Video Transcript

Each community must develop an emergency plan that is community-specific and reflects the local environment. The emergency plan prepares all agencies, including public works, for the response activity.

Emergency planning guides preparedness, response, recovery, and mitigation activities in your community following a hazard event. It establishes a mission and confirms consistency with agency-wide policies, procedures, and plans.

It serves as a starting point for the management of a disaster by the local public works agency. It allows the agency activity to have some influence in the outcome of the event.

An emergency plan defines local agency jurisdiction and enables all activity to be accomplished in an organized manner through the integration of public works with other disciplines in order to help provide for the protection of citizens and critical infrastructure. It helps with the identification of partners and other stakeholders.

As a part of the emergency planning process, your public works agency will have the opportunity to evaluate agency capabilities and can provide valuable input to make improvements.

The emergency plan prepares the public works agency for the management of all possible events. The plan can also identify contingencies for potential failures.

A well developed emergency management plan strengthens the foundation for community recovery and the reduction of future losses.    

Course Overview

The area of public works has evolved over the years and has developed a much broader role and increased responsibilities as communities prepare for and respond to today’s Homeland Security and emergency management challenges. It has been shown that prior to, during, and after a disaster, one of the most crucial activities is ensuring that public works is prepared to meet any contingency. Public works must have individuals with the skills and ability to plan for emergencies so they can respond effectively to recover after a disaster.

This course will explain how public works prepares and plans for emergencies.

By the end of this course, you will be able to:

  • Explain the relationship between public works activities and emergency planning.
  • Describe how to establish a planning team.
  • Explain how risk and vulnerability assessments are used in public works planning.
  • Explain how to plan for each activity in the emergency management process.
  • Explain basic principles for implementing and maintaining a public works emergency plan.
Screen Features
  • Click on the Exit button to close this window and access the menu listing all lessons of this course. You can select any of the lessons from this menu by simply clicking on the lesson title.
  • Click on the Glossary button to look up key definitions and acronyms.
  • Click on the Help button to review guidance and troubleshooting advice regarding navigating through the course.
  • Track your progress by looking at the Progress bar at the top right of each screen. To see a numeric display, roll your mouse over the Progress bar area.
  • Follow the bolded green instructions that appear on each screen in order to proceed to the next screen or complete a Knowledge Review or Activity.
  • Click on the Back or the Next buttons at the top and bottom of screens to move backward or forward in the lesson. Note: If the Next button is dimmed, you must complete an activity before you can proceed in the lesson. Close
Navigating Using Your Keyboard

Below are instructions for navigating through the course using your keyboard.

  • Use the "Tab" key to move forward through each screen's navigation buttons and hyperlinks, or "Shift" + "Tab" to move backwards. A box surrounds the button that is currently selected.
  • Press "Enter" to select a navigation button or hyperlink.
  • Radio ButtonsUse the arrow keys to select answers for multiple-choice review questions or self-assessment checklists. Then tab to the Submit button and press Enter to complete a Knowledge Review or Self-Assessment.
  • Warning: Repeatedly pressing Tab beyond the number of selections on the screen may cause the keyboard to lock up. Use Ctrl + Tab to deselect an element or reset to the beginning of a screen's navigation links (most often needed for screens with animations or media).
  • Job Access With Speech (JAWS) assistive technology users can press the Ctrl key to quiet the screen reader while the course audio plays.
Receiving Credit
Students must complete the entire course and pass the final exam to receive credit for the course. Each lesson takes a variable amount of time to complete. If you are unable to complete the course in its entirety, you may close the window and reopen the course at any time. However, depending on the system used to take the course, it is possible you may have to repeat a portion of the last lesson you were studying.
Lesson Overview

In this lesson, you will learn about emergency planning and how it relates to public works. You will also learn ways you can contribute to your community’s emergency planning process so that your community will be more prepared when a disaster occurs.

Upon completion of this lesson, you will be able to:

  • Explain the importance of emergency planning to public works activities.
  • Describe how public works contributes to the community’s overall emergency preparedness level.
The National Incident Management System (NIMS) Approach

The National Incident Management System (NIMS) provides a systematic, proactive approach to guide departments and agencies at all levels of government, nongovernmental organizations, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents, regardless of cause, size, location, or complexity, in order to reduce the loss of life and property and harm to the environment.

There are five components that make up the NIMS approach. Click on each component to learn more.

Additional information about NIMS can be accessed online at https://www.fema.gov/national-incident-management-system or by completing the Emergency Management Institute’s IS-0700 online course.

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 refers to actions taken to plan, organize, equip, train, and exercise to build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk. Within NIMS, preparedness focuses on the following elements: planning; procedures and protocols; training and exercises; personnel qualifications, licensure, and certification; and equipment certification.

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.

Planning ahead for effective communications and information management is vital to ensure that, during incident response, public works professionals are able to communicate with the Emergency Operations Center (EOC), other first responders, and others involved in the response effort.

Resource Management

Resources are needed to support critical incident objectives, and some of the most critical resources during incident response are public works personnel, equipment, and resources.

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:

  • Incident Command System
  • Multiagency Coordination Systems
  • Public Information

Working within these constructs will help ensure that all responders, including the public works agency, are able to coordinate their efforts seamlessly.

Ongoing Management and Maintenance 

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

Of particular interest to public works is that the NIC has published a National Mutual Aid Glossary of Terms and Definitions with resource typing definitions for over 120 different kinds of resources. Resource typing definitions give emergency responders the information they need to make sure they request and receive appropriate resources during an emergency or disaster. Ordering resources that have been typed using these definitions makes the resource request and dispatch process more accurate and efficient.

Links to more information are included in the Toolkit, accessible from the icon at the top of the screen.

The Planning Process

Planning for disasters is crucial for every community. Although all communities have differences in demographics, structure, agency functions, and other areas that require them to develop unique disaster plans, the planning activities that are used to generate the plan are basically the same.

A planning process contains several planning activities, as shown on the graphic. These are the same steps that were covered in IS-552, The Public Works Role in Emergency Management.

Planning Process Activities

  1. Establish the core planning team and identify stakeholders
  2. Determine goals and objectives
  3. Determine roles and responsibilities
  4. Plan training and exercise opportunities
  5. Evaluate risks and vulnerabilities, especially to critical infrastructure
  6. Determine resource needs and plan for their management
  7. Develop the plan and gain management approval
  8. Disseminate the plan
Public Works Agency Contributions to Community Preparedness

Public works is involved in the community’s emergency management planning efforts in order to ensure that the public works issues are addressed in the community-wide plan. Critical infrastructure and key resources need to be restored to functioning as quickly as possible so that the community can continue the response and recovery processes.

The public works agency establishes its own agency specific emergency management plan for how to coordinate efforts within the agency following a disaster. Your perspective as one of the first responders after a disaster allows you to provide essential input to the emergency planning effort.

Lesson Summary

In this lesson, you learned about emergency planning and how it relates to public works. The eight-step planning process was introduced, and each step will be discussed in more detail later.

You also learned how the public works agency contributes to the community’s overall preparedness through its input as first responders as a part of its involvement in emergency management planning.

Lesson Overview

In this lesson, you will learn about establishing a planning team for creation of the public works agency-specific plan. You will learn the key players that should be on the public works planning team as well as some of the stakeholders who should be involved. You will be introduced to the information that will need to be gathered in order for the planning team to complete the initial tasks in the emergency planning process.

Upon completion of this lesson, you will be able to:

  • Identify potential planning team members.
  • Identify the information that must be gathered by the planning team.
  • List the initial tasks for the planning team.
Step 1: Establish the Core Planning Team and Identify Stakeholders

The first step in emergency planning is establishing the core planning team and identifying stakeholders. Emergency planning needs to be a team effort due to the required coordination between many different community agencies and organizations, and the different levels of government involved.

Depending on the type of emergency, different kinds of expertise and response capabilities are required. By involving individuals at different levels of various agencies and organizations, you have the opportunity to ensure that all perspectives and resources are considered during the emergency planning process.

Key Players on the Public Works Planning Team

Public works personnel who are recommended as members of the core planning team include functional supervisors, engineers, and individuals from various functions such as utilities, roads and bridges, and sanitation.

In addition to being involved in the creation of the public works agency-specific plan, these individuals can contribute needed information to the community-wide plan.

Public works personnel can provide:

  • Knowledge about the jurisdiction’s road and utility infrastructure
  • Specialized personnel and equipment resources
  • Information about the agency’s in-house capabilities
  • Knowledge of the public works role in the Incident Command System (ICS)
Key Players from Other Agencies

Potential key players from outside the public works agency include personnel from the agencies and organizations shown on the graphics. These other agencies may assist in the community-wide plan and in the public works agency-specific plan.

Building Inspection

Emergency Medical Services

Fire Services

Law Enforcement

Local Businesses

Finance and Procurement

Click this link to access all of the information presented on this page in a new window.

Building Inspection Services

Building Inspection Services can provide:

  • Knowledge about building codes
  • Information about construction standards
  • Guidance about the inspection process
  • Information about and support for damage assessment
  • Knowledge about how Building Inspection Services interacts with the Emergency Operations Center (EOC) and incident command

Emergency Medical Services

Emergency Medical Services (EMS) can provide:

  • Knowledge about emergency medical treatment requirements for a variety of situations
  • Information about treatment facility capabilities
  • Specialized personnel and equipment resources
  • Knowledge about how EMS interacts with the EOC and incident command

Fire Services

Fire Services can provide:

  • Information about fire department capabilities, procedures, on-scene safety requirements, hazardous materials response requirements, and search-and-rescue techniques
  • Knowledge about the jurisdiction’s fire-related risks
  • Specialized personnel and equipment resources
  • Knowledge of the Incident Command System (ICS)
  • Knowledge about how Fire Services interacts with the EOC and incident command  

Law Enforcement Services

Law Enforcement can provide:

  • Information about police department capabilities, procedures, on-scene safety requirements, local laws and ordinances, explosive ordnance disposal methods, and specialized response requirements such as perimeter control and evacuation procedures
  • Knowledge about the prevention and protection strategies for the jurisdiction
  • Knowledge about fusion centers and intelligence and security strategies for the jurisdiction
  • Specialized personnel and equipment resources
  • Knowledge of the law enforcement role in the Incident Command System (ICS)
  • Knowledge about how Law Enforcement interacts with the EOC and incident command  

Local Businesses

Local businesses and industry representatives can provide:

  • Information about specific business or industry capabilities
  • Information about hazardous materials that are produced, stored, and/or transported in or through the community
  • Facility response plans (to be integrated with the community’s Emergency Operations Plan)
  • Knowledge about specialized facilities, personnel, and equipment resources that could be used in an emergency

Finance and Procurement

Jurisdiction finance and procurement agencies can provide:

  • Knowledge about current funding appropriations
  • Available fund balances
  • Availability of borrowing capacity
  • Legally defensible procurement procedures
  • Required documentation for all of the above
  • Knowledge about how Finance and Procurement interacts with the EOC and incident command
Additional Stakeholders in the Planning Process

In addition to the core members of the public works planning team, stakeholders from other agencies should also be included in the planning process for both the community-wide plan and the public works agency-specific plan. Some potential stakeholders are shown on the graphics.

Private or Local Utilities

Emergency Manager

Department of Health 

Department of Transportation

Click this link to access all of the information presented on this page in a new window.

Private or Local Utilities

Private or local utility representatives can provide:

  • Information about utility capabilities
  • Knowledge about utility infrastructures
  • Knowledge about specialized personnel and equipment resources that could be used in an emergency
  • Information about existing or needed mutual aid or MOUs
  • Knowledge about how utilities interacts with the EOC and incident command

Emergency Managers

Emergency Managers (EMs) can provide:

  • Plans or strategies for the activation of an EOC
  • Knowledge about all-hazard planning techniques
  • Knowledge about the interaction of the tactical, operational, and strategic response levels
  • Knowledge about the prevention, protection, mitigation, response, and recovery strategies for the jurisdiction
  • Knowledge about existing mitigation, emergency, continuity, and recovery plans

Department of Health

The Department of Health can provide:

  • Records of morbidity and mortality
  • Governance/regulatory oversight of disaster-related activity such as debris management
  • Knowledge about the jurisdiction’s surge capacity
  • Understanding of the special medical needs of the community
  • Knowledge about historic infectious disease and syndromic surveillance
  • Knowledge about infectious disease sampling procedures
  • Knowledge about how the Department of Health interacts with the EOC and incident command

Department of Transportation

The Department of Transportation, and other corresponding state agencies, can provide:

  • Knowledge about the jurisdiction’s road and storm drainage infrastructure
  • Knowledge about the area’s transportation resources
  • Familiarity with the key local transportation providers
  • Specialized personnel resources
  • Cost estimates and specifications for reconstruction
  • Knowledge about how the department/agency interacts with the EOC and incident command
Step 2: Determine Goals and Objectives

Determining goals and objectives is the second step in the planning process. This involves gathering information to include in the public works plan, identifying a mission statement, and establishing expectations.

Information to Be Gathered by the Planning Team

When gathering information to include in the public works agency-specific plan, the team should take many things into consideration. The plan should correlate with the community-wide emergency plan as well as other existing plans, such as a Hazard Mitigation Plan or a Floodplain Management Plan.

Risk and vulnerability assessments from your community can also provide information that will be useful when planning for emergencies. These assessments can help you determine what resources you have available and what resources you might need to get from elsewhere.

Conducting and maintaining an inventory of goods and supplies (for example, the number of signal heads) will also help your agency plan for emergencies.

When gathering information, you should also determine the geographical boundaries that will be served as a part of your plan. Within those boundaries, jurisdictional responsibilities, as well as functional roles and responsibilities should be assigned. This may require redefinition of roles. For example, a smaller city might allow the county to handle procurement or debris management because the county can get better prices than the city or have more staff available.

Identify the Mission Statement

As a part of determining the goals and objectives, your planning team should identify the mission statement. A good mission statement should be an accurate and realistic summary of your group. Keeping it succinct and relevant helps individuals within the group remember the mission statement and why they are working together.

An example of a public works mission statement for a planning team could be: Complete the preparation, approval, and maintenance process for a public works emergency management plan.

Establish Expectations

The emergency plan should establish expectations for participants, including the frequency of meetings so that everyone participating can have a voice in establishing the schedule.

Participation by all stakeholders is vital to a successful planning process. When all parties contribute, it leads to more effective operations and impacts the ability for effective response and recovery actions. Accountability should also be outlined in the emergency plan.

Step 3: Determine Roles and Responsibilities

The third step in the planning process is determining roles and responsibilities. As a part of this, the public works planning team should define agency jurisdiction, examine community characteristics, and assign administrative planning assignments.

Define Agency Jurisdiction

When developing the plan, it is important to determine which responsibilities will fall to the public works agency. The following considerations will help to determine the public works jurisdiction before an event occurs.

Consider which of these services are municipal, county, tribal, or private.

  • Water
  • Sewer
  • Electric
  • Waste management

Consider which of these items are maintained locally or by the state.

  • Streets
  • Bridges
  • Traffic signals
Voices of Experience
These public works experts were asked to share some advice about emergency planning. Click on the images to hear the experts.
Voices of Experience Audio Transcript

Kenneth Miller, Director of Public Works (retired), Village of Mundelein, IL:

Most major disaster or emergency events will require public works involvement at some level. It is important to start building and enriching the close partnerships and working relationships that are likely to be included in your emergency planning and potential responses.

Be a willing resource within your organization as needed. This will prepare you for any significant multidisciplinary response that’s required in the future. By doing so, you get comfortable with those that you’re working with; you get comfortable with those you haven’t normally worked with. It begins to improve the communications and cooperation and coordination efforts in order to have a successful event.

Make sure you have an emergency plan, not only for the staff of your community, but also for the families of the staff of your community. It is vitally important that those who are responding to emergencies and disasters have comfort in knowing that their families have a plan, that they will follow the plan, and that they will know what to do until communications can be established. Don’t let your family be the only one that you’re not taking care of.

Kürt Blomquist, Public Works Director, City of Keene, NH:

It’s always been critical to bring the right people to the table and understand who does what and when. In 2005, city of Keene, we had over forty percent of our downtown flooded under four to six feet of water. Prior to that, I had a great opportunity with our emergency management director and, through exercises, we knew who we needed to have in our emergency operation center.

Ahead of time, we had coordinated with our local utility electrical company, plus transportation companies, American Red Cross, and even internally we recognized that we needed our finance staff there, we needed our IT folks to keep our systems running.

All those decisions that we made ahead really helped us in getting through that time. It was critical for the decisions and the timeliness and I can’t say more about how that key planning ahead of time will bear well for folks as they are having to address issues in their own communities.

Examine Community Characteristics

It’s important to know which areas of the community are likely to be hit harder by a hazard event. Using information gathered during hazard analysis, you can determine areas that may need specific or additional public works resources whether due to population or geography.

Some individuals may have additional needs before, during, and after an incident in functional areas, including maintaining independence, communication, transportation, supervision, and medical care. These functional needs populations include individuals who may be more vulnerable because of immobility or their inability to take protective action, such as children or the elderly. Other populations that you should be aware of when planning include non-English speakers, mobile home residents, and the transportation-disadvantaged.

Geographic considerations that need to be planned for could include flood-prone areas, areas prone to landslides, substandard construction, or even remote areas that could become isolated due to a hazard event.

Determine Administrative Planning Assignments

As a part of determining roles and responsibilities, the planning team should establish administrative planning assignments. You should decide things such as who will write the emergency plan, who will lead the meetings, who will review the plan, and who will develop training and exercises.

Collaboration and cooperation among all participating stakeholders is important. When assigning roles, be sure to select individuals within the public works agency who will facilitate the teamwork needed to be successful.

Step 4: Plan Training and Exercise Opportunities

In the fourth step of the planning process, you will plan training and exercise opportunities. Exercising is a critical step in ensuring that all stakeholders understand their responsibilities and are familiar with the plan, so it is important to consider training opportunities ahead of time.

The emergency management agency and public works should work together to develop and participate in training and exercises, so they are able to coordinate well when responding to and recovering from an event.

There should be community-wide training and exercises as well as those conducted by the public works agency.

Lesson Summary

In this lesson, you learned who should be included on the planning team. These members include key members of the public works agency as well as community and other agency stakeholders.

You also learned the information that should be gathered by the planning team, including available and needed resources, inventory of the goods and supplies, functional roles and responsibilities, and other necessary information.

You learned that the initial tasks for the planning team include identifying the mission, establishing expectations, defining agency jurisdiction and demographics, and assigning the administrative planning assignments.

Lesson Overview

In this lesson, you will learn about how risk and vulnerability assessments are used in public works planning.

Upon completion of this lesson, you will be able to:

  • Define basic terms related to hazard analysis.
  • Describe the role of public works in performing risk and vulnerability assessments.
  • Describe the information that risk and vulnerability assessments can provide.
  • Describe the process for conducting a hazard analysis.
Step 5: Evaluate Risks and Vulnerabilities
Evaluating risks and vulnerabilities, especially to critical infrastructure and key resources, is the fifth step in the emergency planning process. This evaluation of risks and vulnerabilities is known as a hazard analysis, which is done as a community-wide assessment with input from public works regarding agency-specific issues.
Basic Terminology for Hazard Analysis

In order to effectively plan for the hazards that may affect your community and your public works agency, it is important that you are familiar with the terminology related to hazard analysis.

These terms are covered in more detail in IS-556: Damage Assessment for Public Works.

Severity

Magnitude

Hazard

Risk

Vulnerability

Click this link to access all of the information presented on this page in a new window.

Severity

Severity is a measure of the seriousness of the effects of a hazard event. It can be measured by the number of people affected, amount of capital lost, number of buildings uninhabitable, and other factors. Certain systems may be inoperable and infrastructure could be destroyed.

Magnitude

Magnitude is a measure of the strength of a hazard event. The magnitude of a hazard is usually determined using technical measures specific to the hazard. For example, the United States uses the Saffir-Simpson scale, with a 1 to 5 categorization, to indicate the magnitude of hurricanes. This scale is based on the measure of a hurricane’s maximum sustained wind speed.

Hazard

A hazard is something that is potentially dangerous or harmful. It is often the root cause of an unwanted outcome. Hazards may be categorized as natural or as adversarial/human-caused.

  • Natural hazards are caused by natural events that pose a threat to lives, property, and other assets. Examples include hurricanes, earthquakes, and tornadoes.
  • Adversarial or human-caused hazards include technological hazards (caused by the tools, machines, and substances used in everyday life) and intentional acts (caused by people attacking or damaging what is valuable in a society). Examples include hazardous materials releases, major computer system failures (e.g., 911 system), terrorist attacks, and riots.

Risk

Risk is the possibility of loss or injury. More specifically, it is an estimated impact that a hazard would have on people, services, facilities, and structures in a community. It is the likelihood of a hazard event resulting in an adverse condition that causes injury or damage.

Risk is often expressed in relative terms such as a high, moderate, or low likelihood of sustaining damage above a particular threshold due to a specific type of hazard event. It also can be expressed in terms of potential monetary losses associated with the intensity of the hazard.

Vulnerability

Vulnerability is a description of how exposed or susceptible an asset is to damage. Vulnerability depends on an asset’s construction, contents, the economic value of its functions or services, and replacement/repair costs.

The vulnerability of one element of the community is often related to the vulnerability of another, and a hazard may cause indirect damages in addition to the damages that are caused by the direct impact. For example, many businesses depend on uninterrupted electrical power. If an electric substation is flooded, it will affect not only the substation itself, but a number of businesses as well. A refrigerated warehouse may lose its entire inventory and suffer severe economic losses as a result of the power failure. Often, indirect effects can be much more widespread and damaging than direct ones.

Critical Infrastructure and Key Resources

As used in this course, critical infrastructure and key resources (CIKR) are those systems and assets so vital to the community that their incapacity or destruction would have a debilitating impact on public services, security, economics, public health, or safety, or any combination of those matters. Critical infrastructure and key resources require special planning because they are necessary for the health and welfare of the whole population, and/or they represent high potential for loss or damaging effects on the community.

Some examples of critical infrastructure and key resources are listed below.

  • Hospitals/medical centers/nursing homes
  • Police and fire stations (public safety)
  • Emergency Operations Centers (EOCs)
  • Evacuation shelters
  • Schools
  • Nuclear power plants
  • Dams and bridges
  • Military installations
  • Chemical plants
  • Industrial facilities
  • Water treatment and distribution
  • Sewer treatment and collection
  • Power generation and distribution
  • Other
Risk and Vulnerability Assessments

Though not the primary responsibility of the public works agency, participation by the agency in community-wide hazard analysis is essential to ensure consideration of the impact to public works roles and responsibilities.

Hazard analysis generally consists of two types of assessments:

The public works agency must consider how specific public works facilities, infrastructure, or services may be affected by each hazard identified in the risk assessment to mitigate losses and to prepare for and respond to an incident.

Click this link to access all of the information presented on this page in a new window.

Risk Assessments

The risk assessment is the process of measuring the potential loss of life, personal injury, economic injury, and infrastructure and facility damage resulting from hazards such as natural disasters and technological/manmade hazards.

Vulnerability Assessments

The vulnerability assessment helps you evaluate how the hazards identified in the risk assessment could affect your community and the public works agency. It is an in-depth analysis of the services, building functions, systems, infrastructure, and site characteristics of the community to identify building weaknesses and lack of redundancy.

Vulnerability assessments also determine mitigations or corrective actions that can be designed or implemented to reduce the vulnerabilities and make the community more disaster-resistant and improve the capabilities of the public works agency.

When conducting the vulnerability assessment, the public works agency should consider questions related to each hazard, such as:

  • How will flooding affect the need for evacuation?
  • How will flooding affect critical infrastructure and key resources?
  • How will strong winds affect overhead utilities (e.g., power lines)?
  • How will debris disposal affect landfill capacity?
  • How will warning capabilities affect public works response actions?
  • How will the public works agency address the need for round-the-clock operations following an incident?
More about Risk and Vulnerability Assessments

Remember that every community and every public works agency is different, so risk and vulnerability assessments will be community specific. These assessments can provide information about what hazards can occur, how often they are likely to occur, and how severe the situation is likely to get. They will also let your agency and community know how these hazards are likely to affect the community in terms of medical emergencies and damage to facilities and infrastructure.

When considering how the public works agency could be affected by each potential event, think about:

  • Provision of services
  • Resource needs
  • Impact to infrastructure
  • Cost considerations of response and recovery
  • Identification of mitigation opportunities
  • Debris removal and disposal issues
  • Building and land use codes
  • Environmental and sanitation impacts
  • Traffic and transportation issues
  • Evacuation and sheltering
  • Public health
Voices of Experience
These public works experts were asked to share some advice about emergency planning. Click on the images to hear the experts.
Voices of Experience Audio Transcript

Kenneth Miller, Director of Public Works (retired), Village of Mundelein, IL:

It is important to have a list of what I would call “critical community components” that is agreed upon across the spectrum of your community or jurisdiction. These would be the highest priority items in buildings and facilities and services that need to be taken care of on a first basis. And that also, establishes a good starting point for getting your event and your response to any emergency or disaster off the ground.

Be prepared to make critical decisions on the best information available. Confirm the information when you can, but it is important to know that as time goes on, some of these decisions and some of the actions under way may have to be revised, because of new information and new confirmations. And don’t be afraid to do so. You can only work with what you have.

Understand that in any emergency, there really aren’t any absolutes. You really just have a quickly changing environment that you have to react to, make your decisions, and move forward. And this will continue, on and on. So be prepared for the long haul.

Gregg Varner, Director of Solid Waste (retired), County of Charleston, SC:

For us in public works, when we think about the idea of planning for a disaster, one of the things that jumps right out is that we in public works have got to look at things related to the risk for our community and the vulnerabilities that we have in the public works department. And the idea of risk, is just looking at those things that we might have, such as hurricanes, and then vulnerabilities for us is, what are the weaknesses that we in public works might have?

And I remember when hurricane Hugo was coming in, in 1989, I was the Public Works Director for the City of North Charleston and we’d never done anything like that—didn’t have the training, didn’t know what risk and vulnerability was all about. We discovered a few days before as we were trying to “button down the hatches,” I guess you might say, that our public works compound was actually in a flood zone and of course, had we done risk and vulnerability assessment, we’d have already known that and had planned for it.

So at the last minute we had to do some scampering around and get all of our equipment out of harm’s way so that we could protect the equipment and allow us to then respond after the hurricane came through so our lack of planning gave us an awfully good example of things that we hadn’t done right. Close

Hazard Analysis Process
Although every community and every public works agency is different, there are some basic steps that need to be performed to effectively assess risks and vulnerabilities for the community. These common steps are shown on the graphic collectively as the Hazard Analysis Process. The next several screens will describe each of these steps in greater detail.
Step 1: Identify Hazards

In order to identify hazards, create a list of the hazards that may occur in your community and surrounding communities. Use this list to focus on the most prevalent hazards in your area. These hazards could include:

  • Avalanches
  • Coastal erosion
  • Coastal storms
  • Earthquakes
  • Extreme heat
  • Floods
  • Hailstorms
  • Hurricanes
  • Landslides
  • Tornados
  • Volcanoes
  • Wildfires
  • Windstorms
  • Other hazards
Step 2: Profile Hazard Events

To further focus your mitigation planning efforts, you must consider how the hazards may affect your community. Describe the characteristics of each event by considering what each hazard does and what happens in the community as a result. Use historical data, existing plans and reports, forecasts, and other information, to answer the following questions:

  • How often is this hazard likely to occur?
  • What happens as a result of this hazard (e.g., high wind, flooding, etc.)?
  • Where is it likely to strike?
  • How large an area is it likely to affect?
  • How long can it be expected to last?
  • What time of year is it more likely to occur?
  • How fast is it likely to occur?
  • Does a warning system exist, and how much warning time is there?
  • What is the potential for cascading effects?
Step 3: Inventory Assets

During the third step in the hazard analysis process, which is also known as developing a Community Exposure Profile, you will determine which assets in the community could be affected by the hazard and create a list of those assets. Assets include buildings and infrastructure such as critical facilities, natural resource areas, businesses, and residences.

This inventory of existing buildings (number, type, value) and estimation of potential loss following known hazards helps determine actions during the response period. Knowing areas of weakness helps focus resources, particularly on vulnerable populations and critical facilities, which could impact recovery.

The vulnerability assessment will help determine mitigation opportunities or corrective actions that can be designed or implemented to reduce the vulnerabilities and make the community more disaster resistant. Be sure to consult the Hazard Mitigation Plan for your community (which was likely created with input from public works) to help in completing your assessment.

Step 3: Inventory Assets (Map the Hazards)

During this step, create a map of assets in your community, focusing on those assets for which public works is responsible. Then, compare this asset map to the hazard map developed in the previous step to determine which assets could be impacted by each hazard.

Specify the areas most likely to be affected (e.g., the entire town, low lying areas, downtown, rural, highways). You can use a Geographic Information Systems (GIS)-based approach such as the Hazards U.S. Multi-Hazard (HAZUS-MH) software to map your community’s assets.

An overlay can be produced by hand using a light table or through the use of GIS. As shown in the image, a map showing the location of the community’s assets can be produced by overlaying the base map for the community with a map delineating hazard area boundaries. This will help you identify which structures are located in more than one hazard zone and which areas of the community or state are more or less susceptible to different hazards.

You can learn more about HAZUS-MH and GIS by visiting the links provided on the Resources page of the Toolkit.

Step 3: Inventory Assets (Consider Impacts)

Consider the implications for response and recovery, based on how the following areas are expected to be impacted by the hazards:

Be sure to document all of your findings, keep track of the inventory data, and update the inventory regularly.

Click this link to access all of the information presented on this page in a new window.

Populations/Demographics

Including functional needs populations and locations is an important part of the community exposure profile. For each hazard, determine who could be impacted (e.g., all residents or certain neighborhoods/areas). If the hazard is likely to affect only certain areas, indicate those areas in the assessment so that resources can be allocated appropriately following a hazard.

Remember, some individuals may have additional needs before, during, and after an incident in functional areas. Knowing where these populations are located in your community is important so that additional measures can be taken as deemed necessary prior to and immediately following a hazard.

Information about populations and demographics (including geographic areas) could impact the provision of normal services of the public works agency, such as water, sewer, sanitation, etc. It could also impact disaster services provided by public works, such as debris removal. For example, if a mobile home community is hit by a tornado, there’s a significant impact to disaster services because of the need to haul away construction debris.

Critical Infrastructure and Key Resources (CIKR)

You must consider how each hazard could affect the critical infrastructure and key resources in your community. Remember, critical facilities are those that are necessary for the health and welfare of the population of your community. By including essential facilities, transportation systems, lifeline systems, high potential loss facilities, and hazardous material facilities as part of your community exposure profile, you can plan appropriate response and recovery actions to be implemented following a hazard and estimate resources needed.

Lifelines and infrastructure that should be considered include roads/streets, highways, services, potable water, and electrical systems. Keep in mind that damage to any of these systems could have severe detrimental effects to the community as a whole and to public works’ ability to provide routine services. For example a damaged bridge may prevent sanitation workers from accessing their routes to continue daily collection of household solid waste. Additionally, medical services, law enforcement, and firefighters may be unable to get to the people and places where they’re needed most.

Be sure to keep current information about critical facilities. Having a database of this information available will be useful when allocating resources following a hazard. You should have a list of the name and location of all critical facilities in your community. Other information kept on file should include the location of each facility (including GPS and/or National Grid System coordinates), contact information, and a note about any special response equipment that may be needed for that facility, especially related to the storage of any hazardous material.

This assessment of critical infrastructure and key resources will help you determine priorities for allocating resources or activation of additional resources so infrastructure can be restored quickly after a hazard event. It will also help you determine potential costs for responding to and recovering from the hazard event, as well as to identify mitigation opportunities.

Buildings

Determine what types of building (e.g., residential, commercial, and/or government) will be impacted by each hazard, and consider the implications. For example, if residential areas may be affected, the community may need more public shelters following a hazard event. Damaged commercial areas or government buildings may mean long-term economic or other impacts to the community.

Determine where volunteers and other personnel, such as those from state and federal agencies, will set up, and identify distribution centers and staging areas. Also be sure to establish an alternate Emergency Operations Center (EOC) in case it is damaged or inaccessible during or after an event, or in case your current facility may be too small to handle a large number of people during a serious event. 

Step 4: Estimate Losses

The fourth step in the hazard analysis process combines the information from the previous steps to determine an estimate of expected losses from hazards. For the hazards you identified earlier that are most likely to affect your community, you should analyze losses in terms of people, economic impacts, environmental impacts, buildings, building contents, and other important assets.

To analyze the losses, you will determine the extent of the damages and then calculate the loss from each hazard event. Be sure that you have the most current property values when you perform this estimation. When performing this analysis, consider actual damage as well as cascading effects.

Lesson Summary

In this lesson, you became familiar with the hazard analysis process. You reviewed some basic terms and learned the four common steps for conducting a hazard analysis.

Remember, evaluating risks and vulnerabilities, especially to critical infrastructure and key resources, is the fifth step in the emergency planning process. The hazard analysis process is conducted within this step to provide valuable information through the risk and vulnerability assessments.

As a member of public works, you play an integral role in helping ensure that all necessary information is collected.

Lesson Overview

In this lesson, you will learn about how to plan for each activity in the emergency management process as it relates to public works.

Upon completion of this lesson, you will be able to:

  • Define the purpose of a public works emergency plan.
  • Define the components of a public works emergency plan.
  • List common planning assumptions for a public works emergency plan.
  • Describe response activities that must be included in the emergency plan.
  • Describe recovery activities that must be included in the emergency plan.
  • Describe how risk and vulnerability assessment information can be used to identify mitigation opportunities.
Step 6: Determine Resource Needs and Plan for Their Management
When determining courses of action for responding to emergencies, the public works planning team identifies resources needed to accomplish tasks. This is the sixth step in the planning process. The object is to identify the resources needed to make the operation work without regard to resource availability. Then, once the planning team identifies all the requirements, they begin matching available resources to requirements. By tracking obligated resources and assignments, the planning team determines resource shortfalls and develops a list of needs that private suppliers or other jurisdictions might fill.
Identifying Resources

The resource base should also include a list of facilities vital to emergency operations, and the list should indicate how individual hazards might affect the facilities. Whenever possible, planners should match resources with other geographical/regional needs so that multiple demands for the same or similar resources can be identified and conflicts resolved (coordination of efforts).

This step provides planners an opportunity to identify resource shortfalls to pass to higher levels of government and to prepare pre-scripted resource requests, as appropriate. The emergency operations plan (EOP) should account for unsolvable resource shortfalls so they are not just “assumed away.” This includes identifying the need for outside resources, such as:

Click this link to access all of the information presented on this page in a new window.

Mutual Aid and Memorandum of Understanding (MOU)

Mutual aid agreements and Memoranda of Understanding (MOUs) are agreements between jurisdictions, organizations, or agencies to provide services, equipment, personnel, facilities, and/or supplies across boundaries in the event of an emergency or major disaster. The primary difference between the two is that a mutual aid agreement is reciprocal, while an MOU can be used to pledge assistance without mutual benefits.

The conditions of the agreement can be to provide reciprocal services or direct payment for services. The costs for these services may be eligible for reimbursement and should be coordinated with state and federal agencies. The employees of the entity providing supplemental assistance are considered as extra hires or contract labor; therefore, both regular and overtime labor are eligible.

The local community should consider both forms of agreements with nearby communities as well as those that are 100-200 miles away. During large events, neighboring communities may be affected in a similar way, so an agreement with a community some distance away will be beneficial to ensure availability of services or resources that are not in use already.

Mutual aid agreements need to be done ahead of time. This helps determine if activities are reimbursable or not, and ensures that resources are available when they're needed.

Contracting and the Private Sector

Local government officials, especially public works professionals, should have a thorough understanding of the capabilities available in the private sector and how they may assist the public works function in a disaster. They should encourage participation from the private sector and create partnerships or agreements to work together in the management of an incident or emergency.

The private sector should make their resources available and have working relationships with local government officials. They should train their employees in emergency response and recovery procedures and participate in training offered by the local government. The private sector should also be represented on local emergency management councils.

Some examples of services that can be provided by the private sector include:

  • Transportation
  • Technical expertise
  • Damage assessment
  • Heavy equipment operation
  • Debris management
  • Utility and infrastructure restoration
  • Facility repair and reconstruction
  • Contract monitoring
  • Inspection Services

State and Federal Resources

Planners should be familiar with different types of available state and federal resources and the processes for obtaining these.

For example, the state Department of Transportation might assist with highway and bridge reconstruction or provide estimates for construction projects. Federal resources could include the U.S. Army Corps of Engineers who might manage debris removal contracts.

Step 7 (Part 1): Develop the Plan

The next step in the planning process is to actually develop the plan. This step may be done simultaneously with determination and planning of resources. Keep in mind that the public works EOP should coordinate with the community-wide EOP and with other plans.

You can learn about creating a damage assessment plan in the IS-556 course, Damage Assessment for Public Works. You can also learn about creating a debris management plan and a recovery plan in the IS-558 course, Public Works and Disaster Recovery.

The Emergency Plan's Purpose
A public works emergency management plan is intended to be a guide to manage risk and offer guidance based on the nature and extent of an event or incident. It is not a script to be followed exactly in every event, but rather the starting point for organized operational activity. The plan identifies the emergency response policies, describes the response organization, and assigns roles and responsibilities for all emergency management activities related to an event.
Emergency Plan Components

Although there is no mandatory format, the recommended format (for the sake of compatibility with other jurisdictions and levels of government) for the community-wide or public works agency-specific plan includes the following components:

  • Roles and responsibilities of the command, lead, and support teams, the functional assignments and changing roles of the team members, as well as the administrative duties
  • Resources and their locations/staging areas (internal/external – including need for mutual aid, MOUs, contracts, state, and federal resources)
  • Inter-and intra-agency coordination
  • Operational priorities (life safety; restoration and reconstruction of lifelines, critical infrastructure, and key resources; and protection of the environment)
  • Communication capabilities (internal, other agencies, and with the public)
  • Safety procedures and Personal Protective Equipment (PPE)
  • Damage assessment plan
  • Debris management plan
  • Recovery plan
Determine Planning Assumptions

Planning assumptions should include information about public works pre-established priorities and the functions of the public works agency following a hazard event. There should also be information about resources and potential needs. The public works agency should plan to support the community-wide effort through participation in the Emergency Operations Center (EOC).

The planning assumptions define what was assumed to be true when the plan was developed. The assumptions statement shows the limits of the plan, limiting liability. It may be helpful to list even “obvious” assumptions, such as:

  • Identified hazards will occur.
  • Individuals and organizations are familiar with the EOP.
  • Individuals and organizations will execute their assigned responsibilities.
  • Assistance may be needed and, if so, will be available.
  • Executing the EOP will save lives and reduce damage.

The planning assumptions should be monitored and updated periodically. Changes in the community and agency will change the assumptions identified in the EOP.

Preparedness, Protection, and Prevention

Development of a plan falls under the preparedness, protection, and prevention functions of emergency management. These are continuous processes that are ongoing whether an event occurs or not.

Preparedness refers to actions taken to plan, organize, equip, train, and exercise to build and sustain capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from threats that pose the greatest risk.

Protection refers to capabilities necessary to secure critical infrastructure or key resources against acts of terrorism and all disasters.

Prevention refers to capabilities necessary to avoid, prevent, or stop a threatened or actual act of terrorism. Prevention involves actions taken to avoid an incident or intervene to stop an incident from occurring.

Plan Development Roles and Responsibilities

Identification of roles and responsibilities prior to an event is key to an effective response and recovery effort. First is the decision of command and control—determining the role of the public works function (i.e., command, lead or support). In many instances, such as natural disasters, public works will serve in a lead role. In other instances, such as a terrorist attack, public works may serve as support. Engineers, manpower, and equipment will provide support to the actions determined by public safety.

A documentation unit should be created in the public works agency and those assignments made prior to the event. There will be mountains of paperwork related to managing the event.

Assigned roles from the day-to-day to disaster roles may change significantly. As a result, pre-incident assignment and training for the changing roles is essential. All training and exercises should coordinate with other agencies and especially those with a public works function or a public works support function.

Considerations for Plan Development

In order for plan development to take place, the following statements must be true:

  • The planning team is in place and expectations are defined.
  • Situation analysis is complete and all hazards and vulnerabilities are identified.
  • The impact of all hazards to public works’ ability to respond, recover, and provide routine services has been evaluated.
  • Operational priorities have been identified.
  • Communication capabilities have been evaluated.
  • All available resources have been identified.
  • Major operational tasks have been identified.
  • Operational priorities are identified.
Planning for Response Activities

Remember, the response function of emergency management includes actions taken immediately following an event or incident to save lives, meet the service needs of the community, reduce the loss of personal or public property, and lessen the impact to infrastructure and the environment.

Response activities include damage assessment, based on current disaster information. They also include the identification of lifeline and infrastructure disruption. This consists of detection and isolation of disruptions, securing systems (water, sewer, electric, bridges, highways, etc.), securing facilities, and clearing streets.

Planning for Response Activities (Continued)

As a part of planning for response activities, your agency and community should consider the impact of hazard events on the resources of your community. This can include determining the need for building inspection services, establishing debris removal strategies and priorities, and identifying sanitation and environmental issues that your community may face. It might also involve the disposal of not only household waste, but of hazardous waste, as well as other waste that occurs as a result of damages.

This step is the time to establish operational priorities. You should establish coordination with other agencies, and, if necessary, initiate acquisition of outside resources. Be sure to consider technical support needs of these other agencies. Establishing a communications strategy will make this process go more smoothly.

In the interest of preserving life safety for citizens, public works employees will often be put in hazardous situations. They may have to enter affected areas where flood waters, debris, animals, or other dangers exist. It is critical to focus on employee safety, including the use of personal protective equipment (and training on its use), especially when public works assists with activities such as search and rescue.

Keep in mind that all response activities and costs should be documented. This information can be used to help your community develop a recovery plan.

Planning for Recovery Activities

Some response activity continues as the community begins to transition to recovery. Recovery activity includes operational and administrative action to return the community to as close as possible to the pre-event condition, “normal.” The transition should be seamless.

Recovery activity includes efforts to restore interrupted utilities or lifelines, reestablish transportation routes and access, clear debris, and restore facilities and services to critical customers. Some examples of critical customers are nursing homes, hospitals, schools, and airports.

Compare your response to the suggested answer below. When you are ready to proceed, click on the right arrow.

Sample Response

Your emergency plan should include the following components:

  • Roles and responsibilities of the command, lead, and support teams, the functional assignments and changing roles of the team members, as well as the administrative duties
  • Resources and their locations/staging areas (internal/external – including need for mutual aid, MOUs, contracts, state, and federal resources)
  • Inter- and intra-agency coordination
  • Operational priorities (life safety; restoration and reconstruction of lifelines, critical infrastructure, and key resources; and protection of the environment)
  • Communication capabilities (internal, other agencies, and with the public)
  • Safety procedures and Personal Protective Equipment (PPE)
  • Damage assessment plan
  • Debris management plan
  • Recovery plan
Public Works Recovery Activities

Two primary functions performed by public works during recovery are:

Some local agencies that work with or provide support to public works in the recovery process include police, fire, finance, emergency management, public information, geographic information systems (GIS), the business community, private utility agencies, Voluntary Organizations Active in Disaster (VOAD), and other nonprofit organizations. State and federal agencies also provide support to public works during this process.

Click this link to access all of the information presented on this page in a new window.

Restoration of Lifelines, Utilities, and Infrastructure

Restoration of lifelines such as utilities and other infrastructure by public works is important to the revitalization of the community. While much of this is reimbursable, it’s a very expensive part of recovery. The cost of lifeline disruption may exceed the damages themselves, as a result of economic impact, business interruption, and environmental clean-up.

Restoration of services in a major event is beyond the scope of resources on the local level. Public works should consider any and all options for mutual aid and contracting for services. Pre-arranged agreements and contracts will expedite the process, reduce the possibility of litigation, and likely cost less to accomplish.

Priorities should be identified in the risk and vulnerability assessments during preparedness planning and adjusted as damage assessment is completed. Generally, the priorities for restoration of services are:

  1. Critical need
  2. Economic or business
  3. Community

Debris Clearance, Removal, and Disposal

Debris management includes initial street clearance, removal, and disposal. In most cases, debris management is assigned to public works, but in some cases, the engineering function may be assigned this task.

Debris management is a challenge and a very expensive process in a major event. Pre-arranged agreements or contracts should be considered just as they are for infrastructure restoration because the local agency will be beyond its means in a major incident or disaster.

As part of the EOP, plans for effective debris management should be developed prior to an incident. Public works professionals should consider participating in FEMA’s E0202 Debris Management Course.

Disaster Recovery Planning Committee

When conducting community-wide planning, local government should consider establishing a Disaster Recovery Planning Committee. Working together, the committee would assist with the development of recovery plans for the local community. The committee would include representatives from local government, nonprofits, private utilities, and the business community. The public works agency will be a part of this committee.

The primary function of the committee is policy development. This policy includes guidelines for:

Click this link to access all of the information presented on this page in a new window.

Short-term Recovery

Short-term recovery activities are generally those actions initiated to assist citizens to return to their homes. Examples of short-term public works objectives include:

  • Complete damage assessment
  • Open roads and highways
  • Coordinate critical utility restoration
  • Support public information
  • Mitigate environmental issues
  • Support other agencies as needed

Long-term Recovery

Long-term recovery usually involves those activities taken to return the community to as near pre-disaster condition as possible. Additionally there is an effort to take advantage of opportunities to mitigate the impacts of future incidents or disasters. Long-term recovery activities can last many years.

Examples of long-term public works objectives include:

  • Remove and dispose of debris
  • Repair and restore facilities
  • Open all roads and highways
  • Assist with hazard mitigation
  • Support reconstruction efforts
  • Coordinate lifeline and infrastructure restoration
  • Support public information
  • Contribute to environmental preservation and/or restoration efforts
  • Contribute to historical preservation and/or restoration efforts
  • Support other agencies as needed
  • Identify mitigation opportunities
Recovery Task Force

In addition to the Disaster Recovery Planning Committee, local government should consider establishing a Recovery Task Force (RTF) or Long-Term Recovery Committee (LTRC). This is a smaller advisory committee whose members are the leaders of local government agencies, including public works, with the following objectives:

  • Coordination of recovery efforts
  • Recommendation of actions to restore normalcy
  • Assistance with the identification of mitigation opportunities
  • Identification of the recovery functions to be activated

Compare your response to the suggested answer below. When you are ready to proceed, click on the right arrow.

Sample Response

Response activities for your agency could include:

  • Safety
  • Identification of lifeline and infrastructure disruption
  • Impact of hazard events on the resources of your community
  • Identification of sanitation and environmental issues that your community may face
  • Establishment of operational priorities
  • Establishment of coordination with other agencies
  • Acquisition of outside resources

Recovery activities for your agency could include:

  • Removal and disposal of debris
  • Repair and restoration of facilities
  • Opening of all roads and highways
  • Assisting with hazard mitigation
  • Supporting reconstruction efforts
  • Coordination of lifeline and infrastructure restoration
  • Supporting Public Information
  • Contributing to environmental preservation and/or restoration efforts
  • Contributing to historical preservation and/or restoration efforts
  • Supporting other agencies as needed
Planning for Mitigation Activities
The idea of hazard mitigation is to make your community more disaster-resistant. This is aided by the public works support of all agency-wide mitigation activity. The mitigation planning process is continual and overlaps other functions of emergency management—especially during and after an event, as mitigation opportunities are more visible.
Public Works and Mitigation

A key area to consider during mitigation planning is vulnerability to critical infrastructure and key resources, such as the waste water treatment plant.

Areas to consider include:

  • Critical infrastructure and key resources
  • Service provision
  • Building safety/codes
  • Public awareness

Through effective mitigation planning, your community can reduce the loss of life and property, as well as the costs that could result from a hazard event. Mitigation planning results in a more prepared community.

Step 7 (Part 2): Gain Management Approval

Once all necessary components have been included in the plan, it should be sent to all team members and stakeholders for review. The team will then meet to discuss recommendations for improving the plan.

After the agreed-upon revisions are made, it must be approved by management before implementation.

Lesson Summary

In this lesson, you learned the purpose of a public works emergency plan and some common planning assumptions that you need to be aware of while developing your emergency plan.

You learned about planning for each activity in the emergency management process.

Keep in mind that an emergency plan is a living document, so updates will be required.

Lesson Overview

In this lesson, you will learn about the basic principles for implementing and maintaining a public works emergency plan.

Upon completion of this lesson, you will be able to:

  • Describe the importance of training and exercises.
  • Define types of training and exercises.
  • Explain how to conduct an After-Action Review.
  • Identify triggers for updating the public works emergency plan.
Step 8: Disseminate the Plan
After the internal review is complete and agreed-upon revisions are made, the plan is ready to distribute. As the final step in the planning process, the public works emergency plan is provided to the key players.
Plan Distribution

Key players to whom the public works plan should be distributed include:

  • The local emergency manager
  • Any outside utility agencies or other public works agencies
  • Local departments of health
  • Departments of transportation
  • Representative from the state emergency management agency

The public works emergency plan is often included as an appendix to the community-wide plan.

Remember, the plan should be tested using exercises identified during the planning process.

Importance of Training and Exercises

As you’ve learned, training and exercises conducted on a regular basis allow for clarification of the processes, procedures, roles, and responsibilities that will be required following a hazard. Training and exercise also help team members develop their individual performance while learning to work together as part of a multi-agency (and perhaps multi-jurisdictional) team.

It is imperative that public works is involved in community-wide activities and that they conduct their own agency-specific training opportunities as well. Incorporating the Incident Command System (ICS) and NIMS will help promote standardization and consistency which will help all agencies and organizations function well together.

Documenting all training activity allows public works officials and community-wide planners to use the feedback and observations gleaned during the training and exercises to identify strengths and areas for improvement to the program. This information can be used to find resource gaps and to improve the program. It also helps to consider expansions of systems and new infrastructure as part of the emergency plan.

All exercise activity should be evaluated for plan updates. In addition to practicing processes, procedures, roles, and responsibilities, training provides occasion for team building which enhances inter- and intra-agency coordination.

Click this link to access the information presented on this page in a new window.

Incident Command System (ICS)

The Incident Command System (ICS) is a standardized on-scene emergency management construct specifically designed to provide for the adoption of an integrated organizational structure that reflects the complexity and demands of single or multiple incidents, without being hindered by jurisdictional boundaries. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies and is applicable to small as well as large and complex incidents. ICS is used by various jurisdictions and functional agencies, both public and private, to organize field-level incident management operations.

Types of Training and Exercises

The public works agency can ensure that all parties are familiar with the plan through discussion-based and operation-based training and exercises.

The Homeland Security Exercise and Evaluation Program (HSEEP) provides a national standard for all exercises. It is a capabilities- and performance-based exercise program. For exercise design, development, conduct, evaluation and improvement planning, this program provides standardized policy, methodology, and terminology. In addition to the HSEEP exercise types, training may be conducted such as just-in-time briefings or annual refresher training.

Training and Exercise Types

Discussion-Based

Operations-Based

Click this link to access all of the information presented on this page in a new window.

Seminars

Seminars are discussion-based exercises designed to orient participants to new or updated plans, policies, or procedures in a structured training environment.

Workshops

Workshops are discussion-based exercises used as a means of developing specific products, such as a draft plan or policy.

Tabletop Exercises (TTX)

A tabletop exercise is a facilitated analysis of an emergency situation in an informal, stress-free environment. There is minimal attempt at simulation in a tabletop exercise. Equipment is not used, resources are not deployed, and time pressures are not introduced.

Tabletops are designed to elicit constructive discussion as participants examine and resolve problems based on existing operational plans and identify where those plans need to be refined. The success of the exercise is largely determined by group participation in the identification of problem areas.

Drills

A drill is a coordinated, supervised exercise activity, normally used to test a single specific operation or function. It can also be used to provide training with new equipment or to practice and maintain current skills. Its role in your exercise program is to practice and perfect one small part of your damage assessment program and help prepare for more extensive exercises, in which several functions will be coordinated and tested.

Functional Exercises (FE)

A functional exercise is a fully simulated interactive exercise that tests the capability of an organization to respond to a simulated event. It is similar to a full-scale exercise, but does not include equipment or deployment of actual field resources. It simulates an incident in the most realistic manner possible short of moving resources to an actual site. The exercise tests multiple functions of your damage assessment plan.

A functional exercise focuses on the coordination, integration, and interaction of an organization’s policies, procedures, roles, and responsibilities before, during, or after the simulated event. Functional exercises make it possible to examine and/or validate the coordination, command, and control between various multi-agency coordination centers without incurring the cost of a full-scale exercise. A functional exercise is a prerequisite to a full-scale exercise.

Full-Scale Exercises (FSE)

A full-scale exercise simulates a real event as closely as possible. It is multi-agency, multi-jurisdictional, multi-discipline exercise designed to evaluate the operational capability of emergency management systems in a highly stressful environment that simulates actual response conditions. To accomplish this realism, it requires the mobilization and actual movement of emergency personnel, equipment, and resources. Ideally, the full-scale exercise should test and evaluate most functions of your damage assessment plan on a regular basis.

Full-scale exercises are the ultimate in the testing of functions. Because these “trial by fire” exercises are expensive and time consuming, it is important that they be reserved for the highest priority hazards and functions.

Using Training and Exercises for Improvement

Two documents generated by the exercise team can be used for improvement, the after-action report (AAR) and the improvement plan (IP).

The AAR addresses opportunities for improvement of plans and procedures. It can also be used in the development of exercise scenarios. The AAR:

  • Reviews the event
  • Reviews public works event activity
  • Identifies success and failures
  • Identifies future training needs

The IP takes the observations and recommendations from the draft AAR and resolves them through the development of concrete corrective actions.

The planning team should not merely take these documents and file them away. Instead, after-action review meetings should be held with the team to go over the results. Remember not to place blame or point fingers. The focus of these meetings should be to celebrate successes and identify needs for improvement to the plan. This critical evaluation step leads to better preparedness of your program.

When to Update the Public Works Emergency Plan

Changes to the plan may be necessary, based on after-action review, and it may need other modifications from time to time, as new information becomes available, new infrastructure becomes a part of the community, new hazards are identified, mitigation efforts are completed, and lessons are learned. Therefore, it is important to establish procedures for maintaining the plan.

The public works agency should review and update the plan whenever changes occur to any of the following:

  • Resource inventory
  • Infrastructure inventory
  • Administrative practices
  • Available technology
  • Risk and vulnerability assessments

The emergency plan should be reviewed once per year at a minimum.

Lesson Summary

In this lesson, you learned about the basic principles for implementing and maintaining a public works emergency plan. Remember to review your public works emergency plan at least once a year and update it when new information becomes available, new infrastructure becomes a part of the community, and/or new hazards are identified.

Keep in mind that regular training and exercises are necessary for making sure that the emergency plan is functional and up-to-date, and to ensure that all stakeholders are familiar with the plan.

Following training and exercises, after-action reviews and improvement plans need to be completed and reviewed. That information can also be used to keep your public works emergency plan current.

Course Summary

Public works needs to be prepared to help the community face any disaster that may arise. An emergency plan is a necessary component of the public works agency’s preparedness efforts. Public works activities play a fundamental role in emergency planning, so it is important that the agency emergency plan be included as a part of the community-wide emergency plan.

By completing this course, you should be prepared to implement the steps for developing an emergency plan for your public works agency. Remember to use the information gained from risk and vulnerability assessments to help guide planning, and plan for each activity in the emergency management process.

Keep in mind that a plan on the shelf doesn’t do your agency any good unless it is practiced and maintained.

GLOSSARY

adversarial/human-caused hazards: Include technological hazards (caused by the tools, machines, and substances used in everyday life) and intentional acts (caused by people attacking or damaging what is valuable in a society). Examples include hazardous materials release, major computer system failures (e.g., 911 system), terrorist attacks, and riots.

after-action report (AAR): Completed following training and exercise, this document addresses opportunities for improvement of plans and procedures.

agency: A division of government with a specific function offering a particular kind of assistance. In the Incident Command System, agencies are defined either as jurisdictional (having statutory responsibility for incident management) or as assisting or cooperating (providing resources or other assistance). Governmental organizations are most often in charge of an incident, though in certain circumstances private-sector organizations may be included. Additionally, nongovernmental organizations may be included to provide support.

cascading emergencies: Series of incidents triggered by an event.

Command and Management: A component of the National Incident Management System (NIMS) designed to enable effective and efficient incident management and coordination by providing a flexible , standardized incident management structure.

Common Operating Picture: Offers an overview of an incident thereby providing incident information enabling the Incident Commander/Unified Command and any supporting agencies and organizations to make effective, consistent, and timely decisions.

communications: The process of transmission of information through verbal, written, or symbolic means.

community exposure profile: Process during which a list is created of which assets in a community could be affected by hazards that may occur.

critical infrastructure and key resources (CIKR): Components necessary for the health and welfare of the population of your community. Critical infrastructure includes public safety services, health care, utilities, transportation systems, lifelines, and facilities that, if impacted by a hazard event, could result in high potential loss or release of hazardous materials.

damage assessment: Process for determining the severity and magnitude of a hazard event on the public and private sectors of a community.

debris: Scattered remains of assets broken or destroyed in a hazard event. Debris caused by a wind or water hazard event can cause additional damage to other assets.

demobilize: To return an incident resource to its original location and status in an orderly, safe, and efficient manner.

disaster: Dangerous event that causes significant human and economic loss and demands a crisis response beyond the scope of any single agency or service, such as the fire or police department. Disasters are distinguished from emergencies by the greater level of response required. Disasters require resources beyond those available locally.

drill: A coordinated, supervised exercise activity, normally used to test a single specific operation or function.

emergency: Absent a Presidentially declared emergency, any incident(s), human-caused or natural, that requires responsive action to protect life or property. Under the Robert T. Stafford Disaster Relief and Emergency Assistance Act, an emergency is “any occasion or instance for which, in the determination of the President, Federal assistance is needed to supplement State and local efforts and capabilities to save lives and to protect property and public health and safety, or to lessen or avert the threat of a catastrophe in any part of the United States.”

Emergency Management: As subset of incident management, the coordination and integration of all activities necessary to build, sustain, and improve the capability to prepare for, protect against, respond to, recover from, or mitigate against threatened or actual natural disasters, acts of terrorism, or other manmade disasters.

Emergency Manager: The person who has the day-to-day responsibility for emergency management programs and activities. The role is one of coordinating all aspects of a jurisdiction's mitigation, preparedness, response, and recovery capabilities.

Emergency Operations Center (EOC): The physical location at which the coordination of information and resources to support incident management (on-scene operations) activities normally takes place. An EOC may be a temporary facility or may be located in a more central or permanently established facility, perhaps at a higher level of organization within a jurisdiction. EOCs may be organized by major functional disciplines (e.g., fire, law enforcement, medical services), by jurisdiction (e.g., Federal, State, regional, tribal, city, county), or by some combination thereof.

Emergency Operations Plan (EOP): An ongoing plan for responding to a wide variety of potential hazards.

evacuation: The organized, phased, and supervised withdrawal, dispersal, or removal of civilians from dangerous or potentially dangerous areas, and their reception and care in safe areas.

Federal Emergency Management Agency (FEMA): Independent agency created in 1978 to provide a single point of accountability for all federal activities related to disaster mitigation and emergency preparedness, response, and recovery.

first responders: Those individuals who, in the early stages of an incident, are responsible for the protection and preservation of life, property, evidence, and the environment, including emergency response providers as defined in section 2 of the Homeland Security Act of 2002 (6 U.S.C. 101), as well as emergency management, public health, clinical care, public works, and other skilled support personnel (such as equipment operators) that provide immediate support services during prevention, response, and recovery operations.

full-scale exercises (FSE): A multi-agency, multi-jurisdictional, multi-discipline exercise designed to evaluate the operational capability of emergency management systems in a highly stressful environment that simulates actual response conditions. To accomplish this realism, it requires the mobilization and actual movement of emergency personnel, equipment, and resources.

functional exercise (FE): A fully simulated interactive exercise that tests the capability of an organization to respond to a simulated event. It is similar to a full-scale exercise, but does not include equipment. It simulates an incident in the most realistic manner possible short of moving resources to an actual site.

fusion centers: Collection points for gathering, processing, and sharing information related to any type of criminal or terrorist threat. These centers are a collaborative effort between local, state, tribal, and federal governments as well as private sector partners.

Geographic Information Systems (GIS): The computer software application that relates physical features on the earth to a database to be used for mapping and analysis.

hazard: Something that is potentially dangerous or harmful, often the root cause of an unwanted outcome. Hazards may be categorized as natural or as adversarial/human-caused.

Hazard Analysis Process: Basic steps that need to be performed to effectively assess risks and vulnerabilities for the community. These steps include: identify hazards, profile hazards, inventory assets, and estimate losses.

hazard event: A specific occurrence of a particular type of hazard.

hazardous materials: Any type of material in various forms that might cause adverse health effects, serious injury, or death and/or cause damage to homes, structures, property, or the environment.

Hazards U.S. Multi Hazard (HAZUS-MH): GIS-based nationally standardized, loss estimation tool developed by FEMA.

Homeland Security Exercise and Evaluation Program (HSEEP): A capabilities- and performance-based exercise program that provides a national standard for all exercises. For exercise design, development, conduct, evaluation and improvement planning, this program provides standardized policy, methodology, and terminology.

improvement plan (IP): A plan that takes the observations and recommendations from the draft after-action report (AAR) and resolves them through the development of concrete corrective actions.

incident: An occurrence, natural or manmade, that requires a response to protect life or property. Incidents can, for example, include major disasters, emergencies, terrorist attacks, terrorist threats, civil unrest, wildland and urban fires, floods, hazardous materials spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical storms, tsunamis, war-related disasters, public health and medical emergencies, and other occurrences requiring an emergency response.

Incident Command System (ICS): A standardized on-scene emergency management construct specifically designed to provide for the adoption of an integrated organizational structure that reflects the complexity and demands of single or multiple incidents, without being hindered by jurisdictional boundaries. ICS is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure, designed to aid in the management of resources during incidents. It is used for all kinds of emergencies and is applicable to small as well as large and complex incidents. ICS is used by various jurisdictions and functional agencies, both public and private, to organize field-level incident management operations.

incident management: The broad spectrum of activities and organizations providing effective and efficient operations, coordination, and support applied at all levels of government, utilizing both governmental and nongovernmental resources to plan for, respond to, and recover from an incident, regardless of cause, size, or complexity.

information management: The collection, organization, and control over the structure, processing, and delivery of information from one or more sources and distribution to one or more audiences who have a stake in that information.

infrastructure: Public services of a community that have a direct impact on the quality of life. Infrastructure includes communication technology such as phone lines or Internet access, vital services such as public water supplies and sewer treatment facilities, and includes an area’s transportation system such as airports, heliports, highways, bridges, tunnels, roadbeds, overpasses, railways, bridges, rail yards, depots; and waterways, canals, locks, seaports, ferries, harbors, drydocks, piers, and regional dams.

interoperability: Ability of systems, personnel, and equipment to provide and receive functionality, data, information and/or services to and from other systems, personnel, and equipment, between both public and private agencies, departments, and other organizations, in a manner enabling them to operate effectively together. Allows emergency management/response personnel and their affiliated organizations to communicate within and across agencies and jurisdictions via voice, data, or video-on-demand, in real time, when needed, and when authorized.

jurisdiction: Range or sphere of authority. Public agencies have jurisdiction at an incident related to their legal responsibilities and authority. Jurisdictional authority at an incident can be political or geographical (e.g., city, county, tribal, State, or Federal boundary lines) or functional (e.g., law enforcement, public health).

lifelines: Systems that provide for health and safety such as water, sewer, and electric.

magnitude: Measure of the strength of a hazard event. The magnitude of a given hazard is usually determined using technical measures specific to the hazard.

Memorandum of Understanding (MOU): Written agreement between departments/agencies that require specific goods or services to be furnished or tasks to be accomplished by one agency in support of the other.

mitigation: Activities designed to lessen the impact of disasters to reduce loss of life and property.

mobilize: To activate, assemble, and transport all resources that have been requested to respond to or support an incident.

mutual aid agreement: A written agreement between agencies and/or jurisdictions to assist one another upon request, by furnishing personnel, equipment, and/or expertise in a specified manner.

National Grid System: An alphanumeric reference system used for consistent and user-friendly spatial referencing, mapping, and reporting.

National Incident Management System (NIMS): A systematic, proactive approach guiding government agencies at all levels, the private sector, and nongovernmental organizations to work seamlessly to prepare for, prevent, 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 or property and harm to the environment.

National Integration Center (NIC): Publishes the standards, guidelines, and compliance protocols for determining whether a Federal, State, tribal, or local government has implemented NIMS. Manages publication and collaboratively, with other departments and agencies, develops standards, guidelines, compliance procedures, and protocols for all aspects of NIMS.

operational priorities: Activities involving areas such as life safety, restoration and reconstruction of critical infrastructure and key resources, and protection of the environment.

preparedness: Actions taken to plan, organize, equip, train, and exercise to build and sustain the capabilities necessary to prevent, protect against, mitigate the effects of, respond to, and recover from those threats that pose the greatest risk to the security of your community. Preparedness is a continuous process.

private sector: Organizations and entities that are not part of any governmental structure. The private sector includes for-profit and not-for-profit organizations, formal and informal structures, commerce, and industry.

protocol: A set of established guidelines for actions (which may be designated by individuals, teams, functions, or capabilities) under various specified conditions.

public information: Processes, procedures, and systems for communicating timely, accurate, and accessible information on an incident's cause, size, and current situation; resources committed; and other matters of general interest to the public, responders, and additional stakeholders (both directly affected and indirectly affected).

public works: Organizations and individuals who make up the public/private infrastructure for the construction and management of administration, technical, supervision, and craft roles including: Environmental Services (Water Quality); Solid Waste; Animal Services; Water Treatment; Public Buildings and Parks; Telecommunications; Electric Districts; Digital Cable, Engineering, and Equipment Services.

recovery: The development, coordination, and execution of service- and site-restoration plans; the reconstitution of government operations and services; individual, private-sector, nongovernmental, and public assistance programs to provide housing and to promote restoration; long-term care and treatment of affected persons; additional measures for social, political, environmental, and economic restoration; evaluation of the incident to identify lessons learned; post-incident reporting; and development of initiatives to mitigate the effects of future incidents.

redundancy: The duplication of important components within equipment, infrastructure, or systems intended as a backup to improve reliability.

resources: Personnel and major items of equipment, supplies, and facilities available or potentially available for assignment to incident operations and for which status is maintained. Resources are described by kind and type and may be used in operational support or supervisory capacities at an incident or at an Emergency Operations Center

resource management: Efficient emergency management and incident response require a system for identifying available resources at all jurisdictional levels to enable timely and unimpeded access to resources needed to prepare for, respond to, or recover from an incident. Resource management under NIMS includes mutual aid and assistance agreements; the use of special Federal, State, tribal, and local teams; and resource mobilization protocols.

response: Capabilities necessary to save lives, protect property and the environment, and meet basic human needs after an incident has occurred

risk: The possibility of loss or injury. More specifically, it is an estimated impact that a hazard would have on people, services, facilities, and structures in a community. It is the likelihood of a hazard event resulting in an adverse condition that causes injury or damage.

risk assessment: Process of identifying and characterizing all hazards that are likely to occur in your community. Risk assessment answers the question, “What could happen to adversely impact the community?”

scalability: The ability of a system, such as communications and information management, to successfully adapt to larger situations with increased demands and complexity.

seminars: Discussion-based exercises designed to orient participants to new or updated plans, policies, or procedures in a structured training environment.

severity: Measure of the seriousness of the effects of a disaster.

stakeholders: Individuals or groups that will be affected in any way by an action or policy including businesses, private organizations, and citizens. They can provide input into the development, review, and implementation of the damage assessment plan, based on their participation in all aspects of a disaster.

supporting technologies: Any technology that may be used to support NIMS. These technologies include orthophoto mapping, remote automatic weather stations, infrared technology, and communications.

tabletop exercise (TTX): Activity that facilitates analysis of an emergency situation in an informal, stress-free environment

vulnerability: Description of how exposed or susceptible to damage an asset is. Vulnerability depends on an asset’s construction, contents, and the economic value of its functions.

workshops: Discussion-based exercises used as a means of developing specific products, such as a draft plan or policy.

TOOLKIT
Emergency Management for Public Works Toolkit