Kouzes & Posner Chapter 1 (book title: Leadership Challenge: How to

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U.S. Department of Homeland Security Washington, DC 20528

Homeland Security

December 18, 2008

Dear NIMS Stakeholders:

Homeland Security Presidential Directive (HSPD)-5, Management of Domestic Incidents, directed the development and administration of the National Incident Management System (NIMS). Originally issued on March 1, 2004, by the Department of Homeland Security (DHS), NIMS provides a consistent nationwide template to enable Federal, State l , tribal, and 10cal2governments, nongovernmental organizations (NGOs), and the private sector to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity.

HSPD-5 also required DHS to establish a mechanism for ongoing coordination to provide strategic direction for, and oversight of, NIMS. The National Integration Center's (NIC) Incident Management Systems Integration Division (lMSI)-formerly the NIMS Integration Center-was established to support both routine maintenance and the continuous refinement ofNIMS.

Since 2006, the NIMS document has been revised to incorporate best practices and lessons learned from recent incidents. The NIMS revision also clarifies concepts and principles, and refines processes and terminology throughout the document. A wide range of feedback was incorporated while maintaining the core concepts ofNIMS and no major policy changes were made to the document during the revision. Below is a summary of changes to the NIMS document:

• Eliminated redundancy; • Reorganized document to emphasize that NIMS is more than the Incident Command

System (ICS); • Clarified ICS concepts; • Increased emphasis on planning and added guidance on mutual aid; • Clarified roles of private sector, NGOs, and chief elected and appointed officials;

As defined in the Homeland Security Act of 2002 P.L.I 07-296, the term "State" means any State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern Mariana Islands, and any possession of the United States" 6 U.s.c. 101 (14)

2 As defined in the Homeland Security Act of 2002, Section 2( I0): the term "Iocal government" means "(A) county, municipality, city, town, township, local public authority, school district, special district, intrastate district, council of governments … regional or interstate government entity, or agency or instrumentality of a local government: an Indian tribe or authorized tribal organization, or in Alaska a Native village or Alaska Regional Native Corporation: and a rural community, unincorporated town or village, or other public entity" 6 U.s.c. 101(10)

www.dhs.gov

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• Expanded the Intelligence/Investigation function; and • Highlighted relationship between NIMS and National Response Framework.

I ask for your continued assistance as we implement NIMS. I look forward to continuing our collective efforts to better secure the homeland and protect our citizens. Thank you for your hard work in this important endeavor.

Sincerely,

Michael Chertoff

CONTENTS

Transmittal Letter ………………………………………………………………………………………. i

List of Tables ……………………………………………………………………………………………. ix

List of Figures ………………………………………………………………………………………….. ix

What Is the National Incident Management System? ………………………………………. 1

PREFACE …………………………………………………………………………………………………… 3

INTRODUCTION AND OVERVIEW ………………………………………………………………….. 5 A. Introduction ………………………………………………………………………………… 5 B. Concepts and Principles …………………………………………………………………… 6

1. Flexibility ……………………………………………………………………………….. 6 2. Standardization ………………………………………………………………………… 7

C. Overview of NIMS Components …………………………………………………………. 7 1. NIMS Components …………………………………………………………………….. 7

COMPONENT I: PREPAREDNESS ………………………………………………………………….. 9 A. Concepts and Principles …………………………………………………………………… 9

1. Unified Approach ………………………………………………………………………. 9 2. Levels of Capability …………………………………………………………………… 10

B. Achieving Preparedness …………………………………………………………………. 10 1. Relationship Between NIMS and Other Preparedness Efforts …………………. 10 2. NIMS and Its Relationship to the National Response Framework …………….. 11 3. Preparedness Roles ………………………………………………………………….. 12 4. Preparedness Elements ……………………………………………………………… 16 5. Mitigation ………………………………………………………………………………. 21

COMPONENT II: COMMUNICATIONS AND INFORMATION MANAGEMENT ………….. 23 A. Concepts and Principles ………………………………………………………………….. 23

1. Common Operating Picture …………………………………………………………. 23 2. Interoperability ……………………………………………………………………….. 24 3. Reliability, Scalability, and Portability …………………………………………….. 24 4. Resiliency and Redundancy …………………………………………………………. 24

B. Management Characteristics ……………………………………………………………. 25 1. Standardized Communication Types ………………………………………………. 25 2. Policy and Planning …………………………………………………………………… 25 3. Agreements ……………………………………………………………………………. 26 4. Equipment Standards and Training ……………………………………………….. 26

C. Organization and Operations ……………………………………………………………. 27 1. Incident Information …………………………………………………………………. 27 2. Communications Standards and Formats ………………………………………… 28

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COMPONENT III: RESOURCE MANAGEMENT ………………………………………………… 31 A. Concepts and Principles ………………………………………………………………….. 32

1. Concepts ……………………………………………………………………………….. 32 2. Principles ………………………………………………………………………………. 32

B. Managing Resources ……………………………………………………………………… 34 1. Identify Requirements ……………………………………………………………….. 35 2. Order and Acquire ……………………………………………………………………. 37 3. Mobilize ………………………………………………………………………………… 37 4. Track and Report……………………………………………………………………… 38 5. Recover and Demobilize …………………………………………………………….. 38 6. Reimburse ……………………………………………………………………………… 39 7. Inventory ………………………………………………………………………………. 39

COMPONENT IV: COMMAND AND MANAGEMENT …………………………………………… 45 A. Incident Command System ……………………………………………………………… 45

1. Management Characteristics ……………………………………………………….. 46 2. Incident Command and Command Staff ………………………………………….. 49 3. General Staff ………………………………………………………………………….. 54 4. Incident Management Teams ………………………………………………………. 61 5. Incident Complex: Multiple Incident Management Within

a Single ICS Organization …………………………………………………………… 61 6. Area Command ……………………………………………………………………….. 62

B. Multiagency Coordination Systems …………………………………………………….. 64 1. Definition ………………………………………………………………………………. 64 2. System Elements …………………………………………………………………….. 65 3. Examples of System Elements ……………………………………………………… 66 4. Primary Functions of MACS …………………………………………………………. 67 5. Differences Between a MAC Group and Area Command ……………………….. 69

C. Public Information ………………………………………………………………………… 70 1. Introduction …………………………………………………………………………… 70 2. System Description and Components …………………………………………….. 70 3. Public Information Communications Planning ……………………………………. 74

D. Relationships Among Command and Management Elements ……………………… 74

COMPONENT V: ONGOING MANAGEMENT AND MAINTENANCE ……………………….. 75 A. National Integration Center …………………………………………………………….. 75

1. Concepts and Principles ……………………………………………………………… 75 2. NIMS Revision Process ………………………………………………………………. 76 3. NIC Responsibilities ………………………………………………………………….. 76

B. Supporting Technologies ………………………………………………………………… 79 1. Concepts and Principles ……………………………………………………………… 79 2. Supporting Incident Management With Science and Technology …………….. 80

Appendix A: EXAMPLES OF RESOURCES FOR WHICH TYPING HAS BEEN COMPLETED ……………………………………………………………………………………. 83

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Appendix B: INCIDENT COMMAND SYSTEM …………………………………………………. 89 A. Purpose …………………………………………………………………………………….. 89 B. Organization of This Appendix ………………………………………………………….. 89

TAB 1—ICS ORGANIZATION ………………………………………………………………….. 91 A. Functional Structure ……………………………………………………………………… 91 B. Modular Expansion ……………………………………………………………………….. 91

1. Command Staff ……………………………………………………………………….. 92 TAB 2—THE OPERATIONS SECTION ………………………………………………………… 97

A. Operations Section Chief ………………………………………………………………… 97 B. Branches …………………………………………………………………………………… 97

1. Maintaining Recommended Span of Control for the Operations Section Chief ……………………………………………………………………………………. 97

2. Incident Calls for a Functional Branch Structure ………………………………… 98 3. Incident Calls for a Multijurisdictional Branch Structure ……………………….. 99

C. Divisions and Groups …………………………………………………………………….. 99 1. Geographical Divisions …………………………………………………………….. 100 2. Functional Groups ………………………………………………………………….. 100 3. Combined Geographical Divisions and Functional Groups ……………………. 101

D. Resource Organization …………………………………………………………………. 101 1. Single Resources ……………………………………………………………………. 101 2. Task Forces ………………………………………………………………………….. 101 3. Strike Teams ………………………………………………………………………… 101

E. Air Operations Branch ………………………………………………………………….. 101 TAB 3—THE PLANNING SECTION ………………………………………………………….. 103

A. Planning Section Chief …………………………………………………………………. 103 B. Resources Unit …………………………………………………………………………… 103

1. Responsibilities ……………………………………………………………………… 103 2. Resource Status …………………………………………………………………….. 103

C. Situation Unit ……………………………………………………………………………. 104 D. Documentation Unit …………………………………………………………………….. 104 E. Demobilization Unit …………………………………………………………………….. 104 F. Technical Specialists ……………………………………………………………………. 105

TAB 4—THE LOGISTICS SECTION …………………………………………………………. 107 A. Supply Unit ………………………………………………………………………………. 108 B. Facilities Unit …………………………………………………………………………….. 108 C. Ground Support Unit ……………………………………………………………………. 108 D. Communications Unit …………………………………………………………………… 109

1. Command Net ………………………………………………………………………. 110 2. Tactical Nets …………………………………………………………………………. 110 3. Support Net ………………………………………………………………………….. 110 4. Air-to-Ground Net ………………………………………………………………….. 110 5. Air-to-Air Nets ………………………………………………………………………. 110

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E. Food Unit …………………………………………………………………………………. 110 F. Medical Unit ……………………………………………………………………………… 111

TAB 5—THE FINANCE/ADMINISTRATION SECTION …………………………………. 113 A. Time Unit …………………………………………………………………………………. 113 B. Procurement Unit ……………………………………………………………………….. 113 C. Compensation and Claims Unit ……………………………………………………….. 114 D. Cost Unit………………………………………………………………………………….. 114

TAB 6—ESTABLISHING AN AREA COMMAND …………………………………………… 115 A. Responsibilities ………………………………………………………………………….. 115 B. Organization ……………………………………………………………………………… 115

1. Area Commander (Unified Area Command) ……………………………………. 115 2. Assistant Area Commander–Logistics …………………………………………… 116 3. Assistant Area Commander–Planning …………………………………………… 116 4. Area Command Aviation Coordinator ……………………………………………. 116 5. Area Command Support Positions ……………………………………………….. 116

C. Location …………………………………………………………………………………… 116 D. Reporting Relationships ………………………………………………………………… 117

TAB 7—FACILITIES AND LOCATIONS ……………………………………………………. 119 A. Incident Command Post ……………………………………………………………….. 119 B. Incident Base ……………………………………………………………………………. 119 C. Camps …………………………………………………………………………………….. 119 D. Staging Areas ……………………………………………………………………………. 119

TAB 8—THE PLANNING PROCESS AND THE IAP ………………………………………. 121 A. Overview …………………………………………………………………………………. 121

1. Understand the Situation ………………………………………………………….. 122 2. Establish Incident Objectives and Strategy …………………………………….. 122 3. Develop the Plan ……………………………………………………………………. 122 4. Prepare and Disseminate the Plan ……………………………………………….. 122 5. Execute, Evaluate, and Revise the Plan…………………………………………. 122

B. Responsibilities and Specific Planning Activities ……………………………………. 123 1. Operational Period Planning Cycle ……………………………………………….. 123 2. Planning Steps: Understanding the Situation and Establishing

Objectives and Strategy …………………………………………………………… 124 3. Conducting the Planning Meeting ………………………………………………… 125

TAB 9—ICS FORMS …………………………………………………………………………….. 129 A. ICS Forms ………………………………………………………………………………… 129

1. ICS 201 – Incident Briefing ……………………………………………………….. 129 2. ICS 202 – Incident Objectives ……………………………………………………. 129 3. ICS 203 – Organization Assignment List ……………………………………….. 129 4. ICS 204 – Assignment List ………………………………………………………… 129 5. ICS 205 – Incident Radio Communications Plan ………………………………. 130 6. ICS 206 – Medical Plan ……………………………………………………………. 130 7. ICS 209 – Incident Status Summary ……………………………………………. 130

vi National Incident Management System December 2008

8. ICS 211 – Incident Check-In List ………………………………………………… 130 9. ICS 215 – Operational Planning Worksheet ……………………………………. 130 10. ICS 215A – Hazard Risk Analysis ………………………………………………… 130

TAB 10—SUMMARY OF MAJOR ICS POSITIONS ………………………………………. 131

GLOSSARY OF KEY TERMS ……………………………………………………………………….. 135

ACRONYMS ……………………………………………………………………………………………. 151

INDEX ………………………………………………………………………………………………….. 153

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LIST OF TABLES Table 1. Overview of NIMS ………………………………………………………………………. 6 Table 2. Example Categories for National Resource Typing ……………………………….. 42 Table 3. Example of a Resource With Multiple Components (Firefighting Engine

Company) ………………………………………………………………………………………. 42 Table 4. Example of a Resource With Multiple Types (Coast Guard Oil Skimmer) …….. 43 Table 5. Sample IAP Outline ……………………………………………………………………. 57 Table 6. Differences Between a MAC Group and Area Command …………………………. 69 Table 7. Types of Joint Information Centers …………………………………………………. 72 Table A-1. Single Resource (Track Dozer) That Has Been Typed …………………………. 83 Table A-2. Team Resource (Swiftwater/Flood Search and Rescue Team) That

Has Been Typed ……………………………………………………………………………….. 85 Table B-1. ICS Organization ……………………………………………………………………. 92 Table B-2. The IAP and Typical Attachments ………………………………………………. 126 Table B-3. ICS Forms That Can Aid the Planning Process ……………………………….. 128 Table B-4. Summary Table of Major ICS Positions ………………………………………… 131

LIST OF FIGURES Figure 1. Resource Management During an Incident ……………………………………….. 35 Figure 2. Flow of Requests and Assistance During Large-Scale Incidents ………………. 36 Figure 3. Recommended NIMS Personnel Credentialing Process …………………………. 41 Figure 4. Incident Command System: Command Staff and General Staff ……………… 53 Figure 5. Major Organizational Elements of Operations Section ………………………….. 54 Figure 6. Planning Section Organization ………………………………………………………. 56 Figure 7. Logistics Section Organization ………………………………………………………. 58 Figure 8. Finance/Administration Section Organization …………………………………….. 59 Figure 9. Chain of Command and Reporting Relationships ………………………………… 63 Figure 10. Multiagency Coordination System (MACS) ………………………………………. 65 Figure B-1. Example of the Role of Safety Officer and Assistant Safety Officers

in ICS in a Multibranch Incident ……………………………………………………………. 94 Figure B-2. Geographic Branch Organization ………………………………………………… 98 Figure B-3. Deputy Operations With Functional Branch Structure ……………………….. 99 Figure B-4. Multijurisdictional Incident ……………………………………………………….. 99 Figure B-5. Use of Geographical Divisions ………………………………………………….. 100 Figure B-6. Use of Functional Groups ……………………………………………………….. 100 Figure B-7. Air Operations Organization …………………………………………………….. 102 Figure B-8. Logistics Section With Branch Organizational Structure …………………… 107 Figure B-9. Operational Period Planning Cycle …………………………………………….. 123

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What Is the National Incident Management System?

The National Incident Management System (NIMS) provides a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, in order to reduce the loss of life and property and harm to the environment. NIMS works hand in hand with the National Response Framework (NRF). NIMS provides the template for the management of incidents, while the NRF provides the structure and mechanisms for national-level policy for incident management.

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2 National Incident Management System December 2008

PREFACE On February 28, 2003, the President issued Homeland Security Presidential Directive 5 (HSPD–5), “Management of Domestic Incidents,” which directed the Secretary of Homeland Security to develop and administer a National Incident Management System (NIMS). This system provides a consistent nationwide template to enable Federal, State, tribal, and local governments, nongovernmental organizations (NGOs), and the private sector to work together to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity. This consistency provides the foundation for utilization of NIMS for all incidents, ranging from daily occurrences to incidents requiring a coordinated Federal response. NIMS is not an operational incident management or resource allocation plan. NIMS represents a core set of doctrines, concepts, principles, terminology, and organizational processes that enables effective, efficient, and collaborative incident management. HSPD–5 also required the Secretary of Homeland Security to develop the National Response Plan, which has been superseded by the National Response Framework (NRF). The NRF is a guide to how the Nation conducts all-hazards response. The NRF identifies the key principles, as well as the roles and structures, that organize national response. In addition, it describes special circumstances where the Federal Government exercises a larger role, including incidents where Federal interests are involved and catastrophic incidents where a State would require significant support. HSPD–5 requires all Federal departments and agencies to adopt NIMS and to use it in their individual incident management programs and activities, as well as in support of all actions taken to assist State, tribal, and local governments. The directive requires Federal departments and agencies to make adoption of NIMS by State, tribal, and local organizations a condition for Federal preparedness assistance (through grants, contracts, and other activities). NIMS recognizes the role that NGOs and the private sector have in preparedness and activities to prevent, protect against, respond to, recover from, and mitigate the effects of incidents. Building on the foundation provided by existing emergency management and incident response systems used by jurisdictions, organizations, and functional disciplines at all levels, NIMS integrates best practices into a comprehensive framework for use nationwide by emergency management/response personnel1 in an all-hazards context. These best practices lay the groundwork for the components of NIMS and provide the mechanisms for the further development and refinement of supporting national standards, guidelines, protocols, systems, and technologies. NIMS fosters the development of specialized technologies that facilitate emergency management and incident response activities, and allows for the adoption of new approaches that will enable continuous refinement of the system over time. The Secretary of Homeland Security, through the National Integration Center (NIC), Incident Management Systems Integration Division (formerly known as the NIMS Integration Center), publishes the standards, guidelines, and compliance protocols for determining whether a Federal, State, tribal, or local government has implemented NIMS.

1 Emergency management/response personnel include Federal, State, territorial, tribal, substate regional, and local governments, nongovernmental organizations, private-sector organizations, critical infrastructure owners and operators, and all other organizations and individuals who assume an emergency management role.

National Incident Management System 3 December 2008

PREFACE

4 National Incident Management System

Additionally, the Secretary, through the NIC, manages publication and collaboratively, with other departments and agencies, develops standards, guidelines, compliance procedures, and protocols for all aspects of NIMS. This document was developed through a collaborative intergovernmental partnership with significant input from the incident management functional disciplines, NGOs, and the private sector. Originally published on March 1, 2004, the document was revised in 2008 to reflect contributions from stakeholders and lessons learned during recent incidents.

December 2008

INTRODUCTION AND OVERVIEW A. INTRODUCTION The September 11, 2001, terrorist attacks and the 2004 and 2005 hurricane seasons highlighted the need to focus on improving emergency management, incident response capabilities, and coordination processes across the country. A comprehensive national approach, applicable at all jurisdictional levels and across functional disciplines, improves the effectiveness of emergency management/response personnel2 across the full spectrum of potential incidents and hazard scenarios (including but not limited to natural hazards, terrorist activities, and ot

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