Developing and Maintaining Emergency Operations Plans

Comprehensive Preparedness Guide (CPG) 101

 

Version 2.0

 

Developing and Maintaining Emergency Operations Plans

 

I am pleased to announce the release of Version 2.0 of Comprehensive Preparedness Guide 101: Developing and Maintaining Emergency Operations Plans. Comprehensive Preparedness Guide (CPG) 101 provides guidance for developing emergency operations plans. It promotes a common understanding of the fundamentals of risk-informed planning and decision making to help planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans. The goal of CPG 101 is to assist in making the planning process routine across all phases of emergency management and for all homeland security mission areas. This Guide helps planners at all levels of government in their efforts to develop and maintain viable, all-hazards, all-threats emergency plans. Based on input from state, territorial, tribal, and local officials from across the United States, this update of CPG 101 expands on the fundamentals contained in the first version. With this edition, greater emphasis is placed on representing and engaging the whole community—to include those with access and functional needs, children, and those with household pets and service animals. Residents and all sectors of the community have a critical role and shared responsibility to take appropriate actions to protect themselves, their families and organizations, and their properties. Planning that engages and includes the whole community serves as the focal point for building a collaborative and resilient community. CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. Planners in other disciplines, organizations, and the private sector, as well as other levels of government, may find this Guide useful in the development of their emergency operations plans. While CPG 101 maintains its link to previous guidance, it also reflects the reality of the current operational planning environment. This Guide integrates key concepts from national preparedness policies and doctrines, as well as lessons learned from disasters, major incidents, national assessments, and grant programs. W. Craig Fugate Administrator, Federal Emergency Management Agency

 

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Preface Comprehensive Preparedness Guide (CPG) 101 provides Federal Emergency Management Agency (FEMA) guidance on the fundamentals of planning and developing emergency operations plans (EOP). CPG 101 shows that EOPs are connected to planning efforts in the areas of prevention, protection, response, recovery, and mitigation. Version 2.0 of this Guide expands on these fundamentals and encourages emergency and homeland security managers to engage the whole community in addressing all risks that might impact their jurisdictions. While CPG 101 maintains its link to previous guidance, it also reflects the reality of the current operational planning environment. This Guide integrates key concepts from national preparedness policies and doctrines, as well as lessons learned from disasters, major incidents, national assessments, and grant programs. CPG 101 provides methods for planners to:

 

• Conduct community-based planning that engages the whole community by using a planning process that represents the actual population in the community and involves community leaders and the private sector in the planning process

 

• Ensure plans are developed through an analysis of risk

 

• Identify operational assumptions and resource demands

 

• Prioritize plans and planning efforts to support their seamless transition from development to execution for any threat or hazard

 

• Integrate and synchronize efforts across all levels of government. CPG 101 incorporates the following concepts from operational planning research and day-to-day experience:

 

• The process of planning is just as important as the resulting document.

 

• Plans are not scripts followed to the letter, but are flexible and adaptable to the actual situation.

 

• Effective plans convey the goals and objectives of the intended operation and the actions needed to achieve them.

 

Successful operations occur when organizations know their roles, understand how they fit into the overall plan, and are able to execute the plan. This Guide is part of a series of CPGs published by FEMA. CPG 101 discusses the steps used to produce an EOP, possible plan structures, and components of a basic plan and its annexes. CPGs provide detailed information about planning considerations for specific functions, hazards, and threats. CPG 101 is the foundation for state, territorial, tribal, and local emergency planning in the United States. Planners in other disciplines, organizations, and the private sector, as well as other levels of government, may find this Guide useful in the development of their EOPs.

 

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Contents INTRODUCTION AND OVERVIEW …………………………………………………………………………… INTRO-1  

 

Purpose ………………………………………………………………………………………………………………………… Intro-1  Applicability and Scope …………………………………………………………………………………………………. Intro-1  Supersession …………………………………………………………………………………………………………………. Intro-2  How to Use This Guide ………………………………………………………………………………………………….. Intro-2  Suggested Training ………………………………………………………………………………………………………… Intro-2  National Incident Management System Implementation …………………………………………………….. Intro-2  Administrative Information …………………………………………………………………………………………….. Intro-2  Revision Process ……………………………………………………………………………………………………………. Intro-3  

 

1. THE BASICS OF PLANNING …………………………………………………………………………………………….. 1-1  Overview …………………………………………………………………………………………………………………………… 1-1  Planning Fundamentals ……………………………………………………………………………………………………….. 1-1  

 

Planning Principles ……………………………………………………………………………………………………….. 1-1  Strategic, Operational, and Tactical Planning ……………………………………………………………………. 1-4  Planning Approaches …………………………………………………………………………………………………….. 1-5  Plan Integration …………………………………………………………………………………………………………….. 1-6  Plan Synchronization …………………………………………………………………………………………………….. 1-7  Common Planning Pitfalls ……………………………………………………………………………………………… 1-7  

 

Planning Considerations ………………………………………………………………………………………………………. 1-8  

 

2. UNDERSTANDING THE PLANNING ENVIRONMENT: FEDERAL, STATE, AND LOCAL PLANS …………………………………………………………………………………………………………………………………… 2-1  

 

Overview …………………………………………………………………………………………………………………………… 2-1  Relationship Between Federal Plans and State Emergency Operations Plans ……………………………… 2-1  

 

The National Incident Management System ……………………………………………………………………… 2-1  The National Response Framework …………………………………………………………………………………. 2-2  Federal Emergency Plans at the National and Regional Levels …………………………………………… 2-4  State, Territorial, and Tribal Emergency Operations Plans …………………………………………………. 2-5  Local Emergency Operations Plans …………………………………………………………………………………. 2-5  

 

Linking Federal, State, and Local Emergency Plans ………………………………………………………………… 2-6  

 

3. FORMAT AND FUNCTION: IDENTIFYING THE RIGHT PLAN FOR THE JOB …………….. 3-1  Overview …………………………………………………………………………………………………………………………… 3-1  The Emergency Operations Plan …………………………………………………………………………………………… 3-1  

 

State and Local Emergency Operations Plans …………………………………………………………………… 3-2  Structuring an Emergency Operations Plan…………………………………………………………………………….. 3-3  

 

Traditional Functional Format ………………………………………………………………………………………… 3-4  Emergency Support Function Format ………………………………………………………………………………. 3-5  Agency-/Department-Focused Format ……………………………………………………………………………… 3-7  

 

Using Planning Templates ……………………………………………………………………………………………………. 3-9  Additional Types of Plans ……………………………………………………………………………………………………. 3-9  

 

Procedural Documents …………………………………………………………………………………………………. 3-10  Emergency Operations Plan Content ……………………………………………………………………………………. 3-12  

 

The Basic Plan ……………………………………………………………………………………………………………. 3-12  

 

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Supporting Annexes …………………………………………………………………………………………………….. 3-15  Hazard-, Threat-, or Incident-Specific Annexes ………………………………………………………………. 3-18  

 

4. THE PLANNING PROCESS ………………………………………………………………………………………………. 4-1  Overview …………………………………………………………………………………………………………………………… 4-1  Steps in the Planning Process ……………………………………………………………………………………………….. 4-1  

 

Step 1: Form a Collaborative Planning Team ……………………………………………………………………. 4-2  Step 2: Understand the Situation ……………………………………………………………………………………… 4-7  Step 3: Determine Goals and Objectives ………………………………………………………………………… 4-11  Step 4: Plan Development …………………………………………………………………………………………….. 4-12  Step 5: Plan Preparation, Review, and Approval ……………………………………………………………… 4-16  Step 6: Plan Implementation and Maintenance ………………………………………………………………… 4-25  

 

APPENDIX A: AUTHORITIES AND REFERENCES ……………………………………………………………. A-1  

 

APPENDIX B: LIST OF ACRONYMS AND GLOSSARY ……………………………………………………… B-1  

 

APPENDIX C: EMERGENCY OPERATIONS PLAN DEVELOPMENT GUIDE …………………… C-1  

 

APPENDIX D: SUGGESTED TRAINING ……………………………………………………………………………… D-1  

 

Introduction and Overview Purpose Comprehensive Preparedness Guide (CPG) 101 provides guidelines on developing emergency operations plans (EOP). It promotes a common understanding of the fundamentals of risk-informed planning and decision making to help planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans. The goal of CPG 101 is to make the planning process routine across all phases of emergency management and for all homeland security mission areas. This Guide helps planners at all levels of government in their efforts to develop and maintain viable all-hazards, all-threats EOPs. Accomplished properly, planning provides a methodical way to engage the whole community in thinking through the life cycle of a potential crisis, determining required capabilities, and establishing a framework for roles and responsibilities. It shapes how a community envisions and shares a desired outcome, selects effective ways to achieve it, and communicates expected results. Each jurisdiction’s plans must reflect what that community will do to address its specific risks with the unique resources it has or can obtain. Planners achieve unity of purpose through coordination and integration of plans across all levels of government, nongovernmental organizations, the private sector, and individuals and families. This supports the fundamental principle that, in many situations, emergency management and homeland security operations start at the local level and expand to include Federal, state, territorial, tribal, regional, and private sector assets as the affected jurisdiction requires additional resources and capabilities. Plans must, therefore, integrate vertically to ensure a common operational focus. Similarly, horizontal integration ensures that individual department and agency EOPs fit into the jurisdiction’s plans, and that each department or agency understands, accepts, and is prepared to execute identified mission assignments. Incorporating vertical and horizontal integration into a shared planning community ensures that the sequence and scope of an operation are synchronized.

 

“Let our advance worrying become advanced thinking and planning.”

 

Winston Churchill

 

A shared planning community increases the likelihood of integration and synchronization, makes planning cycles more efficient and effective, and makes plan maintenance easier.

 

Applicability and Scope The Federal Emergency Management Agency (FEMA) recommends that teams responsible for developing EOPs use CPG 101 to guide their efforts. It provides a context for emergency planning in light of other existing plans and describes a universal planning process. This Guide recognizes that many jurisdictions across the country have already developed EOPs that address many emergency management operations. Therefore, CPG 101 establishes no immediate requirements, but suggests that the next iteration of all EOPs follow this guidance. Additionally, regulatory requirements may necessitate the use of additional guides for the development of certain EOP annexes (e.g., the requirements for the Radiological Emergency Preparedness Program). CPG 101 has been designed to complement the use of those guides where required by law or regulation.

 

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Supersession CPG 101 replaces State and Local Guide 101, which is rescinded. In addition, CPG 101 Version 2.0 supersedes CPG 101 Version 1.0, which is rescinded. CPG 101 Version 2.0 also supersedes the Interim CPG 301, which is rescinded.

 

How to Use This Guide CPG 101 is designed to help both novice and experienced planners navigate the planning process. Used in its entirety, this Guide provides information and instruction on the fundamentals of planning and their application. Chapters 1 and 2 lay the foundation for planning efforts by providing information on the basics of planning (Chapter 1) and the environment within which planners function (Chapter 2). With an understanding of these fundamentals, the Guide then transitions from theory to practice by discussing the different plan formats and functions (Chapter 3) and moving into an explanation of the planning process (Chapter 4). A detailed checklist, building upon Chapters 3 and 4, is provided in Appendix C. Because Appendix C provides a set of detailed questions to consider throughout the planning process, users are encouraged to copy or remove this checklist and employ it as they work through the planning process in Chapter 4.

 

Suggested Training To use this Guide to its fullest, users will benefit from training in emergency management and emergency planning. Appendix D provides a suggested list of training courses to increase users’ understanding of emergency management and emergency planning concepts.

 

National Incident Management System Implementation In November 2005, FEMA’s National Integration Center published guides for integrating National Incident Management System (NIMS) concepts into EOPs.1 CPG 101 incorporates the concepts and suggestions found in those documents, which have been discontinued.

 

Administrative Information Terms and acronyms in the text come from the FEMA Acronyms, Abbreviations, and Terms; the National Response Framework (NRF); the NIMS; or the Homeland Security Act of 2002. Websites referenced in this Guide were active at the time of its publication. CPG 101 uses the following contextual definitions for incident, state, and local government throughout the document:

 

• Incident means an occurrence or event—natural, technological, or human-caused—that requires a response to protect life, property, or the environment (e.g., major disasters, emergencies, terrorist attacks, terrorist threats, civil unrest, wildland and urban fires, floods, hazardous materials [HAZMAT] spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical

 

1 State NIMS Integration: Integrating the National Incident Management System into State Emergency Operations Plans and Standard Operating Procedures Local and Tribal NIMS Integration: Integrating the National Incident Management System into Local and Tribal Emergency Operations Plans and Standard Operating Procedures

 

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Introduction and Overview

 

storms, tsunamis, war-related disasters, public health and medical emergencies, other occurrences requiring an emergency response).

 

• State means any state of the United States, and includes the District of Columbia, the Commonwealth of Puerto Rico, the Virgin Islands, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, a Native American Tribe or organization,2 an Alaska native village or Regional Native Corporation, and any possession of the United States.

 

• Local government means:

 

– A county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments (regardless of whether the council of governments is incorporated as a not-for-profit corporation under state law), regional or interstate government entity, or agency or instrumentality of a local government

 

– A rural community, unincorporated town or village, or other public entity.

 

Revision Process FEMA will revise CPG 101, as needed, and issue change pages through the publication distribution system and online through approved sources. FEMA welcomes recommendations on how to improve this Guide so it better serves the needs of the emergency management community. Provide recommendations for improving this Guide to: [email protected], ATTN: CPG Initiative – 101.

 

2 FEMA recognizes that a tribe’s right of self-government flows from the inherent sovereignty of tribes as nations and that the Federally-recognized tribes have a unique and direct relationship with the Federal Government.

 

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1. The Basics of Planning Overview The elected and appointed leaders in each jurisdiction are responsible for ensuring that necessary and appropriate actions are taken to protect people and property from any threat or hazard. When threatened by any hazard, citizens expect elected or appointed leaders to take immediate action to help them resolve the problem. Citizens expect the government to marshal its resources, channel the efforts of the whole community—including voluntary organizations and the private sector—and, if necessary, solicit assistance from outside the jurisdiction. Residents and all sectors of the community have a critical role and shared responsibility to take appropriate actions to protect themselves, their families and organizations, and their properties. Planning that includes the whole community builds a resilient community.3 This chapter serves as a foundation for the rest of the Guide by providing an overview of the basics of planning. It describes how risk-informed, community-based planning supports decision making. This chapter also discusses key planning concepts, effective planning, and planning pitfalls.

 

Planning Fundamentals Planning Principles A p  

 

pplying the following principles to the planning process is key to developing an all-hazards plan for rotecting lives, property, and the environment:

 

Planning must be community-based, representing the whole population and its needs. Understanding the composition of the population—such as accounting for people with disabilities, others with access and functional needs, and for the needs of children—must occur from the outset of the planning effort. For example, the demographics of the population, including its resources and needs, have a profound effect on evacuation, shelter operations, and family reunification.4 Another key consideration is the integration of household pets and service animals into the planning process. Many individuals may make decisions on whether to comply with protective action measures based on the jurisdiction’s ability to address the concerns about their household pets and service animals. Establishing a profile of the community will also let planners know if courses of action are feasible. For example, if the majority of the actual resident population do not own cars, then planning efforts must account for greater transportation resource requirements than if the population was predominately composed of car-owning households. The businesses that comprise your jurisdiction must also be a part of your demographics—your jurisdiction

 

Community-based planning is the concept that planning must not only be representative of the actual population within the community, but also must involve the whole community in the planning process. The process for engaging the whole community in community-based planning is discussed in Chapter 4.

 

3 Per the Department of Homeland Security Risk Lexicon (http://www.dhs.gov/xlibrary/assets/dhs_risk_lexicon.pdf), resiliency is the ability for governments, infrastructures, systems, businesses, and citizenry to resist, absorb, recover from, or adapt to an adverse occurrence that may cause harm or destruction to our health, safety, economic well-being, essential services, or public confidence. 4 Planners should ensure compliance with the requirements of Title VI of the Civil Rights Act of 1964, Executive Order 13166, the Americans with Disabilities Act, Section 504 of the Rehabilitation Act, and other Federal, state, or local laws and anti-discrimination laws.

 

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may house the only business providing a critical resource to your area or the Nation. By fully understanding the composition and requirements of the actual population (including all segments of the community), community-based plans will lead to improved response and recovery activities and, ultimately, overall preparedness. Planning must include participation from all stakeholders in the community. Effective planning ensures that the whole community is represented and involved in the planning process. The most realistic and complete plans are prepared by a diverse planning team, including representatives from the jurisdiction’s departments and agencies, civic leaders, businesses, and organizations (e.g., civic, social, faith-based, humanitarian, educational, advocacy, professional) who are able to contribute critical perspectives and/or have a role in executing the plan. The demographics of the community will aid in determining who to involve as the planning team is constructed. Including community leaders representative of the entire community in planning reinforces the expectation that the community members have a shared responsibility and strengthens the public motivation to conduct planning for themselves, their families, and their organizations. For example, it is essential to incorporate individuals with disabilities or specific access and functional needs and individuals with limited English proficiency, as well as the groups and organizations that support these individuals, in all aspects of the planning process. When the plan considers and incorporates the views of the individuals and organizations assigned tasks within it, they are more likely to accept and use the plan. Planning uses a logical and analytical problem-solving process to help address the complexity and uncertainty inherent in potential hazards and threats. By following a set of logical steps that includes gathering and analyzing information, determining operational objectives, and developing alternative ways to achieve the objectives, planning allows a jurisdiction or regional response structure to work through complex situations. Planning helps a jurisdiction identify the resources at its disposal to perform critical tasks and achieve desired outcomes/target levels of performance. Rather than concentrating on every detail of how to achieve the objective, an effective plan structures thinking and supports insight, creativity, and initiative in the face of an uncertain and fluid environment. While using a prescribed planning process cannot guarantee success, inadequate plans and insufficient planning are proven contributors to failure. Planning considers all hazards and threats. While the causes of emergencies can vary greatly, many of the effects do not. Planners can address common operational functions in their basic plans instead of having unique plans for every type of hazard or threat. For example, floods, wildfires, HAZMAT releases, and radiological dispersal devices may lead a jurisdiction to issue an evacuation order and open shelters. Even though each hazard’s characteristics (e.g., speed of onset, size of the affected area) are different, the general tasks for conducting an evacuation and shelter operations are the same. Planning for all threats and hazards ensures that, when addressing emergency functions, planners identify common tasks and those responsible for accomplishing the tasks. Planning should be flexible enough to address both traditional and catastrophic incidents. Scalable planning solutions are the most likely to be understood and executed properly by the operational personnel who have practice in applying them. Planners can test whether critical plan elements are sufficiently flexible by exercising them against scenarios of varying type and magnitude. In some cases, planners may determine that exceptional policies and approaches are necessary for responding to and recovering from catastrophic incidents. These exceptional planning solutions should be documented within plans, along with clear descriptions of the triggers that indicate they are necessary. Plans must clearly identify the mission and supporting goals (with desired results). More than any other plan element, the clear definition of the mission and supporting goals (which specify desired results/end-states) enables unity of effort and consistency of purpose among the multiple groups and

 

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1. The Basics of Planning

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