example of standard formats designed to assist in planning and reporting incident information. Whether your EOC uses these or other formats, the ICS forms provide examples that can be adapted for use in your jurisdiction.
1. Managing the Flow of Information When planning for the use of forms in managing the flow of incident information, it is important to keep three things in mind:
• Purpose—What function does the form perform? • Source—Who prepares the form? • Consumers—Who needs to receive this information?
2. Forms for Incident Planning From the onset of an incident, planning takes place at many levels, identifying strategies and tactics to be used to carry out the response. This important information must be captured and shared as part of creating a common operating picture.
Standard forms can be used to facilitate the planning and sharing of communications-related information. The following are examples of ICS forms used for planning.
Form Description Incident Briefing Form (ICS-201)
Captures vital incident command and control information prior to the formal planning process.
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Incident Action Plan Lays out the overall strategy for managing an incident.
Incident Radio Communications Plan (ICS-205)
Identifies radio frequencies and systems used on the incident.
3. Forms for Reporting Information The use of standardized incident documentation and reporting procedures will help ensure that situational awareness is maintained and that emergency management/response personnel have easy access to critical information.
The following are examples of forms that may be used to communicate incident information.
Form Description
Situation, status, and spot reports
Present details (who, what, when, where, and how) of the incident.
Field reports Provide local assessments and observations of situation status by spotters and observers, damage assessment teams, responders, and other personnel in the incident area.
The most current versions of all ICS forms are available at the NIMS Resource Center.
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XI. Continuous Improvement
A. Overview As different elements of an incident wind down, the communications and information management system returns to the ready state. But the job isn’t finished. The post-incident period is the time to focus on continuous improvement.
This section will present measures your jurisdiction or organization can take to ensure that communication and information management performs better in the next response than in the previous one.
• Describe an after-action process for capturing lessons learned from an incident response.
• Identify issues that should be addressed to ensure continuous improvement in communications and information management.
• Identify strategies for maintaining systems readiness.
B. Learning From Experience Implementing plans and procedures in a planned exercise provides valuable experience. Doing the same thing during an actual major event or incident is even better. The lessons learned provide valuable input for:
• Historical and training purposes. • Revisions and corrections to plans and procedures. • Supporting budget requests to replace, upgrade, or purchase new equipment.
Fortunately, major events and incidents are relatively rare for most jurisdictions. So it is crucial to capture lessons learned during every simulated or actual response.
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C. Focusing on Communications and Information Flow
Your jurisdiction or organization probably has a post-incident evaluation or exercise process already in place. However, communications and information flow are sometimes overlooked in an evaluation because they tend to happen beneath the surface.
It is important to look critically and directly at these functions to ensure that they are fully supporting other aspects of the response. There is no need to create a new assessment process to make sure this happens. Rather, make sure the right questions are being asked to address communications and information management explicitly.
D. Key Steps for Continuous Improvement Although many approaches to post-incident or post-exercise assessment are possible, there are several key steps that every jurisdiction should take:
1. Step 1: Review Incident Documentation A wide range of information should have been documented during the incident, including:
• Decisions made and actions taken during the incident. • Issues that arose and their resolution, such as mid-incident adjustments to the
communications and information management systems. • Situation and status reports and other incident records. • Message logs and intranet postings.
This documentation can provide a starting point for developing a summary of operations and an agenda for meeting with key players.
2. Step 2: Conduct After-Action Review
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After the incident or exercise, an After-Action Review (AAR) should be conducted to capture an accurate picture of what happened and to consider needed improvements. Key personnel should participate, including:
• Incident Commander, command, and general staff. • Mutual aid and assistance partners and public/private partners who supported the
incident. • EOC personnel who played a key role in response coordination. • Public officials.
As elements stand down, they should conduct their own reviews, document lessons learned, and select a representative to participate in the final AAR. The representative should be someone who was an active participant in the event.
Additional meetings may also be needed to follow up on specific issues.
Personnel involved in supporting communications and information management should participate, especially if issues arose in their areas during the incident. Examples include those responsible for:
• Communications systems. • Information technology. • Web site administration. • Information verification and analysis.
a. Discussion Topics During the AAR, specifically address communications issues, such as:
• Communications linkages: Were frequencies and channels used to best advantage? Were personnel at the incident site, at the EOC, and at other venues able to communicate as needed with the setup that was used?
• Computer hardware and software: Did they adequately support the sharing of information?
Specifically address information issues, such as:
• Availability: Did decision makers have information they needed to take effective action?
• Quality and timeliness: Was information accurate and available when needed? • Processing: Was information analyzed and organized to convey the “big
picture”? • Form and format: Did information form and format contribute to easy storage
and retrieval? • Public information: Did the public receive a clear, coordinated message about
the incident?
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b. Tips for Conducting the AAR It is important to conduct the After-Action Review in a way that leads to discussion of successes and failures and development of a plan for making needed improvements. Taking the following steps can help make this happen:
• Establish a nonthreatening environment for the discussion. The purpose of the review is to gather and analyze information, not to assign blame.
• Use an impartial facilitator to keep the process constructive. This can help participants speak more freely and honestly.
• Solicit from the participants specific issues that arose during the course of operations. Be open and honest in gathering information about what worked well and what didn’t. Focus the discussion on four questions:
o What was planned? o What actually happened? o Why did it happen? o What should we do differently next time?
• Try to determine the specific cause of each problem. Be sure to address communications and information flow issues that arose at the EOC, between Incident Command and the EOC, and among MAC entities.
After-Action Review Tips
• Schedule the after-action review shortly after the activity is completed. • Pay attention to time—use the 25%/25%/50% time allotments suggested below. • Focus on WHAT, not WHO. • Establish clear ground rules: encourage candor and openness; this is dialog—not
lecture or debate; focus on items that can be fixed; keep all discussions confidential.
• The leader’s role is to ensure there is skilled facilitation of the after-action review.
1. What did we set out to do? (Spend about 25% of total time on this question and the next)
• Establish the facts. • Determine purpose of the mission and definition of success:
o Key tasks involved. o Conditions under which each task may need to be performed (weather,
topography, time restrictions, etc.). o Acceptable standards for success (explaining what “right” looks like).
2. What actually happened?
• Continue to establish the facts. • Participants should come to agreement on what actually happened. • Pool multiple perspectives to build a shared picture of what happened.
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3. Why did it happen? (Spend about 25% of total time on this question)
• Analyze cause and effect. • Focus on WHAT, not WHO. • Provide progressive refinement for drawing out explanations of what occurred.
This will lead into developing possible solutions.
4. What are we going to do next time? (Spend about 50% of total time on this question)
• Solutions will arise naturally once problems are identified and understood. • Focus on items you can fix, rather than external forces outside of your control. • Identify areas where groups are performing well and should sustain. This will
help repeat success and create a balanced approach to the after-action review.
3. Step 3: Develop an After-Action Report An after-action report should be developed to capture the findings discussed during the After-Action Review. The report documents what happened during the incident or exercise—both successes and failures—and makes recommendations for improvements. Typically, an after-action report includes:
• Incident identification data. • Executive summary. • Issues and remedial actions. • Lessons learned and smart practices. • Improvement plan.
At the local level, there is no set format, and the presentation may vary with the size and complexity of the incident.
E. Developing the Improvement Plan
The improvement plan should include a list of actions to improve performance. Identify the persons responsible for each action, and set up a tracking mechanism to identify progress and status.
The best way to target efforts for improvement is to establish a structure that will lead logically to a solution. The model on the right provides an easy approach for keeping improvement efforts on track.
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1. Task 1: Identify the Problem Communications and information management system problems tend to have quite different implications.
• Communications System Problems—Equipment problems are usually the easiest to identify and the most expensive to fix.
• Information Management Problems—User issues may be harder to diagnose, and there may be a variety of causes.
Communications System Problems
Example: Communications were severely degraded in the New Orleans and southern Louisiana area during Hurricane Katrina. Most of the JFO staff had cell phones, but the public switches were overloaded. Global Star satellite telephones didn’t work inside buildings. With limited communications, it was difficult for the Unified Command to get a common operating picture.
Remedial actions: Remedial actions for communications system problems may involve:
• Acquisition, modification, or updates of communications and IT systems and equipment.
• Equipment repair and maintenance. • Developing new job aids or training.
If major overhauls of the communications hardware system are indicated, it is likely they will have to be factored into several budget cycles before they can be completed.
Information Management Problems
Example: Information did not get to the EOC staff from the Incident Command Post (ICP). Identifying the underlying problem would require asking questions such as:
• Was the reporting timeframe and format communicated to the ICP? • Was it routed appropriately? • Did the message get lost at the ICP? • Was the timeframe realistic? • Did the ICP have enough staff to respond to the request for information in a
timely fashion? • Did staff have a job aid (such as a standardized situation report) that would have
made the task easier? • Was the information gathered, but not transmitted? • Was the information transmitted, but misrouted at the EOC?
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Remedial actions: When information management issues are identified, remedial actions may involve:
• Revising policies and procedures. • Developing new job aids or training.
Managers should be prepared to develop a concrete plan for implementing any needed changes. Tests and exercises should be conducted to verify that the remedial action resolved the issue.
2. Task 2: Find the Right Solution To find the right solution, develop a comprehensive list of possibilities so that all options can be explored before narrowing and targeting a single solution.
Brainstorming may make it possible to identify an innovative solution that otherwise might not have been considered. It also may be that some combination of solutions will work best.
3. Task 3: Assign, Implement, and Test the Solution
Responsibility for the identified solutions should be assigned prior to being implemented and tested through tests, training, and exercises.
a. Tests Systems and equipment should be tested any time a change has been made to the system. Tests confirm that the systems and equipment work as intended and that personnel are able to activate and operate them.
Systems that should be tested include:
• Computer and other data systems. • Communications systems. • Warning systems such as outdoor warning sirens.
b. Training Training should be conducted when a performance problem has been identified or when there is a change in policy or procedure or equipment that affects job performance. Two types of training commonly used to train incident personnel are:
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• Briefings—Good for disseminating information about policy or procedure changes and as a precursor to hands-on training.
• Hands-on training—Intended to provide skills that are required during an incident, such as operating communications equipment or using software to input or access online incident information.
c. Exercises Various types of exercises can be used to test personnel performance and communications and information management systems, including:
• Seminars and workshops. • Tabletop exercises. • Games. • Drills. • Functional and full-scale exercises.
Overview of Exercise Types
The Homeland Security Exercise and Evaluation Program (HSEEP) identifies the following types of exercises. A link to the HSEEP Web site is provided at the end of this job aid.
Type Description
Seminar • Typically an informal discussion guided by a leader or facilitator. • May be used to provide an overview of authorities, strategies,
policies, plans, procedures, protocols, resources, concepts, or ideas. • Provides a good starting point for making major changes to:
o Communications plans and procedures. o Prioritization of communications resources. o Communications-related agreements with response partners. o Information-sharing protocols. o Information security measures.
Workshop • Similar to a seminar, with increased participant interaction and a focus on achieving or building a product.
• Often has a series of facilitators and employs breakout sessions to accomplish goals.
• Ideal for obtaining consensus on how NIMS Command and Management principles (e.g., interoperable communications, system redundancy, use of common terminology) can be integrated into local policies, plans, and procedures.
Tabletop • Participants (typically senior staff, officials, and key personnel) are
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Exercise given a situation and must discuss (in the large group or in breakout groups) how they would respond using their policies, plans, and procedures.
• The format is designed to stimulate discussion of issues in a low-stress environment, with minimal attempts at formal instruction or simulation. Equipment is not used, resources are not deployed, and time pressures are not introduced.
• Tabletop exercises have several applications for improving communications and information management. They provide:
o An opportunity for key agencies and stakeholders to become acquainted with one another, their interrelated roles, and their respective responsibilities for interoperable communications and information sharing.
o A good environment for solving problems related to information sharing and other coordination issues.
o Good preparation for a functional exercise.
Game • A simulation of operations, often involving two or more teams in a competitive environment.
• Uses set rules, controlled data, and defined procedures to depict an actual or assumed real-life situation. Actual resources are not required. The goal is to explore decision-making processes and the consequences of those decisions. The sequence of events affects the players’ decisions, and those decisions in turn affect the sequence of events.
• Could be used to examine information processing and how the flow of information impacts critical response decisions.
Drill • A coordinated, supervised activity usually employed to test a single specific operation or function in a single agency.
• Commonly used to provide training on new equipment, develop or test new policies or procedures, or practice and maintain current skills.
• Relatively easy to incorporate into the daily on-the-job routine and into existing training programs in the field, in the dispatch center, or at the EOC. For example, drills could be used to test:
o Use of the call-down list at the EOC. o Switching of radios to mutual aid or talk group
configurations. o Activation/deactivation of backup communications systems. o Information verification and analysis procedures. o Message logging and routing.
Functional Exercise
• Designed to test and evaluate individual capabilities, multiple functions or activities within a function, or interdependent groups of
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functions. • Focuses on exercising policies, plans, procedures, and resources of
ICS and/or the EOC. Events are simulated through a series of messages that provide event updates that drive the activity.
• Actual movement of personnel and equipment is simulated. Simulated feedback is provided to the exercise participants from a simulation cell/exercise control group.
Full-Scale Exercise
• The most complex type of exercise. A multiagency, multijurisdictional exercise can test many facets of emergency response and recovery.
• Requires mobilization and actual movement of emergency personnel, equipment, and resources. Differs from a drill in that it coordinates the actions of several entities, tests several emergency functions, and activates the EOC.
• Ideally, a full-scale exercise should test and evaluate most functions of the emergency operations plan. The scope, scale, and field component of the full-scale exercise make it an excellent vehicle to assess the entire range of communications interoperability and information management functions, including:
o Ability of field personnel to manage the settings on their radios.
o Incorporation of mutual aid responders into the communications system as they arrive.
o Flow of information from source to consumer. o Function of backup communications systems. o Effectiveness of information-processing procedures in
supplying accurate, timely, and thorough information to decision makers.
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F. Maintaining Systems Readiness Activities to keep systems ready will vary according to systems configuration. However, procedures should be in place for—
• Replenishment • Repair • Replacement • Routine maintenance and updating • Testing and training
—of all radio, telecommunications, and computer systems and equipment.
System Readiness Tasks
The specific steps to be taken in your jurisdiction or organization will depend on how your systems are configured. Typical tasks include the following:
Replenishment, Repair, and Replacement
• Replenish disposable items used for communications and information sharing (e.g., message forms, logs).
• Repair or replace any equipment (e.g., radios) that malfunctioned during the incident.
• Recharge radio batteries and have a methodology for keeping them charged.
Maintenance and Updating
• Perform regular maintenance on telecommunications equipment and computer systems.
• Perform Web site maintenance: Make sure someone has responsibility for keeping Web sites up to date and functioning.
• Perform other online maintenance (e.g., updating databases, email addresses, email groups, accounts access).
• Update information management software as needed. • Review and update plans and procedures on a regular basis. • Give special attention to keeping contact lists current.
Testing and Training
• Regularly test alert and warning systems (e.g., sirens, email, and pager notification).
• Test backup systems, including generators and communications systems. Make sure they can handle the load they need to.
• If equipment is updated or replaced, make sure personnel are trained in its use and have opportunities to practice using it during routine activities.
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• Make sure new staff and newly promoted staff receive needed training promptly so they’re ready to perform in the event of an emergency.
G. Tips for Maintaining Systems Readiness To help ensure a successful readiness program:
• Assign responsibility for readiness tasks to specific individuals. • Share the load to avoid the problem of one person not having enough time to get
to everything. • Set up a schedule for tasks that need to be regularly or periodically completed. • Keep records so it is clear when the last check was done and when the next one
is due. • Keep the team informed of equipment status and any problems. Regular status
meetings are a good time to do this. • Attain budget commitment as a baseline operating cost to maintain systems and
equipment.
H. Resources for Continuous Improvement • The Homeland Security Exercise and Evaluation Program (HSEEP) provides
standardized policy, methodology, and language for designing, developing, conducting, and evaluating exercises.
The HSEEP Web site provides information and resources on communications, training, technology, tools and templates, policy and guidance, lessons learned, after-action reporting, and more.
• FEMA’s Emergency Management Institute offers the Master Exercise Practitioner Program (MEPP)/National Standard Exercise Curriculum (NSEC). This curriculum provides a comprehensive array of classroom and hands-on experiences designed to improve the individual’s ability to manage exercise programs and administer emergency management exercises.