NIMS

September 2007

Incident Command System (ICS) &
National Incident Management System
(NIMS) Training for the Water Sector

•	On February 28, 2003, President Bush issued Homeland Security Presidential Directive-
5. HSPD-5 directed the Secretary of Homeland Security to develop and administer a
National Incident Management System (NIMS). NIMS provides a consistent
nationwide template to enable all government, private-sector, and nongovernmental
organizations to work together during domestic incidents. This course introduces NIMS
and explains the purpose, principles, key components and benefits of NIMS. Where
possible and appropriate, the U.S. Environmental Protection Agency (EPA) has
modified the basic FEMA training materials in this course to be more reflective of the
water sector and to provide water sector examples of NIMS concepts and
recommendations.

•	You must be qualified to instruct the Water Sector NIMS IS-700 training. EPA
recommends that the NIMS IS-700 Lead Instructor should have successfully completed
ICS-100, ICS-200, IS-700 (NIMS, An Introduction), and IS-800a (The National
Response Plan), and should have training and experience in adult education.

•	The entire NIMS document can be downloaded from the following FEMA webpage:
http://www.fema.gov/pdf/emergencv/nims/nims doc full.pdf.

National Incident
Management System

(Adapted from FEMA IS-700)

Water Sector NIMS Training

1


-------
NIMS

September 2007

Self-explanatory.

The entire NIMS document can be downloaded from the following FEMA webpage:
http;//www.fema.gov/pdf/emergencv/nims/nims doc full.pdf

Water Sector NIMS Training

2


-------
NIMS

September 2007

•	NIMS is a comprehensive, national approach to incident management that is
applicable at all jurisdictional levels and across functional disciplines. The intent
of NIMS is to:

o Be applicable across a full spectrum of potential incidents and hazard
scenarios, regardless of size or complexity.

o Improve coordination and cooperation between public and private entities
in a variety of domestic incident management activities.

•	State and local organizations must adopt NIMS in order to receive federal
preparedness assistance funding! For more details on NIMS compliance, please
see http://www.fema.gov/emergency/nims/nims_compliance.shtm or the NIMS
Compliance document at the back of the student coursebook.

•	NIMS is currently under review and revision. Find out more about the potential
changes in NIMS and learn how to comment at

http://www.fema.gov/emergency/nims/index.shtm

Water Sector NIMS Training

3


-------
NIMS

September 2007

Background

¦	Developed after 9/11

¦	Takes existing best practices in emergency
management (such as ICS) and makes them
national standards		

NIMS implementation
required for FY 2007
federal preparedness
funding

wg*

' Mk. 4i



Water Sector NIMS Training

4


-------
NIMS

September 2007

Whv Do We Need NIMS?

Lessons learned have shown the need for:

A coordinated response (e.g., ICS)

Standardization

(e.g., training)

Interoperability
(e.g., radios)

•	Lessons learned from previous large-scale disasters point to a need for a National
Incident Management System.

•	Emergencies occur every day somewhere in the United Sates. These emergencies are
large and small and range from fires to hazardous materials incidents to natural and
technological disasters. Each incident requires a response.

•	Whether from different departments within the same jurisdiction, from mutual aid
partners, or from State and Federal agencies, responders need to be able to work
together, communicate with each other and depend on each other.

•	Until now, there have been no standards for domestic incident response that reach across
all levels of government and all response agencies. The events of September 11 have
underscored the need for and importance of national standards for incident operations,
incident communications, personnel qualifications, resource management, and
information management and supporting technology.

•	To provide standards for domestic incident response, President Bush signed Homeland
Security Presidential Directive 5. HSPD-5 authorized the Secretary of Homeland
Security to develop the NIMS. NIMS provides for interoperability and compatibility
among all responders.

•	Bottom line: You need NIMS to give & receive mutual aid and assistance. NIMS is
also the basis for providing interoperability and compatibility among all responders.

Water Sector NIMS Training

5


-------
NIMS

September 2007

NIMS Quick Quiz	

Can you:

~	Involve police, fire, public health, etc. in your
planning, training, and exercises?

~	Integrate ICS into your ERP?

~	Communicate with other first responders?

~	Tap into a mutual aid network?

~	Identify, mobilize, track, and recover
resources?

~	Effectively communicate with the public during
times of crisis?

•	This quick quiz is intended to stimulate a discussion with the students in regards
to what their jurisdiction(s) / agency(ies) is (are) able to do. The instructor may
wish to point out how each of the items in the quiz contributes to a coordinated
response.

•	Essentially, jurisdictions that can't do all of the items contained within the quiz
can benefit from NIMS.

Water Sector NIMS Training

6


-------
NIMS

September 2007

What does NIMS compliance mean to you?

•	Community adoption

•	Preparedness planning

•	Training

•	Exercises

•	Communication and
information management

•	Resource management

•	Command

*

«*

*

•

*

*

*

» *,*,• i1,





n

»• A

I

• This slide is a brief summary of all incident management components that fall under
NIMS compliance requirement. It is important for the students to realize that NIMS
compliance is more than just taking a few training courses. To comply with NIMS local
jurisdictions must:

o	Adopt NIMS by executive order

o	Institutionalize ICS

o	Use multi-agency coordination systems (EOC)

o	Use Joint Information Systems (JIS)

o	Revise and update Plans, SOPs, etc.

o	Participate in and promote intrastate and interagency mutual aid and assistance
agreements

o	Complete 1S-700. IS-800, ICS-100, and ICS-200 training as appropriate

o	Incorporate NIMS/ICS into all exercises

o	Participate in exercises

o	Inventory community response assets for typing conformance

o	Use common terminology across the public safety sector

Water Sector NIMS Training

7


-------
NIMS

September 2007

NIMS Concepts and Principles

NIMS is:

Flexible to enable all responding organizations to work
together

Standardized to improve overall response and
interoperability

Applicable across jurisdictions and functions.

•	Tell the students that NIMS provides a framework for interoperability and
compatibility by balancing flexibility and standardization.

•	NIMS provides a flexible framework that facilitates government and private
entities at all levels working together to manage domestic incidents. This
flexibility applies to all phases of incident management, regardless of cause,
size, location, or complexity

•	NIMS provides a set of standardized organizational structures, as well as
requirements for processes, procedures, and systems designed to improve
interoperability (for example, typing resources).

Water Sector NIMS Training

8


-------
NIMS

September 2007

•	These are the five major components of NIMS (previously 6, but two have been
combined). Explain to the students that the following slides will look at each of
the components in more detail.

•	Note: Under the revised NIMS, there are only 5 components. Supporting
technologies falls under the ongoing management and maintenance, along with
the National Integration Center (NIC).

Water Sector NIMS Training

9


-------
NIMS

September 2007

1. Preparedness

Preparedness Elements:		

¦	Planning	i

¦	Continuity of Operations	|F * J

¦	Procedures and Protocols Sfe

¦	Training and Exercises	¦ ^

¦	Personal Qualifications	I S ,
and Certifications

¦	Equipment Certification

¦	Mutual Aid and Assistance Agreements

•	A continuous process that involves the integration of planning, training, exercising,
personnel qualification and certification standards, and equipment certification
standards in an effort to build, sustain, and improve operational capabilities.
Preparedness facilitates efficient and effective emergency management and response
activities.

•	Preparedness is usually maintained through a continual cycle of planning, training,
equipping, exercising, evaluating, and taking action to correct and mitigate. NIMS
places the responsibility of preparedness on each individual jurisdiction. NIMS,
however, will provide tools to aid jurisdictions in their preparedness efforts. Some of
these tools will be discussed in later slides.

•	Specific examples of efforts to support water sector preparedness under NIMS include
emergency response guidance put forth by U.S. EPA (e.g., Emergency Response Plan
Guidance for Small and Medium Systems, available at

http://www.epa.gov/safewater/watersecuritv/pubs/small medium ERP guidance04Q704
.pdf). training and exercises (e.g., the Water Sector ICS and National Incident
Management System courses and the Emergency Response Tabletop Exercises for
Drinking Water and Wastewater Systems).

•	FEMA products available to the water sector include the on-line independent study
courses as well as guidance documents such as Integrating the NIMS into Local and
Tribal Emergency Operations Plans and Standard Operating Procedures. An on-line
tool called NIMCAST is also available to help jurisdictions and agencies to evaluate
themselves in terms of NIMS compliance and preparedness.

Water Sector NIMS Training

10


-------
NIMS

September 2007

•	Preparedness organizations at all levels should follow NIMS standards and
undertake the following tasks:

o Establishing and coordinating emergency plans and protocols.

o Integrating and coordinating the activities and jurisdictions within their
purview.

o Establishing guidelines and protocols to promote interoperability among
jurisdictions and agencies.

o Adopting guidelines and protocols for resource management.

o Establishing priorities for resources and other response requirements.

o Establishing and maintaining multi-agency coordination mechanisms.

•	An example of a preparedness organization is a Local Emergency Planning
Committee or LEPC.

Water Sector NIMS Training

11


-------
NIMS

September 2007

The private sector can be a good source for best practices in many areas of
preparedness, emergency management, and incident response.

Both the private sector and NGOs should be incorporated in preparedness efforts
such as planning, training, and exercises, as appropriate.

It is also recommended that key executives and administrators of NGOs use
NIMS for scheduled events or incidents to improve their ability to integrate
NIMS into incident management.

Examples of such participants for the water sector include the American Water
Works Association (AWWA), and the National Rural Water Associations
(NWRA).

Water Sector NIMS Training

12


-------
NIMS

September 2007

•	The NIMS document is an example of a big picture, strategic planning document.

•	Jurisdictions must develop several types of plans, including:

o Procedures, which may include standard operating procedures, field operations guides,

job aids, or other critical information needed for a response,
o Preparedness Plans, which describe how training needs will be identified and met, how
resources will be obtained through mutual aid agreements, and the equipment required
for the hazards faced by the jurisdiction,
o Corrective Action and Mitigation Plans, which include activities required to

implement procedures based on lessons learned from actual incidents or training and
exercises.

o Recovery Plans, which describe the actions to be taken to facilitate long-term
recovery.

•	At a water utility, an Emergency Response Plan (ERP) would be prepared. It is up to utility
management to share the ERP or aspects of the ERP as appropriate with other local first
responder agencies to ensure that the utility's ERP is not in conflict with any other local
emergency plans or procedures. This is particularly important when the utility's ERP
assumes a certain response or assistance from another local agency such as law enforcement
of public health during a particular emergency.

•	Continuity of Operations is the "capability of maintaining a business' core capabilities under
all eventualities. It ensures the availability of critical infrastructure and resources. Water
utilities probably already address some aspects of it, to make sure customers have service
during / after emergencies.

Water Sector NIMS Training

13


-------
NIMS

Keys to a Good Plan

sew

* Realistic, scalable, applicable to

Emergency Response Plan Guidance for Small
and Medium Community Water Systems
to Comply wtft the PuMc Health Security
and Bioterrorism Preparedness

all hazards

and Response Act of 2002

* Basis for training and should be



exercised



* Updated periodically

-r-r*

i i

* Describe how personnel, equipment and other

resources support incident operations

• Provide a mechanism for setting priorities

* Integrate multiple jurisdictions/disciplines

* Establish collaborative relationships

1- ¦ - fc m~



September 2007

•	A Plan should be applicable to all types of incident / hazard, from daily occurrences to
catastrophic incidents, and should be exercised periodically to make sure that all
individuals potentially involved in the response are trained and able execute their task.

•	A Plan should also incorporate elements from after-action reviews or lessons learned, if
applicable, and be updated regularly. Updating it may mean including a corrective
action plan following a major incidents or exercise.

•	Integrating multiple jurisdictions and agencies in the plan, such as water and wastewater
utilities with local government (e.g., police, fire) will facilitate future coordinated
emergency management and incident response activities.

Water Sector NIMS Training

14


-------
NIMS

September 2007

Trainina and Exercises

•	Ensure personnel can function effectively
together across jurisdictions and disciplines

•	Types of Training

¦	Incident Command System

¦	Discipline or Agency Specific	I

¦	Plan Specific	%» *1

•	Exercise the plan to help execute it more
effectively

•	Incorporate corrective actions from exercises

•	Exercise with other agencies and jurisdictions

•	Training and exercises are an integral part of preparedness planning, and should
be conducted on a regular basis across multiple agencies and jurisdictions for
utility and agency personnel to learn to provide a coordinated and effective
response.

•	To help jurisdictions prepare, the NIMS Integration Center (NIC) is responsible
for the following training-related activities:

o Facilitating the definition of general training requirements and the
development of national-level training standards and course curricula
associated with the NIMS.

o Facilitating the development of national standards, guidelines, and
protocols for incident management training and exercises.

•	Another example of standardized exercise policies comes from the Department
of Homeland Security. The Homeland Security Exercise and Evaluation
Program (HSEEP) provides standardized exercise policies and makes funding
available for backfill and overtime.

Water Sector NIMS Training

15


-------
NIMS

September 2007

Emergency Response Tabletop Exercises for
Drinking Water and Wastewater Systems

• EPA has a CD product entitled Emergency Response
Tabletop Exercises for Drinking Water and
Wastewater Systems (EPA 817-C-05-001)

• The CD can be viewed on-line at:

http://cfpub.epa.gov/safewater/watersecurity/trainingcd.cfm

•	This is an example of exercises applicable to water/wastewater utilities.

•	These 12 tabletop exercises were developed to help train utility workers in applying
their emergency response plans. These exercises are based on the following five
potential event types:

o	Intentional contamination.

o	Security breach.

o	Cyber security.

o	Physical attack.

o	Interdependency.

Water Sector NIMS Training

16


-------
NIMS

September 2007



Under NIMS, preparedness is partially based on voluntary national standards for
qualification and certification of emergency response personnel. Managed by
the NIMS Integration Center (NIC), standards will help ensure that the
participating agencies' and organizations' field personnel possess the minimum
knowledge, skills, and experience necessary to perform activities safely and
effectively.

Personnel who are certified to support interstate incidents will be required to
meet national qualification and certification standards.

Please note that "credentialing" is not the same as "certification." The NIC will
work with existing state, territorial or discipline-specific credentialing bodies
toward national recognition for multi-jurisdictional response under mutual aid
agreements. States will be required, as part of their FY 07 NIMS compliance
activities, to support, adopt, and carry out the actual credentialing.

Water Sector NIMS Training

17


-------
NIMS

September 2007

Personnel Qualifications & Certification (cont.)

•	For access to a site (especially outside your
jurisdiction) be prepared to show:

¦	Proof of Identity (2 forms
of photo ID)

¦	Qualifications

¦	Deployment authorization

*	Once this information has been
verified/ approved, a credentials
badge may be issued to you by
the authorized authority for access
to the site/incident.

•	NIMS Credentialing is the administrative process for validating the qualifications of
personnel and assessing their background for authorization and permitting/granting
access to an incident involving interstate mutual aid and assistance.

•	An example of NIMS Credentialing:

o At least one of the photo identification cards needs to be issued by a governmental
authority.

o Proof of qualifications / certifications be issued by the proper authority as
authorized by the State.

o Verification of deployment authorization may include a letter of invitation,
deployment orders, or EMAC verification.

o The deployment authorization will show an individual is not self-dispatching.

Water Sector NIMS Training

18


-------
NIMS

September 2007

•	To support the credentialing initiative, the NIMS Public Works Working Group
is currently identifying job titles that should be credentialed as well as the
minimum qualification/certification, training, education, licensing & physical
fitness requirements for each position.

•	Participate/Comment by calling the NIC at 202-646-3850, or e-mail: NIMS-
Integration-Center@dhs.gov, or web: www.fema.gov/ememencv/nims

•	NOTE: Credentialing does not always include the issuance of badges and
identification materials for access to an incident site. ID badges are mandated
for federal personnel by HSPD 12; however, the implementation of this
directive has just begun.

Water Sector NIMS Training

19


-------
NIMS

September 2007

Equipment Certifications	

•	Acquisition of equipment that meets
standards, guidelines, and protocols.

•	Interoperability (e.g. fire hydrants and radios)

•	In addition to personnel certifications, equipment will also be certified under
NIMS.

•	Incident managers and emergency responders rely on various types of
equipment to perform mission-essential tasks. A critical component of
operational preparedness is that equipment performs to certain standards,
including the capability to be interoperable with equipment used by other
jurisdictions.

•	To facilitate national equipment certification, the NIMS Integration Center will:

o Facilitate the development and or publication of national equipment
standards, guidelines, and protocols.

o Review and approve lists of emergency responder equipment that meet
national requirements.

•	A lingering problem at many large incidents (e.g., 9/11 and Katrina) is the
incompatibility of radio equipment between first responders.

•	Look towards standard organizations: NIST, NFPA, AWWA

Water Sector NIMS Training

20


-------
NIMS

September 2007

2. Communications & Information Management

Concepts and Principles:

•	Common operating picture

•	Interoperability

*	Reliability, Scalability, and

Portability

*	Resiliency and Redundancy

S®



BB ===== -

•	Communications and information management are critical to ensuring that a
common operating picture is accessible to all jurisdictions and agencies to
maintain consistency among all who respond to or manage an incident response.
It follows that common communications and data standards are fundamental to
effective communications from both within and outside of the incident response
structure. Examples are Situation reports (SITREPS) and Pollution reports
(POLREPS).

•	At the national level, handheld radio standards will greatly aid interoperability
in the future. SAFECOM is a communications program within the Office for
Interoperability and Compatibility (OIC) of DHS that provides research,
development, testing and evaluation, guidance, tools, and templates on
communications-related issues to local, tribal, state, and federal emergency
response agencies working to improve emergency response through more
effective and efficient interoperable wireless communications.

•	Locally, utilities may wish to consider checking with their neighboring utilities
to ensure that handheld radios they are purchasing will be compatible with their
neighbors. This will greatly aid communications in a mutual aid and assistance
situation.

Water Sector NIMS Training

21


-------
NIMS

September 2007

Communications Management

Standardized communication types:

•	Strategic

•	Tactical

•	Emergency Management

•	Support

•	Public Address

Standardized communication types include following:

o Strategic Communications: high-level directions from the Incident Commander,
including resource priority decisions.

o Tac-tical Communications: from the Incident Commander to the ICS branches, and
to and among operating resources.

o Emergency Management Communications: multiagency coordination among
EOCs at the same level of government, or between different levels of government.

o Support Communications: offsite coordination (e.g., among hospitals,
dispatching).

o Public Address Communications: emergency alerts and warnings, press
conferences.

Information flow between all stakeholders is essential to effective emergency
management, but is dependent on interoperability of information systems
(Standardization), and inclusion of relevant stakeholders in planning, procedures and
protocols (Policy and Planning). Technology & equipment standards should be shared
with stakeholders and connected through common interfaces if possible (Equipment
Standards), and critical communication systems and platforms should be specified in
agreements with relevant parties (Agreements).

Water Sector NIMS Training

22


-------
NIMS

September 2007

Communication Standards and Formats

•	Radio Usage Procedures

•	Common Terminology, Plain Language,
Compatibility

•	Encryption or Tactical Language

•	Joint Information System (JIS) and Joint
Information Center (JIC)

•	Information Security

•	Internet/Web procedures

p





MIBk

Radio traffic should be restricted to messages necessary for an effective emergency
response. The receiving center should acknowledge receipt of the emergency
information, and disseminate the information as appropriate.

Plain language avoids confusion, and ensures it is understood by all relevant parties.
Encryption of some messages may be required for security reasons. In that case, use of
specialized encryption or tactical language should be part of a comprehensive IAP or
incident management communications plan.

Individuals granted access to, and contributing to incident information, should be
properly authenticated and certified for security purposes.

The JIS integrates incident information and public affairs to provide consistent and
timely information, and the JIC provides a structure for developing and/or delivering
coordinated messages.

Water Sector NIMS Training

23


-------
NIMS

September 2007

Information Management

Incident Information

¦	Incident Notifications and Situation Report

¦	Status Reporting

¦	Analytical Data

¦	Geospatial Data

National Situation
jfe fema	Report

•	Updated Incident information is key to:

o The Incident Commander's decision process,
o Developing the Incident Action Plan,
o EOCs for critical resource (re)allocation.
o Identifying potential safety issues, etc.

•	Efficient and understandable status reports provide emergency response providers with
easy access to critical information.

•	Analytical data may include information on public health or environmental monitoring.

•	Geospatial information for the incident includes geographic location, characteristics of
natural and constructed features and boundaries, that may be included in situation
reports. Use of geospatial data must be tied to consistent standards.

Water Sector NIMS Training

24


-------
NIMS

September 2007

3. Resource Management

Concepts and Principles

•	Advance planning

•	Resource identification and ordering

•	Resource categorization

•	Use of agreements

•	These key principles underlie effective resource management:

o Advance planning: Preparedness organizations need to work together before an
incident to develop plans for managing and using resources.

o Resource identification and ordering: Using standard processes and methods to
identify, order, mobilize, dispatch, and track resources.

o Resource categorization: Categorizing by size, capacity, capability, skill, or other
characteristics to make resource ordering and dispatch more efficient.

o Use of agreements: Developing pre-incident mutual aid agreements (for example,
Water/Wastewater Agency Response Network - WARN agreements) for
providing or requesting resources.

•	For the water sector, AWWA is beginning to type water sector resources at the national
level to help ensure that mutual aid and assistance flows smoothly in a crisis. This effort
should be completed by the end of 2007. At the local level, all utilities should inventory
their resources so that they know what they have on hand at all times, and, what
resources may be available to help other utilities in need. To learn about NIMS resource
management, utilities can take FEMA's on-line IS-703 course. Another tool for the
water sector is the Water/Wastewater Agency Response Network (WARN) program.
This program enables utilities within a state to effectively share resources with one
another through a standardized agreement contained in the AWWA white paper,

Utilities Helping Utilities, which can be downloaded at:
http://www.awwa.org/Advocacv/Govtaff/Documents/Utilities Helping Utilities.pdf

Water Sector NIMS Training

25


-------
NIMS

September 2007

Resource Management Planning Model

•	This graphic is from the FEMAIS-703 course entitled "NIMS Resource Management".

•	Identify Risks: Consider thoroughly the related risks and consequences of a specific disaster scenario.
Most disasters spawn a variety of cascading events or related emergencies. For example, an earthquake
may cause building and bridge collapses, hazardous materials spills, utility outages.

•	Identify Resource Needs: For example., following a hurricane, urban search and rescue resources would
likely be needed only for building collapses, but resources associated with traffic control would be
needed to assist with debris removal, security, and damage to bridges and roads.

•	Identify Sources: Variety of sources are available within their agencies or jurisdictions such as, mutual
aid, other levels of government, volunteer organizations, commercial sources, and donations (e.g.,
WARN).

•	Confirm Procedures: Ask questions...

o How can that resource be obtained in the middle of the night, on a weekend, etc.?
o Will the jurisdiction have to pay for this resource?

o Has purchasing authority been delegated to the appropriate personnel to meet emergency needs?
o What emergency declarations or legal frameworks must be activated or invoked?

•	Request Legal Review: For example, ordinances to prevent price gouging necessary? Have purchasing
authorities changed? Liability Measures?

•	Develop Catalog: For example, "Yellow Pages." The type of resource, its owner, location, procedures
for obtaining the resource.

Water Sector NIMS Training

26


-------
NIMS

September 2007

Resource Management Tasks

•	Identify, type, and inventory resources

•	Verify personnel qualifications & credentialing

•	Identify resource requirements (Who or what, when,
where and how?)				 ¦¦ ..

•	Order I acquire	I *

•	Mobilize I dispatch

•	Track and report

•	Demobilize I recover

•	Initiate reimbursement
process for mobilized

resources

Resource availability and requirements will constantly change as the incident
evolves, and coordination is required among responders.

The process of ordering resources generally starts locally, and is gradually
forwarded to adjacent localities, counties, before reaching the State. It is best to
avoid bypassing the established systems, as that may lead to inefficient
mobilization of resources or redundancy.

There are established channels for mobilization, including notification, check-in
and tracking. All resources must be checked in upon arrival. Resources
managers should plan for demobilization at the same time the plan the resource
mobilization process. Early planning facilitates accountability and improves
efficiency.

Son expendable resources will be recovered by the issuing organization, and
can be re-mobilized for a later event. Expendable resources, however, must be
accounted for so that restocking can occur as appropriate.

Water Sector NIMS Training

27


-------
NIMS

September 2007

Resource Typing

In New York City, NY, ambulances are called buses, and during 9/11, New York City
realized they would need additional resources to evacuate the injured. They asked New
Jersey to send some "buses", but really meant ambulances. New Jersey sent them
school buses instead of ambulances, because they thought that was what they asked for.

This example stresses the importance of resource typing, or cataloging, to avoid
confusion.

As another example, on the west coast a "tanker" is a type of plane that is used to fight
wild fires, and on the east coast a "tanker" is a 3,000-gallon truck used to transport
water.

Water Sector NIMS Training

28


-------
NIMS

September 2007

•	Resource typing involves categorizing resources by capability based on
measurable standards of capability and performance (e.g., 500-kilowatt
generator). The NIC has started to "type" public works resources as can be seen
in the graphic entitled "Typed Resource Definitions, Public Works Resources"
dated May 2005.

•	These typed public works resources are not water sector specific, however. As
mentioned earlier, there is a project underway to "type" water sector resources
at the national level. This effort is being led by the American Water Works
Association (AWWA) working in conjunction with the Department of
Homeland Security's NIMS Integration Center. The water resource typing
project is scheduled to be completed by the end of 2007, and will ensure a
national, consistent standard for water sector resource nomenclature that will
enable mutual aid to function better. It can be very frustrating to receive the
wrong resource and this effort will help to minimize this problem at larger
incidents requiring resources from around the country.

•	Students may also wish to investigate the FEMA Independent Study Course
entitled "IS-703 NIMS Resource Management" to learn more about resource
management under NIMS.

Water Sector NIMS Training

29


-------
NIMS

September 2007

Mutual Aid and Assistance Agreements

*	Provide the means for one utility to provide
resources or other support to another utility
during an incident

*	The overall goal is to ensure timely assistance
during incidents

*	Examples include:

-	FlaWARN

-	CalWARN

Water/Wastewater Agency Response Network

A Water and Wastewater Agency Response Network (WARN) is a network of utilities
helping other utilities to respond to and recover from emergencies. The purpose of a
WARN is to provide a method whereby water/wastewater utilities that have sustained or
anticipate damages from natural or human-caused incidents can provide and receive
emergency aid and assistance in the form of personnel, equipment, materials, and other
associated services as necessary from other water/wastewater utilities. The mission of a
WARN is to provide expedited access to specialized resources needed to respond to and
recovery from natural and human caused events that disrupt public and private drinking
water and wastewater utilities.

AWWA has published a white paper entitled "Utilities helping Utilities." In the paper
are listed the 10 key steps to form a mutual aid and assistance network, a sample mutual
aid and assistance agreement that is NIMS compliant, and a comparative assessment of
existing WARNs. The paper can be downloaded at no charge from AWWA's website at
the following location:

http://www.awwa.org/Advocacv/Govtaff/Documents/Utilities Helping Utilities.pdf

We will be covering mutual aid and assistance later in more detail, as NIMS is the key
to making mutual aid and assistance work.

Water Sector NIMS Training

30


-------
NIMS

September 2007

Emergency Timeline & Mutual Aid

WARN does not require a declaration and includes both
public and private resources.

Emergency
Occurs

WARN Activation

Interstate
Mutual Aid/Ast.

nitial Emergency

Emergency
Response
Agreement



Statewide
Mutual Aid/Ast.







i

I 11







B









Declared
Emergency

Governor
Declaration

•	WARNS can greatly speed the arrival of resources at a utility in need. During a major
disaster, local utilities and local EOCs may not be available or able to help, and a
utility's request for resources may take some time to be fulfilled as it moves from the
local level, to the state level, and potentially up to the federal level. Having a signed
mutual aid and assistance agreement (such as a WARN) in place ahead of time greatly
accelerates the arrival of aid (e.g., it may just be one phone call away) and avoids many
bureaucratic hurdles.

•	Timely access to resources is particularly important for water utilities, as they may need
to restore water for other emergency assistance providers (e.g., fire-fighting, hospitals)
to be functional.

Water Sector NIMS Training

31


-------
NIMS

September 2007

Emergency Management Assistance Compact
(EMAC)	

•	Congressionally approved mechanism for
interstate mutual aid.

•	Covers all states.

•	Offers state-to-state assistance during Governor

declared state of emergencies.

•	The EMAC system is a state-to-state program that offers assistance to states during a
declared state emergency. It offers a responsive and straightforward system for states to
send personnel and equipment to help disaster relief efforts in other states. EMAC
helped to deploy water and wastewater resources into Louisiana and Mississippi
following Hurricane Katrina.

•	EMAC relies on the states to develop internal assistance procedures because state
approval of resource allocation is critical to the EMAC process. The EMAC agreement
specifies reimbursement procedures where the sending state assumes the financial costs
of sending the aid, and then is reimbursed by the requesting state after the disaster. The
EMAC legislation also solves the problems of liability and allows for credentials to be
honored across state lines.

•	Currently, the EMAC planning process utilizes an Advisory Group that includes
representatives from law, fire, search and rescue, and public works. Due to the number
of issues public works encompasses, water/wastewater issues are sometimes overlooked;
therefore, the water sector will be represented by A WW A on the EMAC Advisory
Group. This should help to ensure a smooth flow of water sector mutual aid resources
across state lines at future incidents. See http://www.emacweb.org/ for more information
regarding EMAC.

Water Sector NIMS Training

32


-------
NIMS

September 2007

Mutual Aid & Assistance Agreements

Benefits:

•	Increased planning & coordination for disaster
response.

•	Reduced administrative conflict in times of
response & recovery.

•	Standardized procedures for the response.

•	Enhanced access to specialized resources.

•	Improvements in the speed and effectiveness of
response (no waiting for federal aid).

• Again, mutual aid and assistance agreements, such as the WARN or EMAC can
greatly assist utilities in getting the resources they need. Looking outward to
other utilities covers steps 3-5 of the NIMS Resource Management Planning
Model (these steps are identifying potential sources, confirming procedures, and
sometimes also receiving legal review).

Water Sector NIMS Training

33


-------
NIMS

September 2007

What Should My Agreement Contain? (1 of 2)

•	Definitions of key terms used in the Agreement.

•	Roles and responsibilities of individual parties.

•	Procedures for requesting and providing
assistance.

•	Procedures for payment,
reimbursement & costs.

•	Notification procedures.

•	Protocols for interoperable
communications.

•	A WW A has provided a sample mutual aid agreement for water and wastewater utilities
that is based on existing water and wastewater utility mutual aid and assistance
agreements implemented in California, Florida, and Texas.

•	This slide includes the list of NIMS requirements for Mutual Aid and Assistance
Agreements.

•	Components to a mutual aid and assistance agreement should include:

o Definitions: Only the definition for emergency is noteworthy. The request for aid
does NOT require a declaration of an emergency by the local or state agencies,
and the aid may be provided during the emergency response or recovery phases.

o Administration: Administering the program through regional or "local"

committees that could promote coordination and help resolve program issues.

o Procedures: Operational and planning procedures for the Mutual Aid and
Assistance Program.

o Request for Assistance: Includes member responsibilities and organizational
requirements, procedures for requesting aid, and procedures for members
responding to a request for assistance.

o Responding Member Personnel: Promotes "home" supervisory control over
personnel. This approach recognizes that personnel will likely work better with
their regular supervisors. In addition, requires the requesting member to supply
food and shelter to responding member personnel. Includes a provision that
allows the responding member to withdraw some or all of its resources at any
time.

o Cost Reimbursement: specific reimbursement procedures for personnel, materials
& supplies, & equipment. Also spells-out payment procedures.

o (Continued on next slide)

Water Sector NIMS Training

34


-------
NIMS

September 2007

What Should My Agreement Contain? (2 of 2)

•	Relationships with other agreements.

•	Workers Compensation.

•	Treatment of Liability and Immunity.
. Recognition of	r ....		—

Qualifications &
Certifications.
Sharing Agreements.



A wastewater treatment facility in St. Bernard
Parish, Louisiana. Photo by Louisiana DEQ

(continued from previous slide)

• Additional components to a mutual aid and assistance agreement should include:

o Disputes: How to settle disputes (i.e., he took our generator and did not return it!).
Model calls for arbitration.

o Indemnification: A promise, usually as a contract provision, protecting one party
from financial loss. Responder is asked to be covered for loss, damage, injury,
and liability.

o Workers Compensation Claims: Responsibility of the responding member to
provide worker's compensation benefits.

o Notice: Preserves the right of a Member to defend itself in any claim or suit that
affects its interests

o Insurance: Members must maintain an insurance policy covering the activities that
it may undertake via a Mutual Aid and Assistance Program.

Water Sector NIMS Training

35


-------
NIMS

September 2007

All Emergencies Are Local - Field

E.g., Water Main Break in Dubuque
IA. Photo by City of Dubuque DPW

Water ,
Emergency
Occurs

Local
level

Water Utility

•	This slide shows the immediate steps a utility would take when an emergency occurs.
This is also the first step in the mutual aid activation process - realizing that you will
need outside assistance and resources to effectively manage the incident.

•	After the emergency occurs, the water utility:

o	Assesses the impact of the emergency

o	Determines if resources are sufficient to respond

o	Deploys available resources

o	Identifies need for mutual aid/assistance

Water Sector NIMS Training

36


-------
NIMS

September 2007

Call For Mutual Aid/Assistance

•	The emergency may have escalated, or resulted in additional cascading events, and the water utility may not
have all the resources on-hand.

•	How will the utility get that outside assistance and resources?

o Mutual Response Agreement (formal, or handshake): There may be agreements between one or more
utilities that will allow for an immediate response

o Statewide Mutual Aid/Assistance Agreement: This type of assistance is usually managed by state
emergency management agency, restricted to public agencies, and typically requires a declaration of
emergency.

o WARN: This agreement / assistance is managed by utilities for utilities, where both public and private
utilities are involved, and it can be used prior to any emergency declaration

•	When using WARN or a State Mutual Aid/Assistance Program:

o The Local Utility will communicate with county emergency management, and provide information on
emergency impact and resource needs.

o A County Utility Representative/Coordinator (could be a WARN representative) will receive

information, identify the ability to assist, identify resources that could be available from utilities within
the county, and provide information of utility needs to the state.

o The State Utility Representative/Coordinator: (could be a WARN representative) will receive

information of utility needs within the impacted county, determine the resources available through the
WARN program, and coordinate the deployment to the area of need.

Water Sector NIMS Training

37


-------
NIMS

Interstate Mutual Aid

State Mutual Aid

-	For public agencies

-	Not in all states

-	May need declaration

WARN
(Water/ Wastewater
Agency Response
Network)

ederal

State Region
County

State Office of
Emergency Services
(OES) or Management
(OEM)

Local

National Response Plan

EMAC

September 2007

•	For interstate aid, it is important to coordinate with State emergency management
agencies (EMAs), and to design mutual aid agreements to be consistent with EMAC
agreements.

•	Emergency Management Assistance Compact procedures:

o Contact for the assistance is through the State

o Only federally endorsed interstate assistance program

o Managed by the National Emergency Management Agency

o Coordinated by designated representatives in each of the 50 State Offices of
Emergency Management

o Access to mutual aid/as si stance resources with any state

•	National Response Plan:

o Emergency Support Function 3 - Public Works & Engineering
o US Army Corp of Engineers lead; US EPA support

Water Sector NIMS Training

38


-------
NIMS

September 2007

• All the materials needed to complete this activity are contained in the following two
slides. Be sure to have enough hard copies of these slides on hand to distribute to the
students. The point of the activity is to let the students realize that mutual aid and
assistance agreements are fast, efficient ways to obtain needed resources from
neighboring utilities when a catastrophic disaster strikes.

Water Sector NIMS Training

39


-------
NIMS

September 2007

Water Sector NIMS Training

40


-------
NIMS

September 2007



Resource Analysis Worksheet: Personnel, Equipment, Supplies

Resource Requirements based on HazardA/ulnerabillty/Consequence Analysis

ype



'opulation Affected



ikely Areas of Occurence



Personnel and Services

Quantity"

On-hand?

EquipmenUSupplles

On-hand?

'ositxwVSetvfce
>e«crljtt>©n

Rote. Function. Service

1st
stun

2nd
Shin

Y«

No (Source.)

Item Descriptor!

Type, Function

Quantity*

Yes

no (Source)





























































































































































































































Quantity may vary signitcarntly. especially during a catastrophic incident such as Hurricane Kalrma

Water Sector NIMS Training

41


-------
NIMS

September 2007

4. COMMAND and MANAGEMENT

•	Use the Incident Command System - a proven
on-scene, all-hazard management concept
based on best practices.

•	Interdisciplinary and
organizationally flexible

•	Appropriate for all
types of incidents

•	Multiagency Coordination
Systems (MACS)

•	Public Information Systems

•	Analysis of past responses indicates that the most common cause of response
failure is poor management.

•	Confusion about who's in charge of what and when, together with unclear lines
of authority, have been the greatest contributors to poor response.

•	The Incident Command System (ICS) is the first of three standard structures
included under the command and management component of NIMS. The other
two are Multiagency Coordination Systems and Public Information Systems.

•	ICS allows users to adopt an integrated organizational structure that is
"customized" to best match the needs of single or multiple incidents.

•	NIMS requires that all domestic incidents, regardless of size or complexity, be
managed by ICS.

•	For many jurisdictions, adopting ICS was their first step towards NIMS
compliance.

•	ICS is not new and has been in use for over 30 years.

*NOTE: If you are facilitating this course immediately following the Water Sector
ICS course, explain to the students that ICS is a major element of the Command
and Management component of NIMS. Therefore, some of these slides will be
familiar to them and serve as a review. Also inform the students that they will
learn more about ICS, such as what are Unified Command and Area Command.

Water Sector NIMS Training

42


-------
NIMS

September 2007

Reliance on an Incident Action Plan

¦	ICS is managed by objectives.

¦	Objectives are communicated throughout the
entire ICS organization through the incident
planning process.

Example: Inspect all
fire hydrants on Main
Street by 1800 hours.

Management by objectives includes:

•	Establishing overarching objectives (usually done at the community level, such as
through an Emergency Operations Plan maintained at the local Emergency Operations
Center). An example is to evacuate low-lying areas of a community during a flood.

•	Developing and issuing assignments, plans, procedures, and protocols (usually done as a
part of preparedness planning in advance of an incident). An example is to identify
evacuation routes from low-lying areas.

•	Establishing specific, measurable objectives for various incident management functional
activities (established by the Incident Commander at the start of the incident and each
successive operational period). An example would be to evacuate a nursing home in a
low-lying area by a specified date and time.

•	Directing efforts to attain them, in support of defined strategies (strategies are usually
developed by the Operations and Planning Sections, and the strategies are used to
accomplish the Incident Commander's objectives). An example would be to have
rescue units and ambulances evacuate the nursing home.

•	Documenting results to measure performance and facilitate corrective action. An
example would be a status report at the specified date and time to measure progress of
the nursing home evacuation. Is the evacuation complete? If not, how many residents
remain? What can be done to speed the evacuation process?

Water Sector NIMS Training

43


-------
NIMS

September 2007

ICS Expansion and Contraction

Although there are no hard-and-fast rules,
remember that:

¦	Only functions/positions that are
necessary are filled.

¦	Each activated element must have
a person in charge.

¦	An effective span of control	MM
must be maintained.

A

Span of control is what drives the expansion or contraction of the ICS organization.

Span of control refers to how many people any individual can successfully manage.
Three to seven individuals is the ideal range and FEMA recommends a ration of 1:5.

For example, a Type 1 incident will have a large ICS structure or organizational chart
with many activated organizational components and associated supervisors, while a
Type 5 incident may only require an Incident Commander with one or two individuals
assisting.

Water Sector NIMS Training

44


-------
NIMS

September 2007

Agency 1
Incident
Commander

Agency 3
Incident

Unified Command

Enables all responsible
agencies to manage an
incident together by
establishing a common set
of incident objectives and
strategies.

Allows Incident Commanders
to make joint decisions by
establishing a single
command structure.

Maintains unity of command.
Each employee only reports
to one supervisor.

Agency 2
Incident

•	Unified Command is an application of ICS used when:

o There is more than one responding agency with incident jurisdiction.

o Incidents cross political jurisdictions.

•	For example, a Unified Command may be used for:

o A traffic accident resulting in a hazardous materials spill that contaminates a
nearby reservoir. In this incident, the fire department, the water utility, and the
local police may each participate in a Unified Command.

o A flood that devastates multiple communities. In this incident, incident

management personnel from key response agencies from each community may
participate in a Unified Command.

•	The Unified Command organization consists of the Incident Commanders from the
various jurisdictions or agencies operating together to form a single command structure.

•	Remind the participants that Unified Command:

o Enables all responsible agencies to manage an incident together by establishing a
common set of incident objectives and strategies.

o Allows Incident Commanders to make joint decisions by establishing a single
command structure.

o Allows agencies and jurisdictions to retain their organizational independence.

Water Sector NIMS Training

45


-------
NIMS

September 2007

Applying Unified Command

Unified Command is:

¦	A collaborative
team-effort process.

¦	Not a new process.

For years, the U.S. military has used a similar concept
to integrate military services in joint operations.

•	Under a Unified Command, agencies work together through the designated members of
the Unified Command to:

o Analyze intelligence information.

o Establish a common set of objectives and strategies for a single Incident Action
Plan.

•	Unified Command does not change any of the other features of ICS. It merely all ows all
agencies with responsibility for the incident to participate in the decision-making
process.

•	Therefore, Unified Command is a collaborative team-effort process that is accomplished
without losing or abdicating agency authority, responsibility, or accountability.

•	The Incident Commanders within the Unified Command make joint decisions and speak
with one voice.

•	If there is a disagreement, it is worked out among the Incident Commanders within the
Unified Command.

•	The exact composition of the Unified Command structure will depend on the location(s)
of the incident (i.e., which geographical administrative jurisdictions are involved) and
the type of incident (i.e., which functional agencies of the involved jurisdiction(s) are
required).

•	The U.S. military has used a similar concept for integrating military services in joint
operations for years.

Water Sector NIMS Training

46


-------
NIMS

September 2007

Unified Command: Multiple Jurisdictions

Incidents That Impact More Than One Political Jurisdiction

Example: A hurricane touches down in one jurisdiction and
continues into another, flooding water supplies and damaging
distribution systems in both areas. Responding utilities from
each jurisdiction have the same mission (providing clean
drinking water and water for fire suppression), and it is the
political and/or geographical boundaries that mandate multi-
agency cooperation and involvement.

•	In this example, the Incident Commanders from each utility may wish to form a Unified
Command to better manage the full extent of this incident at their facilities.

•	This would be particularly true if the water systems are in series.

•	Mutual Aid and Assistance Agreements between utilities in different political
jurisdictions would also be extremely helpful in a situation such as this.

Water Sector NIMS Training

47


-------
NIMS

September 2007

Multi-iurisdictional Incident

Sample Organizational Chart

Jurisdiction A
Incident Commander

Unified Command

Jurisdiction B
JncidenJ Commandej; _

Unified Objectives

Jurisdiction C
Incident Commander

Command Staff

Planning
Section

Operations
Section

Logistics
Section

Finance/
Administration
Section

•	This visual presents an example of a Unified Command organization chart for a
multi-jurisdictional incident based on the preceding example.

•	The chart includes the following elements:

o Unified Command: The Unified Command is composed of the Incident
Commanders from the three jurisdictions. The Unified Command
establishes a single set of unified objectives.

o Integrated Command and General Staff: The organization has
integrated (meaning comprised of individuals from all three
jurisdictions) Command Staff and Planning, Operations, Logistics, and
Finance/Administration Sections.

•	One way to help integrate the Command and General Staff is to provide
Deputies and Assistants from other jurisdictions. For example, if the Operations
Section Chief is from Jurisdiction A, his or her Deputy could be from either
Jurisdiction B or C.

Water Sector NIMS Training

48


-------
NIMS

September 2007

Unified Command: Multiple Agencies/Single Jurisdiction

Incidents Involving Multiple Agencies/Departments Within the
Same Political Jurisdiction

Example: During an

intentional water
contamination event, the
water department has
responsibility for determining
the location and repairing the
system, public health
agencies have responsibility
for ensuring public safety,
and local and federal law
enforcement have the
responsibility for leading the
criminal investigation.

•	The map is from an actual intentional water contamination event that occurred in
Pittsburgh in the 1980s.

•	In this incident, pesticide was injected into the distribution system.

•	This crime was never solved, but it is believed that a disgruntled insider was
responsible.

•	Another example is a hazardous materials incident within a single jurisdiction, in which
the fire department has responsibility for fire suppression and rescue, the police
department has responsibility for evacuation and area security, and the public health
agencies and others have responsibility for site cleanup.

Water Sector NIMS Training

49


-------
NIMS

September 2007

Multi-agency/Single Jurisdiction Incident

Sample Organizational Chart

Unified Command

Public Health	Water Department

Incident Commander Incident Commander

Unified Objectives

Law Enforcement
Incident Commander

Command Staff

Planning
Section

Operations
Section

Logistics
Section

Finance/
I Administration
Section

•	This visual presents an example of a Unified Command organization chart for a
Multi-agency/Single Jurisdiction incident based on the preceding example. The
Pittsburgh contamination incident shown on the previous slide would have been
well suited for a Unified Command structure such as this.

•	The chart includes the following elements:

o Unified Command: The Unified Command is composed of the Incident
Commanders from the three departments of the single jurisdiction
(public health, water department, and law enforcement). The Unified
Command establishes a single set of unified objectives.

o Integrated Command and General Staff: The organization has
integrated (personnel from all the involved agencies) Command Staff
and Planning, Operations, Logistics, and Finance/Administration
Sections.

Water Sector NIMS Training

50


-------
NIMS

September 2007

Unified Command: Multi-agency/Multi-jurisdiction

Incidents That Impact (or Involve) Several Political and
Functional Agencies

Example: Severe weather, earthquakes, National
Special Security Events, and terrorist threats involve
large numbers of local, State, and Federal agencies.

These incidents of national significance cross
political boundaries and involve multiple functional
authorities.	—,—I—I—

	F

•	Hurricane Katrina is a good example of an incident that would be managed using this
type of Unified Command.

•	In certain circumstances the initial Incident Commander will be the water treatment
facility operator/manager until preliminary damage assessment impacts determine a
more appropriate Incident Commander(s).

•	Even then, the water treatment facility operator/manager may be a deputy Incident
Commander, member of the Unified Command team, or serve as a Technical Specialist
because of his/her knowledge of and experience with the facility.

Water Sector NIMS Training

51


-------
NIMS

September 2007

Incident Commander Responsibilities

Each designated agency Incident Commander
functioning in a Unified Command must:

¦	Act within his/her jurisdictional or agency
limitations.

¦	Inform the other Commanders of any legal, political,
jurisdictional, or safety restrictions.

¦	Be authorized to perform certain activities and
actions on behalf of the jurisdiction or agency
he/she represents.

¦	Manage the incident to the best of his/her abilities.

•	These are some of the responsibilities of each incident commander within a Unified
Command.

•	It is essential that the Incident Commander can commit his or her agency's
resources/funds without having to check with someone back at the agency.

Water Sector NIMS Training

52


-------
NIMS

September 2007

Advantages of Unified Command

¦	One set of incident objectives

- Collective approach to strategies

¦	Improved information flow

¦	Mutual understanding of priorities and
restrictions

¦	Agency authority not compromised

¦	Awareness of others' tactics

¦	Combined efforts are optimized

¦	Duplicate efforts/resources reduced or eliminated

•	Unified Command works well when the people comprising the Unified Command work
well together.

•	Some ways to help ensure that people will work well together are to:

o Plan together,
o Train together,
o Conduct exercises together.

Water Sector NIMS Training

53


-------
NIMS

September 2007

Area Command

Planning

Logistics

Finance/Admin

•	An Area Command is an organization established to:

o Oversee the management of multiple incidents that are each being
managed by an ICS organization.

o Oversee the management of large incidents that cross jurisdictional
boundaries.

•	Area Commands are particularly relevant to public health emergencies because
these incidents are typically:

o Non-site specific.

o Not immediately identifiable

o Geographically dispersed and evolve over time.

•	These types of incidents call for a coordinated response, with large-scale
coordination typically found at a higher jurisdictional level.

•	Ask the participants: Do you notice anything different about this organizational
chart, when compared with Incident Command and Unified Command
structures?

o The Area Command has no operations section, because operations are
conducted on-scene.

•	The role of Area Command is primarily one of coordination and prioritization of
resources between the various Incident Command Posts.

•	Another example of when Area Command could be utilized, as demonstrated on
the slide could be: simultaneous explosions that have occurred in Boston, New
York and Washington, D.C.

•	In this example, an ICS organization would be established in each city to deal
with on-scene management, and an Area Command has been formed to set
overall priorities and strategies for handling the multiple incidents and for
ensuring an equitable distribution of resources between the three incidents.

Water Sector NIMS Training

54


-------
NIMS

September 2007

What Does Area Command Do?

•	Coordinates resource
management

•	Sets overall strategy and
priorities

•	Allocates resources
® Ensures objectives

are met

•	Ensures strategies are
followed

•	An Area Command may become a Unified Area Command when incidents are
multi-jurisdictional or involve multiple agencies.

•	Allocation of resources is an important responsibility of the Area Command as
competition for resources would be intense in either multiple or geographically
dispersed incidents.

Water Sector NIMS Training

55


-------
NIMS

September 2007

Multi-Aqencv Coordination Challenqes

Coordination challenges between different
agencies responding to an incident may include:

•	Different policies and procedures

•	Unfamiliarity with other agencies	n

•	Complex incidents

•	Lack of resource information	£

•	Intense media and public scrutiny I ^ "|I

•	Lack of interagency coordination | j? 11

Need for a Multi-Agency Coordination System

The information on this slide was taken from ICS 400: Advanced ICS.

Some of these issues have been solved, while other challenges remain.

Some of the continuing challenges include:
o Increasing incident complexity,
o Complex and confusing legal authorities,
o Increasing litigation,
o Increasing response costs,
o Life, health, safety issues,
o Deteriorating public view of government.

Water Sector NIMS Training

56


-------
NIMS

September 2007

Multi-Agency Coordination Systems (MACS

A Multi-Agency Coordination System is a
combination of:

¦	Procedures	\

¦	Communications HI W 	

integrated into a common system with
responsibility for coordinating and supporting
domestic incident management activities.

•	The second standard structure under the command and management component of
NIMS are Multi-Agency Coordination Systems (MACS).

•	Multi-agency coordination is a process that allows all levels of government and all
disciplines to work together more efficiently and effectively.

•	Multi-agency coordination occurs across:

o Different disciplines involved in incident management,
o Jurisdictional lines,
o Levels of government.

•	MACS are one of the key elements within the process.

Water Sector NIMS Training

57


-------
NIMS

September 2007

Coordination, not Command

A Multi-Agency Coordination System will:

•	Support incident management

*	Make resource allocation
decisions based on
incident priorities

*	Support logistics and
resource tracking

•	Coordinate interagency and intergovernmental
issues

But it does NOT have direct tactical and operational
incident management responsibility.

•	Remember, MACS play a supportive and coordinating role during an incident;
however, they do not play a role in on-scene management.

•	Direct tacti cal and operati onal responsibility for the conduct of incident
management activities rests with the Incident Commander.

•	To learn more about this topic, students should take IS-701, Multiagency
Coordination System (MACS), a course which is administered by FEMA.

Water Sector NIMS Training

58


-------
NIMS

September 2007

Multiagency Coordination System Elements

A MACS is a system, not just a facility.
Example multi-agency coordination elements

¦	An Emergency Operations Center (EOC)

¦	A state Emergency Management Agency
(EMA).

•	MACS include Emergency Operations Centers (EOCs) and, in certain
multijurisdictional or complex incidents, Multiagency Coordination Entities.

•	EOCs are the locations from which the coordination of information and
resources to support incident activities takes place.

•	EOCs are typically established by the emergency management agency at the
local and State levels.

•	Multiagency Coordination Entities typically consist of principals (people) from
organizations with direct incident management responsibilities or with
significant incident management support or resource responsibilities.

•	These entities may be used to facilitate incident management and policy
coordination.

•	If the Incident Commander cannot obtain certain resources locally he or she
must submit a request for them through the Multiagency Coordination Entity at
the EOC.

•	Also, incident command is not typically accomplished by or from the EOC;
rather, Incident Command is accomplished by an Incident Commander located
at the field Incident Command Post, and the EOC supports this Incident
Commander.

•	One key responsibility of MACS is to make resource allocation decisions based
on incident priorities.

•	Other Multiagency Coordination Entities include state emergency management
agencies.

Water Sector NIMS Training

59


-------
NIMS

September 2007

Public Information Systems

• The Public Information Officer (PIO) advises the
Incident Commander

* Establishes and operates within the Joint
Information System (JIS)

• Ensures that decision makers
and the public are informed



=1

_ A .





•	Under ICS, the PIO is a member of the command staff.

•	The PIO advises the Incident Command on all public information matters,
including media and public inquiries, emergency public information and
warnings, rumor monitoring and control, media monitoring, and other functions
required to coordinate, clear, and disseminate accurate and timely information
related to the incident.

•	The PIO establishes and operates within the parameters established for the Joint
Information System, or JIS.

•	The JIS provides an organized, integrated, and coordinated mechanism for
providing information to the public during an emergency.

•	The JIS includes plans, protocols, and structures used to provide information to
the public, and it encompasses all public information related to the incident.

•	Key elements of a JIS include interagency coordination and integration,
developing and delivering coordinated messages, and support for
decisionmakers.

•	The PIO, using the JIS, ensures that decisionmakers and the public are fully
informed throughout a domestic incident response.

•	Public Information Systems is the final standard structure under the Command
and Management component of NIMS, of which a Joint Information System
(JIS) is an element.

Water Sector NIMS Training

60


-------
NIMS

September 2007

The Joint Information Center (JIC)

Physical location where public information staff
collocate.

Provides the place for coordinating and
disseminating critical information in accordance
with the protocols of the Joint Information
System (JIS). —1	

r /		I

^ -

•	A JIC is the physical location where public information staff involved in
incident management activities can collocate to perform critical emergency
information, crisis communications, and public affairs functions.

•	JICs provide the organizational structure for coordinating and disseminating
critical information.

•	Having agency and jurisdiction PIOs gather at a JIC or make use of a "virtual"
web-based JIC ensures that public notifications can be coordinated effectively
across agency and jurisdictional lines.

•	For example, water use notices may vary jurisdiction-by-jurisdiction depending
on the extent of damage in each jurisdiction during an incident such as a
hurricane. By coordinating through the JIC, appropriate notices (boil, conserve,
etc.) can go to each community and PIOs can ensure that notifications include
language to the effect that notices may vary by community, and that the public
needs to ensure that they react to the notice provided for their community only.

•	Based on lessons learned during Hurricane Isabel, PIOs in the Washington, D.C.
capital area established a virtual JIC on the internet to help coordinate consistent
public messages.

Water Sector NIMS Training

61


-------
NIMS

September 2007

JIC Characteristics

•	Includes representatives of all players in the
response (each retains their organizational
independence)

•	Has procedures and protocols for
communicating and coordinating
with other JICs via

the JIS

A single JIC location is preferrable, but the JIS should be flexible enough to
accommodate multiple JICs when the circumstances of the incident require.

In the graphic, which is a pictoral representation of a JIS, information between
state and local JICs is two-way. Local JICs also have two-way communication
with their agency PIOs. Agency PIOs have constant two-way communications
with the PIO for Incident/Unified/Area Command.

When a JIC is established as part of a Unified Command, agencies contributing
to joint public information management clear all information with Unified
Command.

Water Sector NIMS Training

62


-------
NIMS

September 2007

5. ONGOING MGMT, & MAINTENANCE

Ongoing management and maintenance of the NIMS
relies heavily on lessons learned and is provided by:

¦ The NIMS Integration Center (NIC)- now
called the "Incident Management Support
Division"

¦ Supporting technologies through ongoing
strategic and scientific research and
development

The last component of NIMS is Ongoing Management & Maintenance.

The two main elements involved with Ongoing Management & Maintenance
relative to the NIMS are the NIC and other supporting technologies.

The NIC is now known as the "Incident Management Support Division."
However, the previous name is used here as the term, "NIC," is used in the
FEMA IS-700 exam.

Water Sector NIMS Training

63


-------
NIMS

September 2007

•	The NIC has primary responsibility for managing and maintaining the NIMS.

•	In the current draft revised version of NIMS (dated February 1, 2007), the NIC
recommends that state and local governments voluntarily adopt the following
National Fire Protection Association (NFPA) preparedness standards:

o NFPA 1600: Standard on Disaster/Emergency Management and
Business Continuity Programs," 2004 Edition.

o "NFPA 1561: Standard on Emergency Services Incident Management
System," 2005 Edition.

•	Standards such as these are regularly reviewed and updated to maintain
currency.

•	These standards cover many of the NIMS components that local agencies need
to be sure they are maintaining.

Water Sector NIMS Training

64


-------
NIMS

September 2007

SUPPORTING TECHNOLOGIES

Principles:

1.	Interoperability and compatibilities

2.	Technology support

3.	Technology standards	|

4.	Broad-based requirements

5.	Strategic planning and	Si
Research & Development f

' -a

wm.

SB

•	NIMS will leverage science and technology to improve capabilities at a lower
cost.

•	To accomplish this, NIMS will base its supporting technology standards on five
key principles:

o Interoperability and compatibility: Systems must be able to work
together (e.g., radios).

o Technology support: All organizations using NIMS will be able to
enhance all aspects of incident management and emergency response.

o Technology standards: National standards will facilitate
interoperability and compatibility of major systems.

o Broad-based requirements: NIMS provides a mechanism for

aggregating and prioritizing new technologies, procedures, protocols,
and standards.

o Strategic planning and R&D: The NIMS Integration Center will
coordinate with DHS to create a national R&D agenda.

•	The NIMS Integration Center is responsible for:

o Coordinating the establishment of technical and technology standards for
NIMS users.

o Integrating into the national R&D agenda.

Water Sector NIMS Training

65


-------
NIMS

September 2007

NIMS Summary (1 of 5)	

*	Broad applicability

*	Improve coordination and cooperation among all
response organizations

*	Flexible to enable all responding organizations
to work together

*	Standardized to improve overall response and
interoperability

*	Makes mutual aid and assistance work

• Use the next five visuals to summarize and review the NIMS prior to
administering the FEMA IS-700 exam.

Water Sector NIMS Training

66


-------
NIMS

September 2007

•	Preparedness involves the actions required to establish and sustain prescribed
levels of capability for a range of incident management operations. Preparedness
is implemented through a continual cycle of:

o	Planning.

o	Training and equipping.

o	Exercising.

o	Evaluating and taking corrective or mitigating action.

•	NIMS focuses on guidelines, protocols, and standards necessary to facilitate
preparedness.

•	NIMS communications and information systems enable the essential functions
needed to provide a common operating picture and interoperability for:

o Incident management communications.

o Information management.

o Interoperability standards.

•	The NIMS Integration Center will also develop a national database for incident
reports.

Water Sector NIMS Training

67


-------
NIMS

September 2007

NIMS Summary (3 of 5)

3. Resource Management





• Establish systems for:





¦ Describing





¦ Inventorying





¦ Requesting





¦ Tracking





• Activating systems





• Dispatching resources





* Deactivating/recalling resources





(g ^ - A „ ,





• NIMS includes standard procedures, methods, and functions that reflect

functional considerations, geographic factors, and validated practices, including:

o	Identifying and typing resources.

o	Certifying and credentialing personnel.

o	Inventorying resources.

o	Identifying resource requirements.

o	Ordering and acquiring resources.

o	Tracking and reporting resources.

o	Mobilizing resources.

o	Recovering resources.

o	Reimbursement.

Water Sector NIMS Training

68


-------
NIMS

September 2007

NIMS Summary (4 of 5)	

4. Command and Management

*	Incident Command System (ICS)

*	Multi-Agency Coordination Systems

*	Public Information Systems

5. Ongoing Management and Maintenance

*	The NIMS Integration Center (NIC)

¦	Responsibilities

¦	Requires input from you!

•	Supporting Technologies

•	NIMS employs two levels of incident management structures, depending on the
nature of the incident:

o The Incident Command System (ICS) is a standard, on-scene, all-
hazard incident management system. ICS allows users to adopt an
integrated organizational structure to match the needs of single or
multiple incidents.

o Multiagency Coordination Systems (MACS) are a combination of
facilities, equipment, personnel, procedures, and communications
integrated into a common framework for coordinating and supporting
incident management.

•	During emergencies, the public may receive information from a variety of
sources.

•	The mechanism established by NIMS for ensuring that information the public
receives is accurate, coordinated, timely, and easy to understand is through the
use of a Public Information Officer (PIO).

•	The PIO coordinates public information via a Joint Information Center (JIC)
established via the JIS as necessary.

•	Using the JIC as a central location, information can be coordinated and
integrated via the JIS across jurisdictions and agencies and among all
government partners, the private sector, and nongovernmental agencies.

Water Sector NIMS Training

69


-------
NIMS

September 2007

NIMS Summary (5 of 5)	

For more information on NIMS:
www.fema.gov/emerqencv/nims/index.shtm

To contact the NIC:

202-646-3850

nims-inteqration-center@dhs.gov

Additional FEMA online courses:
http://training.fema.gov/NIMS/

• The NIMS is continually being revised and comments are welcome.

Water Sector NIMS Training

70


-------
NIMS

September 2007

• If you will administer the exam to the students, be sure and print/copy enough hard
copies of the exam for everyone in the class. Use the graphic on the next slide to inform
the students as to where on-line they can submit their exam answers.

Water Sector NIMS Training

71


-------
NIMS

September 2007

• This is the webpage address where students will need to go to individually submit there
IS-700 exam answers to FEMA. FEMA usually grades the exam within 24 hours and
let's the student know, via e-mail, whether they have passed or failed (a 75% is needed
to pass). If the student has passed, FEMA will attach that student's PDF certificate to
the e-mail.

Water Sector NIMS Training

72


-------
NIMS

September 2007

Contact for additional information

US EPA:

John Whitler - whitler.iohn@epa.gov
(202) 564-1929

• For more information regarding EPA's Water Sector NIMS course, please contact Mr.
John Whitler of the U.S. EPA.

Water Sector NIMS Training

73


-------