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In this lesson, you will look at EOC operations and the ICS/EOC interface. We will also address functions performed during EOC operations including communications, information management, situational awareness, and resource management.

Resource: The EOP Resource Management Annex for your jurisdiction is needed to complete an activity.

At the completion of this lesson, you should be able to:

Describe how NIMS Command and Coordination structures are interconnected. Identify NIMS communications principles. Describe the types of information managed by the EOC. Explain Situational Awareness (SA). Explain how resource management is provided by the EOC.

NIMS structures enable incident managers to manage incidents in a unified, consistent manner.

Interconnectivity of NIMS structures is important to allow personnel in diverse geographic areas, with differing roles and responsibilities, and operating within various functions of ICS and/or EOCs to integrate their efforts through common organizational structures, terminology, and processes.

When an incident occurs or threatens, local emergency personnel manage response using NIMS principles and ICS. If the incident is or becomes large or complex, local EOCs activate. EOCs receive senior level guidance from MAC Groups. A Joint Information Center (JIC) manages the Joint Information System (JIS) operations to ensure coordinated and accurate public messaging among all levels: ICS, EOC, and MAC Group.

Lesson 5 Overview

Lesson Objectives

Interconnectivity of NIMS Command and Coordination Structures

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If required resources are not available locally, they can be obtained under mutual aid agreements from neighboring jurisdictions, or State, tribal, territorial, and interstate sources and assigned to the control of the Incident Commander or Unified Command.

The most common ICS/EOC interface issues center around roles and delegated authorities, communications, Standard Operating Procedures (SOPs), resource management, personnel training and experience, and shared information. Communication and Information Management concerns were covered in an earlier lesson. This topic will focus on SOPs, resource management, and personnel training.

The National Response Framework (NRF) is a guide to how the Nation responds to all types of disasters and emergencies. The NRF describes specific authorities and best practices for managing incidents that range from local emergencies to large-scale terrorist attacks and catastrophic natural disasters with national-level impacts.

The National Response Framework is always in effect, and elements can be implemented at any time. It is built on scalable, flexible, and adaptable concepts identified in the National Incident Management System (NIMS). The structures, roles, and responsibilities described in the NRF can be partially or fully implemented in the context of a threat or hazard, in anticipation of a significant event, or in response to an incident. Selective implementation of NRF structures and procedures allows for a scaled response, delivery of the specific resources and capabilities, and a level of coordination appropriate to each incident.

Click on NRF access a copy of the National Response Framework

NIMS identifies four principles of communications and information management:

Interoperability Reliability, Scalability and Portability Resilience and Redundancy Security

Each of these requirements will be described on the screens that follow.

EOC Function Review

National Response Framework

NIMS Principles for Communications and Information Management

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Many jurisdictions believe that their communications systems are interoperable, but interoperability problems often emerge in a large-scale emergency or disaster.

Interoperable communications systems enable personnel and organizations to communicate within and across jurisdictions and organizations via voice, data, and video systems in real time. Interoperability plans address governance, standard operating procedures (SOPs), technology, training and exercises, and usage during routine operations and major incidents.

Interoperability Video Transcript

The ability for first responders and those who support them to communicate with each other is a longstanding issue.

Interoperability-the ability for public safety agencies to exchange voice and/or data on demand and in real �me has been pointed to as an issue in emergencies as diverse as hurricanes and floods…earthquakes… and terrorist a�acks.

Lack of redundant, interoperable communica�ons can delay a response make even the most urgent response inefficient and, ul�mately, cost lives.

Why is interoperability such a difficult issue to solve? Recent studies have iden�fied five key reasons for lack of interoperability:

· Aging or incompa�ble communica�ons infrastructure. · Limited funding to update or replace equipment, coupled with different funding priori�es and budget cycles. · Limited and fragmented planning. · The reluctance of agencies to give up control over their communica�ons systems. · Limited and fragmented radio spectrum availability.

The communica�on infrastructure in many jurisdic�ons is an�quated. Old equipment means higher maintenance costs, reduced reliability, and obsolescence for public safety agencies. Many systems in use today are obsolete or will become obsolete as manufacturer support is discon�nued. Some newer digital communica�ons systems lack interoperability with other systems because of proprietary so�ware. Addi�onally, standards for technology and equipment are limited.

There is limited funding to replace and update communica�ons equipment- and different communi�es and levels of government have different funding schedules and budget priori�es. Addi�onally, regula�ons in one jurisdic�on may conflict with those in another, funding is o�en stovepiped to meet individual agency needs, and spending decisions may be based on old strategies that did not consider the need for interoperability.

Planning for interoperability remains limited and fragmented. Without adequate planning, �me and money can be wasted, and end results can be disappoin�ng.

Compe��on among agencies, jurisdic�ons, and different levels of government inhibit the partnership and leadership required to develop interoperability. Interoperability requires a certain amount of shared management, control, and coordina�on of policies and procedures. Agencies are naturally reluctant to give up management and control of their communica�ons system.

Finally, as public safety agencies share radio frequencies with television and radio, government users, and commercial users, the amount of radio spectrum available to public safety agencies has become fragmented. Advancing technology is placing greater requirements on spectrum, making it more scarce and more valuable-at a �me when public safety agencies need addi�onal spectrum to support emerging technologies.

So how can your public safety agencies, your jurisdic�on, and your State improve its communica�ons interoperability? First, determine your current level of interoperability. A�er determining where you are, you can work on what you need, and how to get it. This unit will help you with each of these steps.

Communications and information systems should be reliable and scalable to function in any type of incident. This means they should be suitable for use within a single jurisdiction or agency, a single jurisdiction with multiagency involvement, or multiple jurisdictions with multiagency involvement.

Reliability means that regular use of communications and information systems helps ensure that they are familiar, applicable, and acceptable to users; readily adaptable to new technology; and reliable in any situation.

Interoperability

Reliability, Scalability, and Portability

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Scalability means that systems can be expanded to support any situation—including a major incident or several incidents that involve numerous responders and support personnel from multiple jurisdictions and organizations—and that the number of users on a system can be readily increased. Portable technologies and equipment ensure the effective integration, transport, and deployment of communications systems. Portability includes the standardized assignment of radio channels across jurisdictions, which allows incident personnel to participate in an incident outside their jurisdiction and still use familiar equipment.

Resilience and redundancy in communications help to ensure the uninterrupted flow of information. Resilience is the ability of systems to withstand and continue to perform after damage or loss of infrastructure. Redundancy is achieved through the duplication of services. It enables the continuity of communication when primary communications capabilities suffer damage through diverse alternative methods.

What will you do if your primary communications system fails?

Much of the communications infrastructure in the Gulf Coast region was heavily damaged or destroyed by Hurricane Katrina, making emergency communications difficult or impossible for some period of time.

Having redundant systems in place and ensuring that all agencies involved in a response know what those systems are and how they will be notified to switch to the backup system may be critical to maintaining communications.

The EOC will likely be responsible for implementing backup communications systems and notifying personnel to switch to the backup system.

Some information communicated from, among, and to incident personnel is sensitive. Additionally, EOC and incident personnel may have access to critical assets, such as industrial control systems, that could cause widespread impacts if compromised.

Incident personnel should work with IT and security experts to incorporate data, network, and systems protection best practices into incident communications and data sharing. Intelligence/investigations function staff, for example, may discuss sensitive, personally identifiable, or classified information and must shield this information in accordance with applicable law.

Incident communications and information sharing should comply with data protection and privacy laws.

Before you can manage information, you need to determine:

What information you need What you will do with it How you will protect it How you will preserve it

The types of information managed in the EOC fall into two categories:

1. Emergency operating records include records in various mediums/formats (print, electronic), that are essential to EOC operations and response support.

2. Legal and financial records include records, regardless of media, that are critical to carrying out the legal and financial responsibilities for the response.

Resilience and Redundancy

Security

Information Management: What you need to determine

Types of Information

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Identify the information needed during EOC operations by compiling a detailed list of the records. This list needs to be reviewed and updated routinely, at least on an annual basis.

Other events that should trigger a review include:

Changes in key personnel in the jurisdiction. Personnel changes can necessitate changes to orders of succession, delegations of authority, call-down rosters, and other records. EOC activation. After-action reports document past incidents and can provide information needed to prepare to support future incident response.

How you use information, will determine how you manage it. Look at the information used, how it is used, and by whom it is used to determine whether your current management strategy is the best available.

Information Use Information Management Strategy

Information many people need access to

or

Information that is used at several different locations

Provide easy access, allowing for ease of update and sharing. Version control is critical for this information.

Secure or classified information Secure storage and controlled access are critical considerations for this type of information.

Information transmitted to the public Provide ready accessibility to those with authority to speak to the media. This information must be kept current.

During an incident, key personnel rely on timely, accurate information. An effective operation at the EOC will help to manage and provide access to the essential information needed to make good, timely decisions. Key personnel must have access to:

Identifying and Reviewing Required Information

Meeting Information Needs

Providing Information to Key Personnel

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Email and shared electronics systems or drives access. All information that they would have at the incident scene or at department headquarters such as incident situation reports, objectives, resources committed, communications used, etc... Operational data from departmental or other databases such as resources available. Information needed from other key personnel in the Incident Command, EOC, MAC Group, and Joint Information Center (JIC).

[Pre-Video Text]: This is a recording of Lori Hodges from the State of Colorado from an appearance on “Viewpoints.” In the clip, Lori is talking about the role of an Emergency Operations Center and development of situational awareness.

[Lori:] Yeah, what I've seen most, I work in a lot of local Emergency Operations Centers as it's part of my job. I'm the direct connection to the State so I go to where they are, and what I’ve seen with communities that don't have an Emergency Operations Center is that there is no hub of information, there's no one place where people can get that full picture, again, of the whole community. So, if I have the nongovernmental entities, the private sector, the traditional governmental departments, if they don't have a place to go to share information, you're gonna have a lot of stovepipes going on, you're not gonna have a good one-stop situational awareness. So, what the Emergency Operations Center can do is, number one, they're gonna get a good idea about that incident footprint. What is the Incident Commander doing, what are their objectives, what do they need? Because obviously that's one of the primary focuses of an Emergency Operations Center.

[Lori:] But outside of that, you have that consequence management piece, which is now, we're looking at globally what is going on in the community. How are they reacting? Are we meeting the needs of the community as a whole? And with that, you have multiple partners that aren't in your traditional response. So, in order to get good situational awareness, you need to have those people who can come to a place and say, "here's what's going on in our organization, here's how we're supporting this incident." And then you can feed that information then up to those policy group members so that they have a better idea and can inform the public about what's going on.

Situational Awareness is the ability to identify, process, and comprehend the critical information about an incident.

More simply, it is knowing what is going on around you.

Situational Awareness requires continuous monitoring of relevant sources of information regarding actual incidents and developing hazards.

A common core function of EOCs is gaining, maintaining, and sharing Situational Awareness and developing a Situational Picture (SitPic) that is shared between ICS, EOC, MAC Group, and JIS participants in the incident.

In the early stages of activation the EOC will obtain Situational Awareness. This is important because accurate, timely information will enable more informed, effective decision-making.

Shared information supports a common understanding of the incident. A Shared Situational Picture (SitPic) refers to a continuously updated overview of an incident. The SitPic includes the key information needed for incident planning, tracking, and decision-making. This information is shared so that all personnel from all organizations at all locations have a common set of information about the incident. The Shared Situational Picture is based on Situational Awareness of a number of elements including:

Incident Objectives and progress in meeting objectives Current status (what is happening now) Evolving Situation (what is anticipated to happen) Availability and location of resources

Sharing Situational Awareness - Video Transcript

Review: Situational Awareness

Review: Shared Situational Picture

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Needed resources Policy Guidance and delegations in effect for the incident Public/Media perceptions of the incident

An EOC's responsibility in the development of a Shared Situational Picture usually begins following the initial stages of an incident. The EOC develops a Shared Situational Picture for those who are participating command and coordination for the incident. The EOCs also share Situational Awareness with neighboring jurisdictions and States.

Properly managed information enables effective, consistent, coordinated, and timely decision-making. There are several information terms that EOC personnel should be familiar with:

Data is unprocessed material that may be incorrect, irrelevant, redundant, or useful. Data must be validated and analyzed to become meaningful information or intelligence. Information is processed data that is presented in a context which makes it useful. Data is turned into information through validation and analysis. Incident-related information is used to support decision-making.

Essential Elements of Information (EEI) are those important and standard information items, which support timely and informed decisions. All information is not useful for decision-making. EEI provides context, informs decision-making, and contributes to analysis and population of the Shared Situational Picture

Intelligence in NIMS refers exclusively to threat-related information developed by law enforcement, medical surveillance, and other investigative organizations. Intelligence normally has special access and handling requirements.

This graphic depicts the management of incident information to support situational awareness.

Data is received by the EOC. The top left shows the gathering of data from different sources. In the top middle, the EOC staff verifies the data is correct and analyzes it to determine if it is pertinent to the situation. Processed data is called information or intelligence. All information is not equally useful. On the right side, the EOC “filters” data based on defined Essential Elements of Information (EEI) to make information that is most useful available. The bottom of the graphic depicts EEI being used to update the Shared Situational Picture (SitPic). This common source of incident information is used to inform those who have contributed, those who are impacted, and those who may become impacted by the event.

Information Elements

Visualizing Information Management

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There are several ways to capture information from an EOC’s activation. Some of the documentation tools include:

EOC management software (off the shelf or internally developed) Online information portals and/or shared data storage Internal EOC plans, logs, and forms Incident Action Plan/ICS Forms developed by the Incident Commander/Unified Command State and Federal Disaster assistance forms Video, still pictures, and audio recordings Geographic Information System and hazard modeling software and products Delegations of Authority and Policy Statements Public Information/Media Releases

And, when all else fails, a pencil and a piece of paper can be used for documentation.

After documenting information, it must be archived for future use. Do not delete documentation until it is properly archived!

Policies are high-level guidance that are generally developed by senior management. Policies provide goals and direction to all agencies that may respond to an incident.

Procedures specify the methods or steps to be followed routinely for the performance of designated operations or in specific situations. Procedures describe how policies will be implemented.

Together, policies and procedures clarify:

What key players will do How they will interact How they will be held accountable

The jurisdiction or organization's Senior Official/Executive normally develops standing policies and procedures for incident response. During an incident the Senior Official or the MAC Group makes policy decisions when existing policy does not address the specific circumstance, or when a multijurisdictional policy approach must be defined.

The following are examples of agency policies and guidelines that can affect management of an incident:

Pre-incident plans Standard operating procedures Emergency operations plans

Documentation Tools

MAC Group Policies and Procedures

Policies and Guidelines: Examples

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Continuity of operations plans Community preparedness plans Mutual aid and assistance agreements Wildland Fire Situation Analysis (WFSA) Wildland Fire Implementation Plan (WFIP) Corrective action plans Mitigation plans Recovery plans Tribal, State, regional, and national mobilization guides Field operations guides Delegations of authority

Develop Standard Operating Procedures for every EOC position. Be sure to include:

What is required of the position. When the SOP is effective. The timeframe for mobilization, operations, and demobilization. When the SOP is no longer effective.

The public also has information needs. The Joint Information System (JIS) must include:

Protocols for coordinating information dissemination to the public. Templates for key communications, such as warnings, public-service announcements (PSAs), and other emergency information. A Joint Information Center (JIC) as a central location for disseminating information to the media. Staff at the JIC trained as Public Information Officers (PIOs).

Tip

Agency PIOs should use JIS procedures to coordinate information flow and dissemination with the incident PIO. This ensures an accurate, consistent message to the public.

Incident resource management includes standardized procedures, methodologies, and functions. The EOC works with the Incident Command to ensure that these tasks are completed. The following six resource management tasks are performed during an incident:

SOPs

Meeting the Public’s Information Needs

Incident Resource Management Process

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Identify Resource Requirements Order and Acquire Resources Mobilize Resources Track Resources and Report Resource Status Demobilize Resources Reimburse Resource Providers and Restock Supplies

In addition to the activities conducted during an incident, there are Resource Management activities that take place in preparation for incidents including:

Identifying and Typing Resources Qualifying, Certifying and Credentialing Personnel Planning for Resources Acquiring, Storing and Inventorying Resources Developing Mutual Aid Agreements and Compacts

The graphic illustrates that the resource needs of an incident may build faster than resources can arrive. It is important for both the Incident Command and the EOC to think ahead and anticipate what resources will be needed.

During the Incident Action Planning Process, in the Tactics Meeting, the Incident Command staff forecast resource requirements for the next operational period. EOCs need to understand these potential resource requests as early as possible in order to begin determining where they can acquire the resources.

Experience and training will increase the ability of an EOC staff to predict workloads and corresponding staffing and resource needs.

On the right of the graphic we see the other side of the resource challenge in an incident. Eventually, a sufficient number of resources arrive and begin to control the incident. However, as the incident workload declines, resources can exceed incident needs. It is important for both the Incident Command and the EOC to think ahead here as well in order to begin planning for demobilization of resources that are no longer needed.

Anticipating Incident Resource Needs

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The Incident Commander identifies resource requirements as part of the Incident Action Planning Process. Then the Incident Commander will process and submit the resource order according to the jurisdiction’s protocols. EOCs may also make resource requests to support the ongoing EOC activation.

The Incident Commander or EOC director makes a request that describes the:

Kind of resource (personnel, teams, facilities, equipment, or supplies) Type of resource (minimum level of capability required to perform a function based on size, power and capacity for equipment, and experience and qualifications for personnel or teams) Mission requirement or task(s) to be accomplished

The Incident Commander or EOC director may delegate the responsibility for placing resource orders.

The EOC is normally the location that receives these resource requests, finds a source to fill the resource request, and tracks the resource until it is delivered to the Incident Command (or EOC).

The Incident Commander's resource request, identified using kind and type definitions, is processed by the EOC according to the jurisdiction or organization's defined ordering processes (commonly described in the Emergency Operations Plan).

The EOC staff may consult with other experts to determine the specific resource required. For scarce resources, The MAC Group may have to prioritize where a resource is assigned.

The EOC Staff determine whether to:

Fill the request internally with a resource controlled by a participating jurisdiction or organization. Request the resource externally under an existing mutual aid agreement or compact. Pass the request to the State or Federal government as a mission request.

This topic is explored in much greater detail in the IS-703 NIMS Resource Management course.

Resource management can be an area of confusion between the on-scene command structure and the EOC. As shown in the table below, however, the role of the EOC complements that of the ICS structure.

Asking for Help

Asking for Help (Continued)

Resource Management

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Compare resource management at the Incident Command Post (ICP) versus the EOC:

Incident Command Post (ICS) EOC:

Identify resource needs Receive resource requests

Order resources Prioritize resource requests based on incident priorities MAC Group guidance

Check in resources Locate/order resources

Assign resources Assign according to priorities

Track resources Track resource use

Demobilize resources Pay for resources

The on-scene Incident Command manages resources based on:

Initial Incident Sizeup Subsequent Incident Objectives Tactics

The principles of ICS ensure an orderly approach to identifying incident resource needs.

When incidents grow in size and/or complexity and more tactical resources are required, the EOC and the MAC Group play an increasingly important role in resource management.

The following criteria are commonly used for setting priorities:

Life Safety

Threat to responders Threat to public

Incident Stabilization

Damage potential Incident complexity Infrastructure protection

Property Conservation

Real property threatened Environmental impact Economic impact

Other criteria may be established by the coordinating organization.

One common issue around resource managers is the question of when the Incident Commander should request resources from the EOC rather than from the dispatch center. Many jurisdictions have established triggers to help the Incident Commander make that decision. Possible triggers are shown in the table below.

Activation of the EOC Some jurisdictions automatically switch their resource ordering and tracking to the EOC as soon as it is fully operational.

Dispatch workload The call load for dispatch rises as an incident expands. Dispatch may reach a point

Resource Management (Continued)

Criteria for Determining Priorities

Switching Resource Ordering to the EOC

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increases beyond specified threshold

where it cannot provide dispatch services and/or cannot provide large-incident logistical support.

Establishment of a Unified Command or Area Command

Multiple agencies with shared responsibility for a response, or multiple incidents with separate Incident Command structures, will need resource management from the EOC.

Normal mutual aid resources are exhausted

There is a need for increased delegation of authority to commit finances.

To help all personnel recognize triggers for switching resource ordering to the EOC, the process should be:

Stated clearly in the jurisdiction’s Emergency Operations Plan. Implemented through the jurisdiction’s chain of command. Supported by dependable communications.

The procedures for switching resource ordering to the EOC should be trained and exercised regularly.

EOC Staff conduct planning activities in support of EOC and Incident Command. The Incident Command Planning Section is focused on planning future operational cycles and developing the IAP. The EOC Plans Function develops near term plans to achieve EOC support of an incident. The EOC Plans Function can also develop longer term plans that anticipate future requirements for incident response and recovery. Continuity of Operation Planning (COOP) and contingency planning for incidents can also be performed by an EOC.

The Operational Period Planning Cycle is the process used in the incident to develop the Incident Action Plan for the next operational period. The Incident Action Plan is completed each operational period utilizing the progression of meetings and briefings shown in the Planning P.

The EOC will also have a defined Operational Cycle of information updates, meetings, briefings, and reports.

The operational period for the incident and the EOC may not be the same. For example, in a rapidly changing incident the Incident Command may have a four hour operational cycle, but the EOC may be operating on 8 or 12 hour operational periods to facilitate shift work.

The key is synchronizing inputs and outputs between the EOC and Incident Command so that each has the information necessary for situational awareness, decision support, and proactive actions.

Select this link for more information about Operational Periods.

Switching Resource Ordering To the EOC (Continued)

Planning for Incident Support

The Operational Period Planning Cycle (Planning P)

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Typically, coordination with other EOCs occurs when:

Mutual aid is requested. The provision of mutual aid is a trigger for coordination between or among the EOCs of the jurisdictions involved. Technical specialists are required. The provision of technical specialists, such as those provided by State environmental agencies, research universities, and/or outside contractors, often triggers coordination between EOCs and other NIMS multiagency coordination entities. The emergency is widespread or a Federal disaster is declared. Widespread emergencies or federally declared disasters automatically trigger the activation of NIMS Command and Coordination elements and entities in multiple jurisdictions and organizations.

The most common coordination point with other parts of the NIMS Command and Coordination structure is when external assistance is needed. Commonly, this is done through mutual aid agreements. A model process for requesting external assistance is shown below.

Coordinating With Other EOCs

Coordinating With Other EOCs (Continued)

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In this model, requests for mutual aid may be made directly to another EOC, or processed through the State EOC. Resource orders to the next higher level of government may first need a formal request for assistance.

When requesting assistance from outside of the organizations represented in your EOC, it is important to make the request as complete as possible. All requests should be made formally and include:

The type of incident The time the incident occurred (or is expected to occur) Actions already taken Areas and number of people involved Estimates of loss of life, injuries, and extent of damage The type and amount of assistance required The time and place for delivery Contact information for follow-up questions

A formal request for assistance should always be followed up by the actual resource order. The resource order provides detailed information on the kind and type of resource that is needed—what, where, and when.

When requesting assistance:

Ask sooner rather than later. Coordination takes time. There will be some delay between the time that a resource is requested and the time it arrives and can be assigned. Make all resource requests based on the mission, task, incident objectives, and established priorities. Follow established procedures for requesting external resources to ensure that the resource assignments can be made and tracked accurately.

During this lesson, you looked at key aspects of EOC operations. Additional topics addressed:

How NIMS Command and Coordination structures are interconnected. The NIMS communications principles. The types of information managed by the EOC. Situational Awareness (SA). How resource management is provided by the EOC.

Requesting Assistance From Other EOCs and Multiagency Coordination Partners

Tips for Requesting External Assistance

Lesson 5 Summary

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Lesson 6 will cover transitioning to recovery and deactivation.