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RRT Best Practices Manual (2016) - RRT Best Practices Manual (2016) - Planning & PreparednessPlanning & Preparedness Incident Command System

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Chapter 7. Incident Command System Concepts in RRTsTable of ContentsI. PURPOSE.............................................................................................................................8-1II. SCOPE...........................................................................................................................9-1III. RESPONSIBILITY..........................................................................................................10-2IV. DEFINITIONS...........................................................................................................11-2V. BACKGROUND.............................................................................................................12-2VI. SAFETY....................................................................................................................13-4VII. EQUIPMENT/MATERIALS.........................................................................................14-5VIII. PROCESS DESCRIPTION............................................................................................15-6

1. Preparedness......................................................................................................................16-62. Proposed RRT Unified ICS Structure and Flow.....................................................................17-6

IX. DESIRED OUTCOMES AND PROCESS OVERVIEW......................................................18-91. Incident Command System (ICS) Achievement Levels:.........................................................19-92. Process Overview for Implementing ICS Best Practices:.......................................................20-9

X. RELATED DOCUMENTS..............................................................................................21-10XI. REFERENCES AND OTHER RESOURCES...................................................................22-11XII. ATTACHMENTS/WORKSHEETS...............................................................................23-11XIII. HISTORY................................................................................................................24-11ATTACHMENT A-1– PROPOSED RRT UNIFIED ICS STRUCTURE AND FLOW.........................................25-13ATTACHMENT A-2– PROPOSED RRT INTERGRATED ICS STRUCTURE AND FLOW.................................26-14Attachment B- Examples of Delegation of Authority..............................................................27-15

I. PURPOSEThis chapter defines RRT Best Practices in forming unified federal-state incident management structures using the Incident Command System (ICS). Implementation of these practices facilitates improved interagency communication, coordination, and documentation of response activities. This may also serve as an important element of federal and state emergency response plans.

II. SCOPE

ICS is a modular management system that can support the emergency response needs of a single organization or multiple organizations working under a unified (i.e., shared) command. ICS is a component of The National Incident Management System (NIMS), which is the management system, mandated for all emergency response agencies throughout the United States (US).

This chapter outlines factors for states and FDA districts to consider when implementing ICS principles identified in general ICS classroom training (see Related Documents, below). This chapter also identifies how ICS forms (e.g., ICS 209 for situational reports)


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are useful for identifying strategies and providing updates to agency leadership during incident responses.

This chapter complements but does not replace the detailed guidance provided by the National Response Framework (NRF) for “all-hazards” response. This chapter also does not supplant ICS resources developed by the Federal Emergency Management Agency (FEMA). Moreover, it is recommended this chapter is used in conjunction with ICS classroom training and/or ICS-related response experience (see Chapter 8 of BPM for more information regarding response team training).

The best practices described in this chapter identify key areas and elements of ICS, but are neither comprehensive nor specific to unique situations. State, local, and federal agencies seeking to improve multi-agency food emergency responses (e.g., states, FDA field offices) may utilize this chapter to assess and improve their response capabilities. Agencies with varying responsibilities (e.g., regulatory, public health, feed/animal health, law enforcement) and target response capability levels may differ in how they customize and apply these best practices.

III. RESPONSIBILITY1. RRT (or investigatory team, in states without an RRT) Leadership

RRT Leadership (state and district) is responsible for working cooperatively with other agencies to effectively institute ICS concepts for the command, control, and coordination of responses. Leadership commitment to and implementation of these concepts is critical for effective implementation of a Unified Command Structure. RRT leadership is also responsible for ensuring that internally, participating team members are properly trained prior to a response.

2. RRT Members RRT Members are responsible for ensuring that they are: a) familiar with the concepts, forms, policies, and Standard Operating Procedures (SOPs) for implementing ICS; and b) can fulfill their assigned roles in an ICS structure.

IV. DEFINITIONS Internet link for a glossary of ICS terms and definitions, including definition of ICS command and general staff roles and responsibilities:

https://training.fema.gov/emiweb/is/icsresource/glossary.htm

See BPM “Glossary of Key Terms” for additional definitions.

V. BACKGROUND

https://training.fema.gov/emiweb/is/icsresource/glossary.htm


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The food supply is a highly complex and interconnected system. Incidents that arise in the agricultural and food sector that may require management through unified command can be distinguished by at least one of the following characteristics:

Jurisdiction - Incidents routinely involve agencies of multiple jurisdictions (e.g., federal, state, local).

Geography - Incidents are widely dispersed geographically. Duration - Incidents routinely involve multiple operational periods. Balance with routine work - Within smaller incidents, responders continue to

perform at least some of their day-to-day responsibilities.

Personnel responding to food and feed incidents jurisdictionally, geographically, or over multiple operational periods obtain valuable experience that can be utilized to improve response strategies for future food and feed incidents. In these events, participating organizations are often required to shift resources to adequately respond; unified command may be utilized to help ensure availability of adequate resources for respond to the incident. The participating organizations typically are able to continue their legally required services and respond to smaller, lesser complex food and feed incidents.

Table 1: Incident Typing Examples and Potential Triggers (Food and Feed emergency responses). This table uses a progressive investigation to help identify escalation triggers and response activities between agencies.


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VI. SAFETY

Life safety is the primary objective during any incident response. Food and feed related incidents can pose a number of potential threats to response personnel including biological, chemical, and potentially physical threats, even to those accustomed to food/feed environments. The ultimate responsibility for the safe conduct of incident management operations rests with the Incident Commander and Safety Officer (SO).

The Safety Officer (SO) is also responsible for the set of systems and procedures necessary to ensure all on-going safety efforts. For example, the Safety Officer might work with the FDA district office to determine any safety alerts or issues related to a firm that might be inspected. The SO has authority to stop and/or prevent unsafe acts


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during incident operations, and may coordinate and execute “just-in-time” safety training as necessary for specific hazards identified for a particular incident.

VII. EQUIPMENT/MATERIALS

Personnel, equipment and materials under a command structure are often referred to as resources. Resources can be specific teams, items, or a single person (i.e. Subject Matter Expert). During an incident, RRTs will need to be able to quickly identify personnel resources that may serve on an Incident Management Team (IMT). Although resources for each State and FDA District Office RRT will vary based on food/feed industry type and incident type, size, and complexity, it is recommended the following types of resources be discussed and acquired as part of a response teams preparedness measures before an incident occurs:

• A team roster with position “back-ups” if possible• A pre-filled Delegation of Authority citing specific expectations, authorities, and the charge of the team (see attachment B for example templates)• Personal protective equipment (PPE)•Sample collection supplies•Previously agreed upon forms (hardcopy and digital) (i.e., Inspection Forms, ICS Forms, Standard Operation Procedures) (See Section X. Related Documents, for links to ICS Forms) •Incident Management Handbooks and other Incident Management reference materials (i.e., FDA’s Incident Management Handbook (see Related Documents section within this chapter), FEMA’s Field Operations Guide, U.S. Coast Guard Incident management Handbook)•Predetermined, redundant communications (i.e., team contact info, audio conference lines, video-conference lines, web-conference accounts, data sharing sites such as FoodShield)•Base of Operations (i.e. Physical or Virtual Incident Command Post)

Maintaining a roster that specifies each ICS position with a listing of all RRT members that are capable of filling each role is ideal as a preparedness-measure. This list can also be used to help ensure that each agency has depth for each position, current contact information, and properly documented training. RRTs should have a method for requesting and notifying personnel of participation in an ICS response.

Documentation is a critical aspect of any response, especially an ICS response. Therefore, it is crucial that the RRT initially agrees on the set of forms and references that will be utilized during an incident to create the Incident Action Plan and appropriately document the response (see Chapter 4 in FDA IMH in Related Documents section within this chapter).


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Hard-copy references and electronic forms should be provided to RRT members for use in exercises and responses, and to enable preparation of unified reports during incident responses.

VIII. PROCESS DESCRIPTION

1. Preparedness

It is recommended each member of the RRT completes ICS training prior to participating in an actual response. Active roles in the IMT will be determined based on each member’s level of training and experience. FEMA courses are recommended to help establish an educational foundation in ICS for individuals on the response roster who will serve within the command and general staff positions:

http://training.fema.gov/is/nims.aspx

Note: Several variations of ICS classroom training are also available and strongly recommended, for example:

ICS 300 - Intermediate ICS for Expanding IncidentsICS 400 - Advanced ICS: Command and General Staff – Complex Incidents

Note: see Chapter 8 BPM for more information regarding response team training.

2. Proposed RRT Unified ICS Structure and Flow

During an ICS response, the agency with direct responsibility for any current or subsequent regulatory action, must have direct participation in the decision making process for any information and evidence that will be collected as part of the team’s response objectives. Entities within a state without direct tactical field responsibilities (i.e. epidemiology, laboratories, etc.) can occupy specific sections in either the Command or General Staff of the ICS structure (e.g. epidemiology or laboratory personnel could serve as part of an Technical Specialist under the Operations or Planning Sections or engage by communicating directly with the Liaison Officer within the Command Staff). Incident communications during an ICS response are dependent on the back and forth flow of information among all the Command and General Staff (or those under Unified Command) members.

http://training.fema.gov/is/nims.aspx


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When responding jointly with the FDA, IMT members must be FDA commissioned or operating under an active 20.88 agreement so information collected by FDA can be freely shared and discussed among all responders in the IMT (see Reference Section within this chapter or WWOA Section XX for more information on information sharing agreements*** Placeholder for OP***).

A formal written Delegation of Authority template should be part of any RRTs preparedness goals and/or activation process (see Attachment B). Ideally, the Delegation of Authority, should reference:

The lead agency (or agencies if “unified”) involved Incident Commander (or Commanders, if unified) Incident timeframe Response priorities per agency leadership Resources assigned/committed Financial allotments per operational period Signature and date of authorizing official(s)

RRTs have found that when an incident escalates to involve more than one agency, it is best to develop a unified command structure. The diagram in Attachment A (Proposed RRT Unified ICS Structure and Flow) is a functional, generic template of a unified command structure that can be used for various types of multi-agency response and coordination. In this model, incident information continually flows up and down the structure. Additional information-sharing (e.g., investigational, laboratory) is expected at all levels within the ICS chain (e.g., laboratories communicating to ensure the same methods/worksheetsare being utilized).

Although examples structures are shown in Attachment A, the use and exact structure of ICS will ultimately be the decision of the RRT state agency or agencies and the cooperating FDA district office.

This proposed structure can be developed into the following two uniquely different models during a response, depending on the needs of the agencies involved:

1. Use of a unified command structure (Attachment A-1) allows for the preservation of each regulatory entity’s jurisdiction and independence.

2. Use of an integrated command structure (Attachment A-2), in which the agency providing the majority of resources or with lead jurisdictional authority staffs the Section Chief positions while the other agency provides deputies to ensure their responsibilities are fulfilled.


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It is important to emphasize that, within the incident command structure, roles can be occupied by any qualified individual regardless of the day-to-day title (e.g., a Branch Director under ICS is not necessarily equal to a branch director within a regulatory agency). Each agency is responsible for ensuring that personnel designated to staff positions (e.g., Section Chief) in the ICS structure are qualified (i.e., properly trained) to fulfill those responsibilities.

The ICS basic command structure will coordinate the response and should expand or contract as determined by the size and complexity of the incident and the availability of resources. Effective communication throughout this response framework is necessary for an effective response. Post response evaluations ‐(e.g., After Action Reports) frequently identify interagency and interpersonal communication challenges as a cause of inefficiencies in the actual response.

The central role of communication in emergency response necessitates a pre‐established plan to optimize use of operational resources. For example, building briefings and planning meetings into the ICS structured response through the “Planning P” (depicted below) establishes a foundation for regular communication.


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Execution of this model provides a coordinated, cohesive approach to communications during a response to an incident.

Incident Action Plans (IAPs) and Other ICS Forms

An IAP is a collection of forms that the IMT completes during the planning process (see Chapter 4 in FDA IMH in Related Documents section within this chapter) to communicate the work objectives and tactics for each operational period. A new IAP is generated prior to each operational period for the duration of the incident.

A typical IAP includes ICS forms 202, 203, 204, 205, and 206 and additional supporting documents as such as detailed maps of the incident area, weather forecast, etc. (See the Related Documents section for a link to any pertinent ICS Forms). It is important to emphasize that an IAP is dynamic, so the forms necessary and amount of information included may vary throughout an incident as the scope changes and between incidents. In addition to the IAP forms, the IMT may also use other ICS forms such as 215 (Operational Planning) and 215A (Incident Safety Analysis), to support decision-making and record-keeping of incident related events, and Form 209 (Incident Status Summary), to share updates among agency administrators.

RRTs should use the references, forms, and templates as previously agreed upon, to appropriately document the incident response and create the IAP.

The ICS forms listed in the Related Documents section are solely for reference within this chapter. Prior to the incident as well as during a response, a digital and dynamic IAP should always be used to provide computerized record entry and storage.

RRTs should jointly participate in an after action review and create an After Action Report once the incident response comes to a close. More information can be found in the After Action Chapter of the BPM.

IX. DESIRED OUTCOMES AND PROCESS OVERVIEW

1. Incident Command System (ICS) Achievement Levels:The Achievement Levels below identify tiers of target outcomes for implementing ICS in an RRT. See the introduction of the RRT Best Practices Manual (BPM for an overview of how to apply these Achievement Levels.

The ICS structure outlined in this chapter represents a best practice. This involves fully trained personnel staffing each of the positions within an incident management team (i.e., incident commander with command and general staff) and effective communication among jurisdictions operating under one incident action plan (IAP).


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2. Process Overview for Implementing ICS Best Practices:

Steps Level1. Identify individuals within an agency/department that will occupy a position on, or provide support to, an incident management team.

1 - Novice- Responders identified and initial FEMA training completed.

2. Take FEMA’s ICS 100, 200, 700 and 800 online.3. State and federal partners should take ICS 300 and 400 as face-to-face courses together when possible.

4. Exercise (discussion, workshop, or tabletop format) an incident with trained staff.

2 - Intermediate- Use of ICS in response is exercised and after-action reports completed.

5. Conduct an after-action report to identify strengths and weaknesses and assign a corrective action report.6. Enhance training of incident management team command and general staff with FEMA’s position-specific courses.7. Conduct an exercise (e.g. functional, full-scale) , or actual response with fully trained Federal/State incident management team to generate an IAP.1

3 - Advanced- More advanced/complex exercises, training, and responses completed.

8. Conduct an after-action report to identify strengths and weaknesses and assign a corrective action report.9. Enhance training of incident management teams with FEMA’s course for the development of incident management teams/position-specific training.10. Seek additional position-specific shadowing opportunities on major incidents.

X. RELATED DOCUMENTS

As a preparedness measure, it is important for RRTs to have mutually agreed on which references and documents each team will utilize during an emergency response. This should be determined prior to an actual emergency situation, e.g. as part of a table top exercise or strategy meeting. Below are both FEMA and FDA links for dynamic ICS forms for use in creating an Incident Action Plan (IAP):

1 RRTs are encouraged to implement an ICS/NIMS exercise strategy/policy, such as conducting a minimum of one exercise per year in the absence of a RRT activation (under ICS/NIMS and Unified Command and involving an after action review).


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Federal Emergency Management Agency Incident Command System documents http://www.training.fema.gov/emiweb/is/icsresource/icsforms.htm for fillable Microsoft (MS) Word forms from FEMA).

http://www.fda.gov/EmergencyPreparedness/NIMS/ucm268797.htm for MS Word and Adobe PDF forms from FDA

FDA’s Incident Management Handbook: https://www.foodshield.org/member/workgroups/docs.cfm?dir=1087(FoodSHIELD pathway: RRT Program Workgroup; folder: examples and sharing, subfolder: ICS)

XI. REFERENCES AND OTHER RESOURCES

Homeland Security Presidential Directive (HSPD) 5: http://www.dhs.gov/publication/homeland-security-presidential-directive-5

Presidential Policy Directive (PPD) 8: http://www.dhs.gov/presidential-policy-directive-8-national-preparedness

ICS Review Materials: ICS History and Features:https://training.fema.gov/emiweb/is/icsresource/assets/reviewmaterials.pdf

FDA Commissioning and Credentialinghttp://www.fda.gov/forfederalstateandlocalofficials/communicationbetweenfdastatelocalandtribalofficials/commissioning/default.htm

FDA Information Sharing and the 20.88 Agreementhttp://www.fda.gov/ForFederalStateandLocalOfficials/CommunicationbetweenFDAStateLocalandTribalOfficials/ucm425176.htm

XII. ATTACHMENTS/WORKSHEETS

XII.1. Attachment A (1-2) – Proposed RRT Unified ICS Structure and FlowXII.2. Attachment B (1-4)- Examples of Delegation of Authority

http://www.fda.gov/ForFederalStateandLocalOfficials/CommunicationbetweenFDAStateLocalandTribalOfficials/ucm425176.htm

http://www.fda.gov/ForFederalStateandLocalOfficials/CommunicationbetweenFDAStateLocalandTribalOfficials/ucm425176.htm

http://www.fda.gov/forfederalstateandlocalofficials/communicationbetweenfdastatelocalandtribalofficials/commissioning/default.htm

http://www.fda.gov/forfederalstateandlocalofficials/communicationbetweenfdastatelocalandtribalofficials/commissioning/default.htm

https://training.fema.gov/emiweb/is/icsresource/assets/reviewmaterials.pdf

http://www.dhs.gov/presidential-policy-directive-8-national-preparedness

http://www.dhs.gov/publication/homeland-security-presidential-directive-5

https://www.foodshield.org/member/workgroups/docs.cfm?dir=1087

http://www.fda.gov/EmergencyPreparedness/NIMS/ucm268797.htm

http://www.training.fema.gov/emiweb/is/icsresource/icsforms.htm


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XIII. HISTORY

Version # Status* Date Author

1.0 I 9/26/2011RRT ICS WG

(New England District**, MI(**), MA, Florida District)

1.1 R 2/1/2012 ORA/OP1.2 R 1/24/13 ORA/OP

1.3 R 5/14/16RRT ICS Ch. Revision WG

(MI, TX, WA, BLT-DO, DAL-DO, DET-DO, SEA-DO, FDA CORE, CVM, MD**, NER**)

*Status Options: Draft (D), Initial (I), Revision (R), or Cancel (C)**Workgroup Lead

Change History

1.1 – Editorial revisions made by ORA for document clearance.1.2 – Revision to achievement levels for clarification purposes based on RRT

recommendations.1.3 – Revisions to the chapter based on recommendations from the RRT ICS

Chapter Revision Workgroup (January-May, 2015)


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Attachment A-1– Proposed RRT Unified ICS Structure and Flow


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Attachment A-2– Proposed RRT Intergrated ICS Structure and Flow


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Attachment B- Examples of Delegation of Authority

1. Iowa RRT


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2. Texas RRT:

All Hazards Emergency ResponseDelegation of Authority for ( Incident name )

_____( Name of Incident Commander )___________________ is assigned as an Incident Commander for the unified Command of (incident name). While the Incident Commander listed here has full authority to act, due to the nature of the Incident (Name), the EAB has assigned _( Name of Lead Incident Commander ) _____________ as the

lead Incident Commander. (Name of Incident Commander ) ____________ has full authority and responsibility for managing all incident management activities within the frame work of the law, agency policy, and direction. The primary responsibility of the Incident Commander is to organize and direct resources for efficient and effective management of the incident.Incident Commander(s) are accountable to the Agency Representatives for the agencies responding to the incident. The Incident Commander and Command staff will provide updates for each operational period to all Agency Representatives and EAB as listed on the Incident Specific TRRT Organizational Chart. Specific directions for management and environmental concerns follow:

Mission tasks:____________________________________________________________ _______________________________________________________________________________________________________________________

Resource limitations The IC shall conduct all operations in a cost effective and efficient manner. Specifically, the following shall apply to this incident:The IC has the authority to mobilize TRRT resources (mobilized and reserve) as specified below for each participating agency. Agency Specific Logistic Section Representatives will identify TRRT staff with appropriate skills through Agency supervisory channels and notify mobilized personnel:FDA # of personnel ____________DSHS # of personnel ___________


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OTSC # of personnel ___________The IC has the authority to request emergency supplies within the scope of the event such as lab supplies, sampling supplies, sampling gear, etc. The maximum amount of initial expenditures on supplies shall not exceed: FDA ___________DSHS ___________OTSC ___________The maximum number of initial laboratory samples is specified below. It is assumed that if a sample is reported positive a PFGE will be run:FDA (Food/Feed) ___________DSHS (Clinical)______________DSHS (Food)________________OTSC (Food/Feed) ___________

The IC has the authority to authorize travel of staff to response locations. When possible the logistics section should utilize staff in the area of the incident to control travel expenses. Approval for travel remains with the Agency. All travel orders for staff should be handled through the Agency specific Logistic Chiefs to ensure proper protocols are followed.If overtime is required for staff in order to meet the incident objectives, the IC must contact the Agency Representatives. Due to the differing travel and purchase requirements of each responding agency, a Logistics Chief (and if needed a Finance Chief) will be assigned from both federal and state level agencies.The IC must contact the Agency Representatives when the resource needs are beyond the initial TRRT resource limitations identified for the (incident name).Public Information ManagementA PIO will be established for each responding agency. The PIO conducts media relations and public information management according to Appendix C – Communications SOP. Expiration of delegation _______________________________________.

The Incident Commander shall take over management of the incident on or before _____________.The agency representative as shown below for Department of State Health Services (DSHS) will be available and the contact information will be maintained on ICS Form 204.

________________________________ Name Agency Representative________________________________Agency

________________________________


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Signature

_________________________________

Date

The Incident Commander shall take over management of the incident on or before _____________.

The agency representative as shown below for the Office of the Texas State Chemist (OTSC) will be available and the contact information will be maintained on ICS Form 204.

________________________________ Name Agency Representative

________________________________Agency

_________________________________Signature

_________________________________Date

The Incident Commander shall take over management of the incident on or before _____________.

The agency representative as shown below for the Food and Drug Administration (FDA) will be available and the contact information will be maintained on ICS Form 204. ________________________________ Name Agency Representative

________________________________Agency

_________________________________Signature

_________________________________Date


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3. Michigan RRT


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4. Washington RRT


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