Lesson 5: Overview

This lesson will introduce the Incident Command System (ICS) as an efficient way of managing special events. This lesson will discuss the ICS organizational structure, ICS positions, incident action planning, and command structures.

 

 

 

 

 

Lesson 5: Objectives
At the end of this lesson, you should be able to:
  • Define Incident Command System (ICS).
  • Identify the five functional areas of ICS and identify which area is active at every special event and which areas are included only when needed.
  • List four duties of an Incident Commander.
  • Define Unified Command and give two examples of occasions when it should be used.
Homeland Security Presidential Directives
The following Presidential Directives are linked to national preparedness:
  • HSPD-5 identified steps for improved coordination in response to incidents. It requires the Department of Homeland Security (DHS) to coordinate with other Federal departments and agencies and State, local, and tribal governments to establish a National Response Framework (NRF) and a National Incident Management System (NIMS).
  • PPD-8, National Preparedness, describes the Nation's approach to preparedness-one that involves the whole community, including individuals, businesses, community- and faith-based organizations, schools, tribes, and all levels of government (Federal, State, local, tribal and territorial).
NIMS and NRF
Image: Cover of the NIMS.
NIMS provides a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, in order to reduce the loss of life and property and harm to the environment.
NRF
The NRF is a guide to how the Nation conducts all-hazards response – from the smallest incident to the largest catastrophe. This key document establishes a comprehensive, national, all-hazards approach to domestic incident response. The Framework identifies the key response principles, roles, and structures that organize national response. It describes how communities, States, the Federal Government, and private-sector and nongovernmental partners apply these principles for a coordinated, effective national response.
NIMS Components

NIMS is much more than just using the Incident Command System or an organization chart.

NIMS is a consistent, nationwide, systematic approach that includes the following components:

  • Preparedness
  • Communications and Information Management
  • Resource Management
  • Command and Management
  • Ongoing Management and Maintenance

The components of NIMS were not designed to stand alone, but to work together.

Click this link to access all information presented.

NIMS Components

Preparedness

Effective emergency management and incident response activities begin with a host of preparedness activities conducted on an ongoing basis, in advance of any potential incident. Preparedness involves an integrated combination of assessment; planning; procedures and protocols; training and exercises; personnel qualifications, licensure, and certification; equipment certification; and evaluation and revision.

Communications and Information Management

Emergency management and incident response activities rely on communications and information systems that provide a common operating picture to all command and coordination sites. NIMS describes the requirements necessary for a standardized framework for communications and emphasizes the need for a common operating picture. This component is based on the concepts of interoperability, reliability, scalability, and portability, as well as the resiliency and redundancy of communications and information systems.

Resource Management

Resources (such as personnel, equipment, or supplies) are needed to support critical incident objectives. The flow of resources must be fluid and adaptable to the requirements of the incident. NIMS defines standardized mechanisms and establishes the resource management process to identify requirements, order and acquire, mobilize, track and report, recover and demobilize, reimburse, and inventory resources.

Command and Management

The Command and Management component of NIMS is designed to enable effective and efficient incident management and coordination by providing a flexible, standardized incident management structure. The structure is based on three key organizational constructs: the Incident Command System, Multiagency Coordination Systems, and Public Information.

Ongoing Management and Maintenance

Within the auspices of Ongoing Management and Maintenance, there are two components: the National Integration Center (NIC) and Supporting Technologies.

Command and Management Elements
The NIMS Command and Management component facilitates incident management. This component includes the following elements: Incident Command System, Multiagency Coordination Systems, and Public Information.
What Is ICS?
Within the Command and Management component, the Incident Command System (ICS) provides a standardized approach to managing incidents and special events. ICS:
  • Is based on proven incident management practices.
  • Defines incident response organizational concepts and structures.
  • Consists of procedures for managing personnel, facilities, equipment, and communications.
  • Is used throughout the lifecycle of an incident (e.g., from pre-incident planning to demobilization of resources).
It is highly recommended that you complete IS-100, Introduction to the Incident Command System.
ICS and Special Event Planning
As you learned in Lesson 2, planning for a special event should begin well in advance and include all stakeholders. With many agencies participating in an event, it is important to use a proven management system. Using ICS is an excellent means of determining how resources are going to be used, who will coordinate them, and how information will be communicated during a special event. ICS is designed to assist event planners in the areas of:
  • Resource management.
  • Organization.
  • Delegation of authority.
  • Coordination.
  • Communication.
  • Evaluation.
Advantages of ICS
Using ICS to plan and manage a special event:
  • Allows the organization to adapt and expand if unanticipated situations occur during the event.
  • Provides an opportunity to test protocols and procedures that could be used in a no-notice incident or emergency.
  • Facilitates the decisionmaking and coordination among all stakeholders involved in the event.
  • Often avoids duplication of efforts and reduces the cost of an event through better management of resources.
Optimizing Communication and Coordination

Using ICS optimizes communication and coordination, and facilitates the protection of life and property.

ICS achieves these objectives by:

  • Establishing a standardized command structure for any event or incident.
  • Using common terminology that ensures everyone will understand what is being said and how to acknowledge it properly.
ICS Features
  • Common Terminology
  • Modular Organization
  • Management by Objectives
  • Incident Action Planning
  • Manageable Span of Control
  • Incident Facilities and Locations
  • Comprehensive Resource Management
  • Integrated Communications
  • Establishment and Transfer of Command
  • Chain of Command and Unity of Command
  • Unified Command
  • Accountability
  • Dispatch/Deployment
  • Information and Intelligence Management

Common Terminology

ICS establishes common terminology that allows diverse incident management and support organizations to work together across a wide variety of incident management functions and hazard scenarios. This common terminology covers the following:

  • Organizational Functions: Major functions and functional units with incident management responsibilities are named and defined. Terminology for the organizational elements is standard and consistent.
  • Resource Descriptions: Major resources—including personnel, facilities, and major equipment and supply items—that support incident management activities are given common names and are “typed” with respect to their capabilities, to help avoid confusion and to enhance interoperability.
  • Incident Facilities: Common terminology is used to designate the facilities in the vicinity of the incident area that will be used during the course of the incident.

Incident response communications (during exercises and actual incidents) should feature plain language commands so they will be able to function in a multijurisdictional environment. Field manuals and training should be revised to reflect the plain language standard.

Modular Organization

The ICS organizational structure develops in a modular fashion based on the size and complexity of the incident, as well as the specifics of the hazard environment created by the incident. When needed, separate functional elements can be established, each of which may be further subdivided to enhance internal organizational management and external coordination. Responsibility for the establishment and expansion of the ICS modular organization ultimately rests with Incident Command, which bases the ICS organization on the requirements of the situation. As incident complexity increases, the organization expands from the top down as functional responsibilities are delegated. Concurrently with structural expansion, the number of management and supervisory positions expands to address the requirements of the incident adequately.

Management by Objectives

Management by objectives is communicated throughout the entire ICS organization and includes:

  • Establishing overarching incident objectives.
  • Developing strategies based on overarching incident objectives.
  • Developing and issuing assignments, plans, procedures, and protocols.
  • Establishing specific, measurable tactics or tasks for various incident management functional activities, and directing efforts to accomplish them, in support of defined strategies.
  • Documenting results to measure performance and facilitate corrective actions.

Incident Action Planning

Centralized, coordinated incident action planning should guide all response activities. An Incident Action Plan (IAP) provides a concise, coherent means of capturing and communicating the overall incident priorities, objectives, and strategies in the contexts of both operational and support activities. Every incident must have an action plan. However, not all incidents require written plans. The need for written plans and attachments is based on the requirements of the incident and the decision of the Incident Commander or Unified Command. Most initial response operations are not captured with a formal IAP. However, if an incident is likely to extend beyond one operational period, become more complex, or involve multiple jurisdictions and/or agencies, preparing a written IAP will become increasingly important to maintain effective, efficient, and safe operations.

Manageable Span of Control

Span of control is key to effective and efficient incident management. Supervisors must be able to adequately supervise and control their subordinates, as well as communicate with and manage all resources under their supervision. In ICS, the span of control of any individual with incident management supervisory responsibility should range from 3 to 7 subordinates, with 5 being optimal. During a large-scale law enforcement operation, 8 to 10 subordinates may be optimal. The type of incident, nature of the task, hazards and safety factors, and distances between personnel and resources all influence span-of-control considerations.

Incident Facilities and Locations

Various types of operational support facilities are established in the vicinity of an incident, depending on its size and complexity, to accomplish a variety of purposes. The Incident Command will direct the identification and location of facilities based on the requirements of the situation. Typical designated facilities include Incident Command Posts, Bases, Camps, Staging Areas, mass casualty triage areas, point-of-distribution sites, and others as required.

Comprehensive Resource Management

Maintaining an accurate and up-to-date picture of resource utilization is a critical component of incident management and emergency response. Resources to be identified in this way include personnel, teams, equipment, supplies, and facilities available or potentially available for assignment or allocation.

Integrated Communications

Incident communications are facilitated through the development and use of a common communications plan and interoperable communications processes and architectures. The ICS 205 form is available to assist in developing a common communications plan. This integrated approach links the operational and support units of the various agencies involved and is necessary to maintain communications connectivity and discipline and to enable common situational awareness and interaction. Preparedness planning should address the equipment, systems, and protocols necessary to achieve integrated voice and data communications.

Establishment and Transfer of Command

The command function must be clearly established from the beginning of incident operations. The agency with primary jurisdictional authority over the incident designates the individual at the scene responsible for establishing command. When command is transferred, the process must include a briefing that captures all essential information for continuing safe and effective operations.

Chain of Command and Unity of Command

  • Chain of Command: Chain of command refers to the orderly line of authority within the ranks of the incident management organization.
  • Unity of Command: Unity of command means that all individuals have a designated supervisor to whom they report at the scene of the incident.

These principles clarify reporting relationships and eliminate the confusion caused by multiple, conflicting directives. Incident managers at all levels must be able to direct the actions of all personnel under their supervision.

Unified Command

In incidents involving multiple jurisdictions, a single jurisdiction with multiagency involvement, or multiple jurisdictions with multiagency involvement, Unified Command allows agencies with different legal, geographic, and functional authorities and responsibilities to work together effectively without affecting individual agency authority, responsibility, or accountability.

Accountability

Effective accountability of resources at all jurisdictional levels and within individual functional areas during incident operations is essential. Adherence to the following ICS principles and processes helps to ensure accountability:

  • Resource Check-In/Check-Out Procedures
  • Incident Action Planning
  • Unity of Command
  • Personal Responsibility
  • Span of Control
  • Resource Tracking

Dispatch/Deployment

Resources should respond only when requested or when dispatched by an appropriate authority through established resource management systems. Resources not requested must refrain from spontaneous deployment to avoid overburdening the recipient and compounding accountability challenges.

Information and Intelligence Management

The incident management organization must establish a process for gathering, analyzing, assessing, sharing, and managing incident-related information and intelligence.

Five Major Management Functions

There are five major management functions that are the foundation upon which an incident management organization develops.

These functions apply to incidents of all sizes and types, including special events and emergencies that occur without warning.

    Management Function Descriptions
    Below is a brief description of the major incident management functions:
    Incident command
    Sets the incident objectives, strategies, and priorities and has overall responsibility for the incident.
    Operations
    Conducts operations to reach the incident objectives. Establishes tactics and directs all operational resources.
    Planning
    Supports the incident action planning process by tracking resources, collecting/analyzing information, and maintaining documentation.
    Logistics
    Arranges for resources and needed services to support achievement of the incident objectives.
    Finance and Administration
    Monitors costs related to the incident. Provides accounting, procurement, time recording, and cost analyses.
    ICS Organization
    In a special event, the Incident Commander may delegate any of the ICS functions by establishing Operations, Planning, Logistics, and Finance/Administration Sections.
    Incident command divided into four sections: Operations Section; Planning Section; Logistics Section; Finance & Administration Section
    Remember . . . The Incident Commander only creates those Sections that are needed. If a Section is not staffed, the Incident Commander will personally manage those functions.
    Incident Commander Responsibilities
    The Incident Commander has overall responsibility for managing the entire incident. The Incident Command is responsible for:
    • Ensuring overall safety of the special event.
    • Providing information services to internal and external stakeholders, such as the public, government partners, industry representatives, and other leaders.
    • Establishing and maintaining liaison with other agencies participating in the incident.
    The Incident Commander may appoint one or more Deputies. Deputy Incident Commanders must be as qualified as the Incident Commander
    Incident command staff consisting of the Public Information Officer, Safety Officer, and Liaison Officer. The Command Staff provides information, safety, and liaison services for the entire organization. The Incident Command is divided into four sections: Operations Section; Planning Section; Logistics Section; Finance & Administration Section. These sections are considered the General Staff which are assigned functional authority for Operations, Planning, Logistics, and Finance/Administration.
    Command Staff
    Depending upon the size and type of special event, the Incident Commander may designate personnel to provide information, safety, and liaison services. In ICS, the following personnel comprise the Command Staff:
    • Public Information Officer, who serves as the conduit for information to internal and external stakeholders, including the media, stakeholders, and the public.
    • Safety Officer, who monitors safety conditions and develops measures for ensuring the safety of all event personnel.
    • Liaison Officer, who serves as the primary contact for other agencies assisting at a special event.
    The Command Staff reports directly to the Incident Commander.
    Incident command staff consisting of the Public Information Officer, Safety Officer, and Liaison Officer.
    Developing the Initial ICS Organization
    The type, location, size, and expected duration of the event are key factors in developing the initial ICS organization. Answering the questions below will help event planners develop an organizational structure to meet the management needs of the event:
    • Does the event involve a single agency or multiple agencies?
    • Does the event involve a single jurisdiction or multiple jurisdictions?
    • What Command Staff needs exist?
    • What kinds, types, and amounts of resources are required by the event?
    • Are there any projected aviation operations?
    • Are there any Staging Areas or other required facilities?
    • What kind and type of logistical support needs are required by the event?
    • Are there any known limitations or restrictions of local resources?
    • What kind and type of communications resources are available?
    Click on this link to access a worksheet of the above planning questions.
    Sample Organization for Special Event
    Below is a sample organizational structure for a special event.
    Incident command staff consisting of the Public Information Officer, Safety Officer, and Liaison Officer. The Command Staff consists of four sections: Operations Section-Law Enforcement & Security Group, Crowd Movement & Control Group, Public Health Group, Event Venue & Facilities Group; Planning Section-Situation Unit; Logistics Section-Communications Unit.
    What Is a Multiagency Coordination System?
    A Multiagency Coordination System is not simply a physical location or facility. Rather, the MAC System:
    • Defines business practices, standard operating procedures, and protocols by which participating agencies will coordinate their interactions.
    • Provides support, coordination, and assistance with policy-level decisions to the ICS structure managing an incident.
    Cooperating agencies and organizations may develop a MAC System to better define how they will work together and to work together more efficiently.
    Key NIMS Terminology-Coordinate: To advance an analysis and exchange of information systematically among principals who have or may have a need to know certain information to carry out specific incident management responsibilities.
    “Big Picture Coordination”—Multiagency Coordination Systems
    Multiagency Coordination Systems are a combination of resources that are integrated into a common framework for coordinating and supporting domestic incident management activities. These resources may include:
    • Facilities.
    • Equipment.
    • Personnel.
    • Procedures.
    • Communications.
    Multiagency Coordination Systems Primary Functions
    The primary functions of Multiagency Coordination Systems are to:
    • Support event or incident management policies and priorities.
    • Facilitate logistics support and resource tracking.
    • Make resource allocation decisions based on incident management priorities.
    • Coordinate incident-related information.
    • Coordinate interagency and intergovernmental issues regarding incident management policies, priorities, and strategies.
    • Direct tactical and operational responsibility for the conduct of incident management activities rests with the on-scene Incident Command.
    MAC System Elements: Overview
    Common coordination elements may include:
    • Dispatch Center
    • Emergency Operations Center (EOC)
    • Department Operations Center (DOC)
    • Multiagency Coordination (MAC) Group
    The next screens provide additional information on common MAC System elements.
    Multiagency Coordination System Elements

    Dispatch Center: A Dispatch Center coordinates the acquisition, mobilization, and movement of resources as ordered by the Incident Command/Unified Command.

    Emergency Operations Center (EOC): During an escalating incident, an EOC supports the on-scene response by relieving the burden of external coordination and securing additional resources. EOC core functions include coordination; communications; resource allocation and tracking; and information collection, analysis, and dissemination. EOCs may be staffed by personnel representing multiple jurisdictions and functional disciplines and a wide variety of resources.

    Department Operations Center (DOC): A DOC coordinates an internal agency incident management and response. A DOC is linked to and, in most cases, physically represented in the EOC by authorized agent(s) for the department or agency.

    Multiagency Coordination (MAC) Group: A MAC Group is comprised of administrators/executives, or their designees, who are authorized to represent or commit agency resources and funds. MAC Groups may also be known as multiagency committees or emergency management committees. A MAC Group does not have any direct incident involvement and will often be located some distance from the incident site(s) or may even function virtually. A MAC Group may require a support organization for its own logistics and documentation needs; to manage incident-related decision support information such as tracking critical resources, situation status, and intelligence or investigative information; and to provide public information to the news media and public. The number and skills of its personnel will vary by incident complexity, activity levels, needs of the MAC Group, and other factors identified through agreements or by preparedness organizations. A MAC Group may be established at any level (e.g., national, State, or local) or within any discipline (e.g., emergency management, public health, critical infrastructure, or private sector).

    Emergency Operations Centers

    Emergency Operations Centers (EOCs) represent the physical location where the coordination of information and resources for onsite event management takes place.

    For complex events, EOCs may be staffed by personnel representing multiple jurisdictions and disciplines and a wide variety of resources. The size, staffing, and equipping of an EOC will depend on the size of the jurisdiction, resources available, and anticipated workload.

    Public Information Principles

    Systems and protocols for communicating timely and accurate information to the public are critical during large-scale special events or emergency situations.

    Public information must be coordinated and integrated across:

    • Jurisdictions.
    • Functional agencies.
    • Federal, State, tribal, and local partners.
    • Private-sector and nongovernmental organizations.
    • The promoter or sponsor.
    During special events or emergencies, the public may receive information from a variety of sources. The Public Information Officer (PIO) is responsible for establishing the systems and protocols required to meet the public’s need for information.
    Public Information Systems
    The PIO handles:
    • Media and public inquiries.
    • Emergency public information and warnings.
    • Rumor monitoring and response.
    • Media monitoring and other functions required to coordinate, clear with appropriate authorities, and disseminate accurate and timely information related to the event or incident.
    The PIO also coordinates public information at or near the incident site and serves as the on-scene link to the Joint Information Center (JIC). The JIC will be addressed on the next screens.
    Joint Information System
    The Joint Information System (JIS):
    • Provides the mechanism to organize, integrate, and coordinate information to ensure timely, accurate, accessible, and consistent messaging across multiple jurisdictions and/or disciplines with nongovernmental organizations and the private sector.
    • Includes the plans, protocols, procedures, and structures used to provide public information.
    Federal, State, tribal, territorial, regional, or local Public Information Officers and established Joint Information Centers (JICs) are critical supporting elements of the JIS.
    Joint Information Center
    The Joint Information Center (JIC) is:
    • A central location that facilitates operation of the Joint Information System.
    • A location where personnel with public information responsibilities perform critical emergency information functions, crisis communications, and public affairs functions.
    JICs may be established at various levels of government or at incident sites, or can be components of Multiagency Coordination Systems (e.g., MAC Groups or EOCs). A single JIC location is preferable, but the system is flexible and adaptable enough to accommodate virtual or multiple JIC locations, as required.
    Additional Resources
    The NIMS Resource Center provides additional information, updates, and resources. The center can be accessed at http://www.fema.gov/nims.
    Lesson Summary

    This lesson introduced ICS as an efficient way to plan for and manage special events. This lesson reviewed the ICS features, management functions, and key organizational elements. Additional information about ICS can be found in the IS-100 course.

    The next lesson will outline the special planning considerations required when hosting high-risk special events.

    Click on this link to access the Events Contingency Planning Job Aids Manual Chapter 3: National Incident Management System and Incident Command System.