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Emergency Planning
33.1 Introduction 33.2 Planning for Emergencies
Deciding to Plan for Emergencies Who Will Plan for Emergencies: The Team Determining the Current Status Approaches to Planning for Emergencies Purpose of the Emergency Plan: The Mission Mission-Critical Functions

33.3 Writing the Emergency Plan

Outlining the Emergency Plan Front Matter and Introduction Situation and Assumptions Concept of Operations Declaring a State of Emergency Emergency Management Communications Plan Maintenance and Training References Key Information Facility Annexes Hazard Annexes Other Annexes

33.4 The Emergency Operations Center (EOC) 33.5 Training and Maintenance of the Emergency Plan
Training Maintenance

Charles Scawthorn
Consulting Engineer Berkeley, CA

33.6 Summary: Developing an Emergency Plan Dening Terms References Further Reading Appendix A Appendix B

The plan is nothing. Planning is everything. Dwight David Eisenhower

33.1 Introduction
Earthquakes cannot be prevented, but the previous chapters have demonstrated that the potential for damage can be reduced or mitigated by strengthening of structures, bracing of equipment, and other measures. It is usually very difcult to eliminate the potential for all damage, so that some potential residual damage will always exist. Therefore, an organization should always have a plan for responding to some degree of damage and negative impacts due to an earthquake. Earthquake-specic plans are part of an organizations overall emergency plan. Most emergency plans have a far wider scope than earthquakes they also address res, explosions, transportation accidents, etc. In this chapter, we discuss the development and content of a general emergency plan, with occasional comments specic to earthquakes. Note that both public (whether a city government, water department, school district, etc.) and private

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Earthquake Engineering Handbook

entities should have an emergency plan, although these plans generally differ in some signicant ways, such as: A private entitys emergency plan is normally more narrowly focused on getting the business up and running. A governmental emergency plan normally has varying degrees of police powers, i.e., the ability to force people to do things. Because there are many parallels between public and private emergency plans, this chapter treats public and private entities together, referring in the broad sense to both entities as the organization, with occasional distinctions being made when appropriate. Furthermore, the discussion in this chapter does not attempt to address emergency planning for very large organizations, such as a multinational corporation or the federal government, or very small entities, such as a mom-and-pop store. Rather, this chapter is written with a mid-sized corporation or governmental agency in mind, such as an organization with several hundred to several thousand employees. An emergency is any event, usually sudden and without much, if any, warning, that can cause deaths or signicant injuries to employees, customers, or the public; or that can shut down an organizations functions or business, disrupt operations, cause physical or environmental damage, threaten its nancial standing or public image; or have other unwanted outcomes. Examples include any of the following, when they cannot be satisfactorily resolved by standard operating procedures (SOPs). Natural hazards: Earthquake, wildland re, ood or ash ood, hurricane, tornado, winter storm, etc. Technological hazards: Explosion, re, hazardous materials incident, communications failure, data loss, transportation accident, radiological accident, loss of key supplier or customer, etc. Man-made hazards: Product tampering, cyber attack, bombing, theft, sabotage, kidnapping, assault, civil disturbance, industrial espionage, etc. Emergency planning is a relatively young eld, having generally developed in the 1960s and 1970s out of the post-war civil defense function [DRC, n.d.], with many organizations not developing formal emergency plans until the 1980s or even 1990s. Terminology in the eld is relatively elastic, with the term emergency plan being variously synonymous with disaster plan, emergency operations plan, emergency response plan, emergency preparedness plan, emergency recovery plan, business continuity plan, contingency planning, etc. Each of these terms is used to narrowly distinguish plans with specic goals or that specically exclude certain aspects of a broader emergency plan. According to the Federal Emergency Management Agency [FEMA, 1996], while it depends to some extent on the organization and the situation, most emergency plans will be a document that: Strives to maintain continuity of functions that are fundamental to the organizations reason for being, through the duration of the emergency. Assigns responsibility to organizations and individuals for carrying out specic actions at projected times and places in an emergency that exceeds the capability or routine responsibility of any one department or agency. Sets forth lines of authority and organizational relationships, and shows how all actions will be coordinated. Describes how people and property will be protected in emergencies and disasters. Identies personnel, equipment, facilities, supplies, and other resources available, within the organization or by agreement with other organizations, for use during response and recovery operations. Identies steps to address mitigation concerns during response and recovery activities. If the emergency plan is a public document, it also cites its legal basis, objectives, and assumptions. An emergency plan is not any of the following:
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Emergency Planning


Safety plan: A plan by which normal day-to-day operations are performed safely, and consists of SOPs developed to allow safe operations, safety training, monitoring of accidents, etc. Business plan: A plan by which a company operates under normal circumstances, denes the companys mission, organization, products, strategy, nances, and operations under normal conditions. Administrative plan: A plan that describes policies and procedures basic to the support of a governmental endeavor, analogous to a private rms business plan. Mitigation plan: More typical of governmental agencies than of private sector companies, these typically consist of a policy statement and a series of steps designed to reduce a hazards damage potential. For example, a mitigation plan might consist of the decision to seismically retrot a set number of buildings each year. Preparedness plan: This plan covers maintaining existing emergency management capability in readiness, preventing emergency management capabilities from themselves falling victim to emergencies, and, if possible, augmenting the organizations emergency management capability. Recovery plan: This plan describes the process, responsibilities, resources, and other requirements for recovering from a disaster. Additionally, an emergency plan is not a collection of procedures [FEMA, 1996]. The basic criterion for what is in the plan is: What does the entire audience of the emergency plan need to know or have set out as a matter of public record? Information and how-to instructions needed only by an individual or smaller group can be left to SOPs, which may be annexed to the emergency plan or referenced as appropriate. Emergency management is the process of preparing for, mitigating, responding to, and recovering from an emergency. Emergency management is a dynamic process. Planning, though critical, is not the only component [FEMA, n.d.]. Training, conducting drills, testing equipment, and coordinating activities with the community are other important aspects of emergency management, which we will discuss next.

33.2 Planning for Emergencies

Emergency planning consists of the development of the plan. Actually, emergency planning begins with getting the organization to decide to plan for emergencies, i.e., prior to the actual development of an emergency plan, there may be a need to convince an organizations management that it needs an emergency plan.

33.2.1 Deciding to Plan for Emergencies

For governmental agencies, this preliminary step is becoming less of a problem, in that agencies are increasingly being required legally or administratively to have an emergency plan. To some extent, private companies are being required also to have an emergency plan, although this is not yet a common occurrence, except in certain industries. To be successful, an emergency plan requires the support of upper management. If it is necessary to present a case for developing an emergency plan, focusing on the positive aspects will be more likely to lead to management support. Reasons for developing an emergency plan include (we focus here on earthquake): Earthquakes are no longer acts of God. Their cause and likelihood in a general sense are well understood, and public and legal expectations are that a prudent person will take some reasonable precautions against an earthquake. If peer organizations have an earthquake emergency plan, your organization is remiss (and potentially liable) if it does not have one. The public sees a key function of government as protecting them against or helping them recover from sudden, unforeseen disasters such as earthquakes. For governmental agencies, the public
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Earthquake Engineering Handbook

expects elected leaders to take immediate appropriate action to deal with the problem. The government is expected to marshal its resources, channel the efforts of voluntary agencies and private enterprise in the community, and solicit assistance from outside of the jurisdiction, if necessary [FEMA, 1996]. Similarly, private companies have a moral responsibility to protect employees, the community, and the environment from processes and facilities within their purview. Whether a public or private organization, emergency response actions cannot be developed and properly executed in the confusion and stress immediately following an earthquake. To be effective, they must be planned, well thought out, and coordinated; responsibilities must be assigned; there must be adequate resources provided, and training to implement them. For industries such as banking, chemical, and nuclear, there are regulatory requirements of federal, state, and local agencies. An emergency plan enhances an organizations ability to recover from nancial losses, regulatory nes, loss of market share, damage to equipment or products, and business interruption [FEMA, n.d.]. An emergency plan reduces exposure to civil or criminal liability in the event of an incident. A good earthquake emergency plan enhances an organizations image and credibility with employees, customers, suppliers, and the community. An earthquake emergency plan can reduce insurance premiums.

Each of these arguments carries different weight, depending on the organization and the audience. One or several of them will often make a sufciently compelling case to at least begin determining the organizations current status with regard to having an emergency plan.

33.2.2 Who Will Plan for Emergencies: The Team

Once a decision has been made to develop an emergency plan, the next step is to form an emergency planning team. The team will consist of a core team and ancillary members. It is important to have senior management support for the planning effort and this should be achieved by having a member of senior management chair or sponsor the core team. The organizations chief executive ofcer (CEO), having made the decision to develop an emergency plan, must set the tone by authorizing planning and directing senior management to become involved. Identication of members of the core planning team is specic to each organization and also to the personalities of the people involved. Some are better attuned to the creative aspects of the planning process, and can be used in the initial research, in brainstorming sessions, and thereafter as reviewers. Others are better with organizational issues, and can perhaps bear the brunt of managing and performing the plan drafting, scheduling, and budgeting tasks. This personality aspect must be considered in forming the core team. Core team members can be drawn from departments or branches of the organization having missioncritical functions (see Section 33.2.6). The core team can consist of: Emergency planning sponsor: This is a member of senior management, reporting directly to the CEO, who lends knowledge and authority to the emergency planning effort. The sponsor does not make a major time commitment to the actual planning effort. Rather, the sponsor attends (most likely, chairs) key meetings of the core team, resolves questions, and assures that the core team has the cooperation of all groups in the organization and that it has the necessary resources to develop the plan. In a broad sense, the sponsor monitors progress and schedule, and is responsible to the CEO for the successful completion of the emergency plan, on schedule and within budget. Emergency planning manager: This is the member of management who actually leads the development of the emergency plan, reporting to the CEO through the sponsor. The manager has sufcient knowledge of the organization and of general planning efforts for development of the emergency plan. The manager makes a signicant time commitment and is quite involved in the
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Emergency Planning


TABLE 33.1 Example Core Team Composition

ABC Widget Manufacturing Company Vice president Facilities manager Purchasing managera Operations managera Sales managera Maintenance managera Risk manager Data/IT managera Eng. managera Personnel/HR managera Billing managera Accounting managera

Team Member/Function Sponsor Emergency planning manager Knows inputs Knows process Knows output/delivery Knows facilities Risk manager Other/ancillary members

Water Department Deputy department manager Operations manager Transmission managera Treatment plant managera Distribution managera Maintenance managera Risk manager Billing managera Water quality managera Eng. managera Personnel/HR managera Data/IT managera

School District Deputy district director Safety manager Transp. managera Instructional managera Nutrition managera Facilities managera Risk manager Personnel/HR managera Special education managera Data/IT managera School vice principalb PTA representative

a b

Most likely, a deputy or a member of the department. One from each school.

actual planning effort. Except for very large organizations, the development of the emergency plan is not a full-time effort, and the managers time commitment typically will range from 10 to 25% during development. The manager attends all meetings of the core team, chairing them in the sponsors absence, monitors and directs plan content, resolves questions, directs resources, and monitors progress and schedule. Through the sponsor, the manager is responsible for the successful completion of the emergency plan, on schedule and within budget. Candidates for emergency planning manager can be the managers of operations, safety, facilities, or planning. Other members of the core team usually include managers or their deputies drawn typically from the following key functions: operations, facilities, engineering, planning, human resources, and nance. Table 33.1 shows hypothetical examples of core team composition for a water department, a school district, and a private manufacturing company. The organizations legal counsel can be a resource but not necessarily a member of the planning team. In some organizations, the role of emergency plan manager is outsourced to a consultant; however, this is not recommended because the consultant probably will not be available during an emergency. Consultants may be used as members of the core team (facilitators) because they bring experience and expertise to the planning process. Note that a natural development is for the core team to evolve into the emergency management team, with the emergency planning manager becoming the organizations emergency manager. However, it should be recognized, and reected in the emergency plan, that the CEO makes all nal, critical decisions for the emergency management team in a real emergency. This is discussed in Section 33.3.4.

33.2.3 Determining the Current Status

Prior to developing an emergency plan, a key step is determining the organizations current status with regard to emergency preparedness and planning. Researching the current status must be the initial task for the core team. With regard to earthquakes, this research can involve several steps. Current Earthquake Risk Even a cursory examination by a lay person of an organizations locations and structures can be very revealing. Are any of the buildings in earthquake country? Reference to a U.S. Geological Survey (USGS) or a state geological survey can quickly determine whether the organization has a degree of earthquake risk. For example, Figure 33.1 shows a map of the United States with peak ground acceleration (PGA)

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Earthquake Engineering Handbook

values with 10% probability of exceedance in 50 years. If an organizations facilities lie within areas with PGA values of 3% of g or greater, then there is at least some degree of earthquake risk. Ground shaking is one aspect of earthquake risk; another is the vulnerability of an organizations buildings and equipment. These aspects are covered in detail in other chapters in this volume but a ready reference with ample illustrative photographs on the degree of seismic vulnerability for various kinds of buildings is FEMA 154 [2002]. Current Plans, Documents, and Requirements Does any part of the organization have other plans, such as safety plans, re and evacuation plans, security procedures, or insurance loss prevention reports, which may be useful to an emergency plan? Another issue is whether an emergency plan is required for the organization. If so, the specic requirements can be determined early in the planning process, so that the resulting emergency plan satises those requirements. Insurance After life safety, an important goal of any emergency plan is to reduce the potential economic loss. Insurance is another method of protecting against potential economic loss. Determining the degree to which an organizations insurance coverage protects it against potential economic loss indicates the urgency for an emergency plan. In the case of earthquakes, obtaining adequate insurance coverage is not always possible, and typically is expensive in high seismic hazard regions. Thus, it may be that the organization has little or no insurance for potential economic losses due to earthquake, in which case the need for an emergency plan is further validated. The more sophisticated insurance companies and brokers have extensive experience with earthquake risk and emergency planning, and may be able to assist the organization in its efforts.

33.2.4 Approaches to Planning for Emergencies

There are several approaches to developing an emergency plan, which may be characterized as either top-down or bottom-up. Both methods begin by identifying the critical functions of the organization. Top-down is an approach derived from and more often employed by operations, management, or business-oriented planners concerned with business continuity in a private enterprise. The basic approach is to diagram the organization into business units and functions, and to ask what happens if one of these units is lost? The approach does not normally focus on why or how the unit is lost, nor on loss of multiple units simultaneously. Rather, it focuses on how vital the function performed by the unit is, and the consequences associated with the loss of the unit. The typical outcome of the top-down approach is an identication of an organizations critically important units, a decision by management to protect against loss of these units, and implementation of measures responsive to that decision, e.g., developing redundant capability for the unit. Bottom-up is an approach derived from the natural hazards arena, and more often employed by technically oriented planners. The basic approach is to examine the universe of possible emergencies and to ask what happens if any of them occurs. The approach does not normally focus on units but on the likely physical effects of the causative agent, which much more often result in partial or temporary rather than total loss of a unit or function. The typical outcome of the bottom-up approach is an identication of critically important units, a decision by management to protect against loss of these units, and measures responsive to that decision. The measures derived from a bottom-up approach range from developing redundant capability for an entire unit to reducing the likelihood of loss of the unit, e.g., strengthening a building against earthquake. The top-down approach is more appealing to senior management, because their role is often continual examination of the value a unit brings to the organization. The bottom-up approach is more physically based, more intuitive for most people, and considers correlation of loss between units.

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Nov. 1996

180 100 80 60 40 30 25 20 15 10 9 8 7 6 5 4 3 2 1 0




FIGURE 33.1 Map of peak ground acceleration (PGA) with 10% probability of exceedance in 50 years. (From U.S. Geological Survey, available online at

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Earthquake Engineering Handbook

33.2.5 Purpose of the Emergency Plan: The Mission

Irrespective of the approach taken, a key issue for emergency planning is identifying the key functions the organization needs to maintain despite the emergency. Key functions derive from the organizations mission. The mission is the organizations reason for being. For example, the education of students is the mission of a school district; the delivery of good quality water in volume is the mission of a water district; and the making of prot via the manufacture of widgets is the mission of the ABC Widget Manufacturing Company. Mission statements are often somewhat more embroidered than these examples; usually the embroidery introduces additional values which should more properly be reserved for the organizations value statement, rather than its mission statement. Recognition and continual reexamination of an organizations mission is vital to its success.1 Most organizations believe they understand their mission. However, a mission all organizations have, which is often unstated (due to its being assumed), is the health and safety of employees and the public. This becomes a vitally important aspect of the organizations mission in an emergency. Within each organization, there are subgroups, each of which has one or more functions supportive of the organizations overall mission. For example, the mission of the water department is the delivery of good quality water in volume. Within that department, there is a water treatment plant whose function is the processing of raw water and production of good quality water but not the conveyance of that water. Conveyance of the water is the function of the transmission and distribution departments. Within the water treatment plant, there are various functions supportive of the function of the plant, such as the water quality laboratory, which assures water quality by monitoring and testing.2 Some of these functions are mission-critical, i.e., the organizations mission fails if that function is not performed. Thus, a key step in developing an emergency plan is identifying the mission-critical functions, which must be maintained despite the emergency. Identication of these mission-critical functions follows from the organizations mission statement and a high-level schematic of the organizations processes. Using a water department as an example, mission-critical functions can include: Continual supply of water from a source (e.g., the reservoir, groundwater wells) Transmission of the water to the water treatment plant Treatment of the water at the water treatment plant Distribution of the water from the water treatment plant to the customers

Note that mission-critical functions do not have to maintain their normal productivity during the emergency period; some reduction in water quality and quantity may be acceptable. Note also that other functions within the water department, such as payroll, maintenance, billing, and accounting, may be temporarily deferred during the emergency period (i.e., they are not mission-critical), and those human and other resources (e.g., vehicles, space) may be employed with other duties during the emergency period. For example, human resources peronnel can assist in recalling off-duty staff to deal with the emergency and assist overburdened staff in coping with stress, and public relations personnel can assure proper dissemination of urgent messages to the public, such as a boil water order. In summary, the purpose of the emergency plan is to assure continued fulllment of the organizations mission despite the emergency. A necessary step in developing an emergency plan is therefore to employ the organizations mission statement for dening the purpose of the emergency plan. Successful
Consider, for example, the great railroad companies of the early twentieth century, who thought their mission was to move people and goods by rail. In fact, their mission was to provide transportation, and when the airplane emerged as a viable transportation mode, the railroad companies did not understand that it was simply a technological development supportive of their mission. Rather, they thought aviation was a different business. 2 Clearly, one can argue that mission and function as dened here are interchangeable. However, there is a distinction: the mission is the reason for being of the organization, and should be accomplished whether various functions are performed or not.
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fulllment of the organizations mission requires assuring performance of mission-critical functions. A next necessary step is therefore to identify mission-critical functions.

33.2.6 Mission-Critical Functions

Identication of mission-critical functions is a complex process, requiring detailed knowledge of the organization, its normal operations, its inputs, and the needs of those the organization serves. The process is usually iterative, in that the operations of the organization are reviewed by the core team, and a preliminary list of mission-critical functions is identied, based on assumptions as to what emergencies can occur and what constitutes acceptable response to those emergencies. In the process of compiling this list, it is necessary to employ the expertise of various members of the organization, some of whom may become members of the core emergency planning team. As noted previously, a vitally important aspect of the organizations mission in an emergency is the health and safety of its employees and the public. Thus, certain mission-critical functions, which may exist only in an emergency and often must be accomplished with the highest priority, are: Communicating with and ascertaining the condition of all employees Communicating with and ascertaining the condition of key facilities Assuring the safe shut-down or operation (if needed) of hazardous processes Assuring the safe storage or handling of hazardous materials

The preliminary list of mission-critical functions can be reviewed with stakeholders and persons and organizations who are affected by the organizations performance, including management, parent organizations, employees, customers, suppliers, regulators, and representatives of the public. Using a water department as an example, stakeholders can include senior department management, the mayor and relevant council members, employees unions, business customers (e.g., a brewery or process industry), the re department and local hospitals (customers), the water wholesaler (e.g., U.S. Bureau of Reclamation), the state health board, the U.S. Environmental Protection Agency, and neighborhood associations. Consultation of stakeholders, especially for public agencies, is a very important issue. Stakeholders are not members of the core team, and most do not have a decision role in the formulation of the emergency plan; more typically, they are a source of data for the core team. However, because they are stakeholders, their participation must be carefully and respectfully solicited, and it must be recognized that they may have expectations as to feedback they will receive for their participation. Consultation of stakeholders can be accomplished via one-on-one interviews or in one or more workshops. Either method requires careful preparation and good communication. Development and careful framing of questions for the interview or workshop is necessary and can be tested prior to actual use. Testing of interview questions can be done via role-playing within the core team, or by conducting an interview with a person supportive of the emergency planning effort. For actual interviews, the interviewer must be carefully selected so as to have good communication and people skills. For a workshop, a trained facilitator is recommended. Taking the water department as an example again, an initial, mission-critical function the core team identies is that some water volume and pressure (regardless of quality) must be supplied to a particular district because that district contains a large factory. The water is required for re protection of the factory and surrounding properties. Interviews with the re department and factory manager may indicate: The re department has identied adequate alternative water supplies (e.g., a nearby pond) The factory has its own auxiliary water supply, equipment, and personnel for ghting res (e.g., the pond, pumps, an in-house re brigade, etc.) Therefore, that mission-critical function can be eliminated for that district. Review of the preliminary list in light of stakeholder input will result in amendment of the list and dimensions of mission-critical functions. The process may take several rounds until a reasonably complete set of mission-critical functions can be identied.
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Earthquake Engineering Handbook Accomplishing Mission-Critical Functions Having identied mission-critical functions, the next step is identifying how they will be accomplished under emergency conditions. Clearly, this depends on the emergency. Most of the time, some planning assumptions, based on emergency scenarios, must be introduced at this point in the planning process. It is not realistic and neither can an organization afford to plan for accomplishing its mission-critical functions during an earthquake in which everything is destroyed, people are killed, no transportation is possible, etc. Some assumptions have to be made that certain facilities are likely to be partially functional, some communications will be possible, etc. These assumptions in the context of emergency planning for earthquakes must be based on reasonable, conservative analyses and assumptions as to the magnitude and location of the earthquake, its intensity at various points, the vulnerability of facilities, etc. Other chapters in this volume provide background, data, and references on these aspects. For earthquake-related emergency planning, the planning process takes a bottom-up approach. In this approach, earthquake impacts on facilities, people, and processes are estimated, allowing for some negative coincidences (in the example of a water department, both water treatment plants 1 and 2 are damaged) in order to develop one or more earthquake planning scenarios. These scenarios describe the impacts on mission-critical functions and resources that can be employed to respond to these impacts. The planning process then proceeds to identify alternative ways to restore or accomplish the missioncritical functions, taking into account post-earthquake conditions. A key aspect of the planning process is to carefully examine mission-critical functions to assure that their restoration or alternative accomplishment does not solely depend on one facility, person, or process, i.e., there are no single points of failure. To that extent, the emergency plan must identify backup measures for restoring or alternatively accomplishing the mission-critical functions. In the event that a missioncritical function cannot be assured of restoration or alternative accomplishment, the core team must communicate to the CEO that the emergency plan cannot assure the organizations mission in an emergency. The CEO then must resolve the issue as to whether to commit more resources to assuring the organizations mission in an emergency, or to relax the organizations commitment to the performance of its mission under emergency conditions. Using the water department as an example again, it may be prohibitively expensive to assure potable water service to a district immediately following an earthquake, due to analysis indicating that there will be too many pipe breaks in the distribution system. The water department manager must then confer with the re department (and probably the mayor and other decision-makers) and communicate the possible outcome: Because the district will not have water service until the pipe breaks are xed, the re department will understand that hydrants will be dry following an earthquake, and it will be necessary to identify and practice (i.e., plan) using alternative water supplies. Water will be brought in to the district for household use, the city will furnish portable toilets, and businesses will function without water service. Because this example concerns public matters, whether to communicate this decision and its consequences to the public and the business community is a political issue. In the example of a private rm knowing that its emergency plan cannot overcome the loss of a key facility, that decision must then be communicated to the CEO, the board, and disclosed to investors.

33.3 Writing the Emergency Plan

Having gone through the above process, the core team has accomplished the following: Understood that emergencies can happen and that coping with them is primarily the responsibility of the organization Understood the organizations mission and the way the organization functions to accomplish that mission, i.e., how it serves its customers or the public
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Examined the organization from the point of view of a recovery effort Gained senior management and organizational support, and necessary resources for developing the emergency plan Identied mission-critical functions Gained a head start in dealing with future emergencies While this is of enormous benet, the knowledge is conned to the core team only. It must be recorded in a written emergency plan in order to preserve the knowledge, disseminate it to the rest of the organization, and provide a document for training and drill purposes and as a resource in the event of an actual emergency. This section discusses the writing of the emergency plan.

33.3.1 Outlining the Emergency Plan

Emergency plans come in many formats specic to the needs of the organization. This section presents a generic emergency plan outline, that can be adapted on a case-by-case basis. In general, an emergency plan is typically organized as shown in Table 33.2. As an example of an actual emergency plan, Figure 33.2, shows the Table of Contents of the City of Seattles Disaster Readiness and Response Plan. A more-detailed Table of Contents is provided in Appendix A. In the following subsections, we discuss each part of a typical emergency plan. Organization of the emergency plan must be intuitive, and printing and formatting must be clear and uncluttered, with good illustrations and sufcient white space for marginal notes and sketches. The emergency plan must be clearly written in simple, jargon-free language. A nonspecialist editor can edit the plan for clarity, accuracy, and conciseness. Technically correct terms, such as dip-slip reverse bilateral faulting, special moment-resisting composite frame, and planning environment, should be avoided or relegated to technical appendices.

TABLE 33.2 Table of Contents of a Typical Emergency Plan

1. Introduction 1.1 Purpose 1.2 Organization mission statement 2. Situation and Assumptions 2.1 Organization 2.2 Situation 2.3 Risk assessment 2.4 Assumptions 3. Concept of Operations 3.1 Organizations emergency response 3.2 Other responders 4. Declaring an Emergency 4.1 Activation 4.2 Notication 4.3 Mobilization 5. Emergency Management (see Section 33.3.6) 6. Communications 6.1 Internal 6.2 External 7. Plan Maintenance and Training 8. Authorities 9. References 10. Key Information 11. Facility Annexes 12. Hazard Annexes 13. Other Annexes

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Earthquake Engineering Handbook

Table of Contents
Mayors Promulgation Memorandum Cover Letter to Public Safety Chair Requesting City Council Approval City Council Resolution 30041 Acknowledgments Record of Revisions INTRODUCTION Mission Purpose Scope Limitations Liability Substantive Plan Changes POLICIES Applicable Federal Laws, Regulations, and Executive Branch Orders Applicable State Laws and Regulations Applicable Municipal Laws Related Plans Governance Assignment of Responsibilities SITUATION Local Environment Emergency/Disaster Conditions and Hazards Planning Assumptions CONCEPT OF OPERATIONS General Emergency Management Concepts Direction and Control Emergency Support Functions Citywide Flow of Emergency Communications Government Emergency Operations Facilities ORGANIZATIONAL RESPONSIBILITIES Common Responsibilities for City Departments and Commissions Specic Responsibilities for City Departments Non-City Government Support Organizations MAYORAL PREROGATIVES Proclamation of Civil Emergency Emergency Powers Authority to Enter into Contracts and Incur Obligations Commandeering Services, Equipment, and Supplies Proclamation of Termination of Civil Emergency INTERGOVERNMENT RELATIONSHIPS Emergency Support Given by the City Emergency Support Received by the City TABS Tab A Glossary of Emergency Management and ICS Terms Tab B Generic Outline for Internal Emergency Preparedness Plans Tab C Disaster Recovery Plan Checklist Tab D Federal Disaster Recovery Programs Tab E Weapons of Mass Destruction Response Resources Tab F Plan Distribution FIGURE 33.2 Disaster Readiness and Response Plan, City of Seattle. Available online at emergency_mgt/resources/plans.htm.

33.3.2 Front Matter and Introduction

The type on the cover and binding of the plan document must be clear, and the document must be readily identiable from a distance (e.g., bright orange cover). If possible, the back and inside covers should have organization charts or other useful ready-reference diagrams (e.g., an area-wide map with key facilities indicated, or a system diagram if appropriate). The title page indicates key specics: title, organizational name, date, prepared by, and responsible person (i.e., the emergency manager). A revision
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page is the rst page after the title page, followed by a distribution log, indicating who receives copies of the emergency plan. A one-page executive summary is next, followed by a one-page table of contents; if needed, a detailed table of contents follows. The introduction states the plans purpose, derived from the organizations mission statement, which also is stated. If relevant, authorizing legislation or regulations, mandating the plan, and acknowledgments are stated in the Introduction. If the plan is required by law, a brief explanation of compliance is included. History of the emergency plan and special circumstances associated with its creation (e.g., this plan was created because of the terrible experience we had in the last earthquake) are included. The organization of the plan document is described. Associated materials that may have been distributed, such as wallet-sized phone cards or pocket-sized summaries of the emergency plan (for keeping at home, in a briefcase, or in the trunk of a key persons car), are mentioned and described.

33.3.3 Situation and Assumptions

This section presents the planning environment, a summary of the organization and its situation, potential risks that are known to exist, and key assumptions underlying the emergency plan. Organization and Situation This section summarizes the organization and factors affecting its operation and location. Key facilities are identied, a map is provided showing their location, and readers are referred to the facility annex for detailed data sheets on each facility. The Everytown Unied School District (EUSD) provides K12 public education for the incorporated towns of Everytown and Othertown, USA, which have a combined population of 250,000. Student population of EUSD is 25,000, served by six K6 schools (Washington, Adams, Jefferson, etc.), three middle schools (Magnolia, Cedar, and Pine) and one high school (Founder H.S.), as well as an administration building and maintenance building. Transportation of students EUSD exists by charter from the State Board of or: The Widget Manufacturing Company was founded in 1880 in Everytown, USA by Mr. R. Widget Founder. Today, WMC is a publicly owned corporation with 40,000 employees in six countries, with its headquarters, R&D facility, and main manufacturing plant in Everytown, a key assembly plant in Othertown, two Regional warehouses in An organizational chart is provided, as well as maps of the region and key facilities, and detailed maps of areas around each key facility (detailed maps may be provided in the facility annex). Risk Assessment This section summarizes potential risks that are known to exist, provides key information on those risks, and references for additional information. For earthquakes, the tectonics and geology of the region are summarized in a few sentences; the earthquake history is discussed in more detail with a tabulation of all signicant earthquakes; the location of all known major faults is provided in a map with discussion; the location is provided of poor soils, potential liquefaction, landslide, or other sites of possible ground failure. Key authorities, such as the local university or the state Geological Survey that provided earthquake information, are cited and references provided. Figure 33.3 shows an example of a map of liquefaction zones and landslide-prone areas, taken from the Disaster Readiness and Response Plan of the City of Seattle. Assumptions The section states key assumptions made when developing the emergency plan, and the underlying risk assessment. For example, if the following are the planning assumptions, they must be stated: the
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Green Lake

Liquefaction Zones Landslide Prone Areas
Elliolt Bay


Scale in Miles

2000, The City of Seattle, all rights reserved. No warranties of any sort, including accuracy, fitness or merchantability, accompany this product.

FIGURE 33.3 Map of liquefaction zones and landslide-prone areas, Disaster Readiness and Response Plan, City of Seattle. Available online at
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L a k e Wa s h i n g t o

Lake Union

Emergency Planning


earthquake is assumed to occur when children are in school or at the period of highest water demand. If mutual aid is a key part of the emergency plan, the assumption of how the emergency affects the aiding entity must be stated: mutual aid is assumed to come from Faraway Township, because the scenario earthquake used for this emergency plan is also assumed to affect Othertown. Interdependencies must be stated here: it is assumed that Faraway Water Wholesaler, the supplier of raw water to Everytown Water District, is unaffected by the scenario earthquake. A key assumption for all emergency plans is the arrival of outside disaster assistance (e.g., state militia, mutual aiding utilities, etc). This must be clearly and unambiguously stated, as it forms the basis for many actions in the emergency plan. If the conditions on which this assumption are based change, this is clearly understood, and the emergency plan can be correspondingly revised.

33.3.4 Concept of Operations

This section presents the overall concept of how the emergency response is organized. It is broken into three main sections: the organization of the emergency response, the response of other entities, and interaction with those responders. Organizations Emergency Response This section presents and describes the emergency organization and how it will respond. One or several charts, showing the emergency response organization and reporting arrangements, are a key part of this section (e.g., Figure 33.4). Key members of the emergency management team should be identied, and their roles and responsibilities clearly detailed (see examples in Table 33.3). For large organizations or complex situations, a matrix indicating primary and supporting responsibilities can be provided. Other Responders In most emergencies, and especially in a large earthquake, many organizations will be responding. It is important that an organization coordinates and cooperates with these other responders. In many cases, cooperation is absolutely vital to handling the emergency. Examples of this include: Breaks in water mains, where the water department must inform and support the re department Hazardous materials release, where a factory must inform and support the police and re departments Use of schools for emergency shelters, where the school district must support the Red Cross and other humanitarian organizations To the extent possible, these interactions should be foreseen, and working relationships should be developed with other responders. These interactions should be documented in this section of the emergency plan, along with appropriate actions. Because various agencies use their own jargon, and have different kinds of organizations, a common organizational concept of operations, called a standardized emergency management system (SEMS), is evolving in the emergency management community. SEMS was developed in California and has been adopted by that state for its emergency management. Currently, it is not universally accepted outside of California, but some version of it will likely evolve across the United States and in other countries. SEMS utilizes the Incident Command System (ICS). ICS was originally developed by the re service for managing emergency response to wildland res, and is now widely employed across the United States for a variety of emergencies, particularly those for which the re service has lead responsibility. The basic structure of ICS is shown in Figure 33.5, and detailed information on SEMS and ICS can be found at

33.3.5 Declaring a State of Emergency

This section of the emergency plan denes the rst steps taken during an emergency response, which consist of activation, notication, and mobilization, each of which is described next.

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FIGURE 33.4 Disaster management committee organization, Disaster Readiness and Response Plan, City of Seattle. Available online at

TABLE 33.3 Responsibilities of Key Members of Emergency Management Team

Key Member CEO Responsibilities Sets policy for overall emergency management Makes critical decisions during emergency Monitors performance of emergency manager during emergency to assure satisfactory response Manages overall emergency response, making all but critical decisions Delegates responsibility and oversees key emergency functions, assures that operations, public information, facilities, and other managers are executing the emergency plan Advises the emergency manager and CEO on matters of emergency public information (EPI) Convenes and maintains the media brieng room during and after the emergency Prepares a call-down list for disseminating EPI to groups that do not have access to normal media (e.g., schoolchildren) Prepares EPI packets for release; ensures that information needs of visually impaired, hearing impaired, and non-English speaking audiences are met Establishes and maintains a working relationship with local media

Emergency manager

Public information ofcer

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Emergency Planning


Management (Incident Command System) Operations Planning / Intelligence Logistics Finance / Administration

Initiating a State of Emergency

FIGURE 33.5 Incident command system (ICS). Activation This step consists of deciding that an emergency exists. In some cases, such as an approaching hurricane, the damaging agent may not have occurred yet, but the emergency may have already occurred with signicant actions such as evacuation underway. Deciding that an emergency exists requires recognizing that certain conditions exist, and that these conditions may prevent the organizations mission from being accomplished under normal SOPs. Earthquakes fall into the category of self-declaring emergencies, i.e., if an earthquake occurs, people in the affected area know about it. However, persons outside of the affected area will not immediately know that an earthquake has occurred. The emergency management team, the Emergency Operations Center (EOC), and other relevant parts of the emergency management organization may be outside of the affected area. In such cases, preexisting arrangements should be made with local seismological observatories or emergency services for notication of possible activation if an earthquake has occurred in certain localities. Notication This step consists of two parts: 1. Internal notication: Notifying the emergency management team and other relevant members of the organization that an emergency exists, so that they may begin to take appropriate actions. Specics of how notication should occur depend on the organization and the situational context. Again, for persons in the affected area, earthquakes are self-declaring. Outside the affected area, communications should be such that notication is not totally precluded: pagers and telephones should still be functioning, generally speaking. This is not always the case, however. In the 1999 Marmara (Turkey) earthquake, the earthquake severed the main ber-optic telephone lines between Istanbul, the Marmara region, and the national capital of Ankara. The Turkish head of state, the national emergency response agency, and other key persons did not know of the event, and then did not have adequate communication with the affected area for several critical hours. 2. External notication: Notifying others that an emergency exists. While earthquakes may be selfdeclaring, local emergency agencies in the affected area may not know of a specic emergency condition at your organization until you inform them. Similarly, your organization may be vulnerable to an emergency at another location, and will remain ignorant of the vulnerability until you are notied. The emergency plan should have a checklist of agencies with whom your organization must cooperate and coordinate.

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Earthquake Engineering Handbook Mobilization This step consists of the execution of the initial emergency response actions, one of the rst of which is the activation of the EOC, and the assembling of the emergency management team. In some cases, the emergency plan should include selected persons taking initial steps different than activating and assembling at the EOC (e.g., in the event of the earthquake, the water departments dam keeper should immediately inspect the dam and report its condition to the EOC).

33.3.6 Emergency Management

Also known as incident management, this consists of the actual steps taken to understand, respond to, and control the emergency. Depending on the organization, emergency management can be very simple or very complex. For earthquakes, for example, school districts typically have a relatively simple emergency management plan: they assume parents will rush to the school (because the earthquake is selfdeclaring). Thus, the school districts emergency management tasks are: Assembly of students in a safe location Release of students to parents as they arrive Damage assessment and isolation of damaged buildings if required Whether there are damaged buildings or not, reopening of schools is part of the recovery plan, not the emergency or incident management task. A detailed enumeration of all the possible tasks in the emergency management phase is beyond the scope of this chapter. Essentially, the tasks follow from the identication of the mission-critical functions discussed previously. However, there are certain emergency management tasks that are common to most organizations. These tasks are discussed largely in terms of the members of the emergency management team responsible for assuring their completion. Thus, the following discussion provides a general makeup of a typical emergency management team, and many of the tasks they must perform. Note that each member of the emergency management team should have a secondary or backup person identied for that role. Personnel Safety This consists of assuring that all of the organizations personnel are safe and accounted for. This can be accomplished by having a specic task in the emergency plan delegating a member of the emergency management team to contact and conrm the safety of all personnel. Therefore, the emergency plan must have lists of personnel on the job (job titles and actual names, if possible) at different times of day (e.g., in the middle of the night there may only be a few personnel on the job), how to contact them (telephone and pager numbers), etc. The member of the emergency management team must perform this task rapidly with procedures that eliminate or minimize errors in the confusion of an emergency. The member also needs to have instructions on what to tell those personnel to do when he contacts them (e.g., stay where they are, perform a damage assessment, evacuate, go home, go to the EOC, etc.), and actions to be taken if personnel are injured, in unsafe conditions, need to assure their familys safety, or are unable to perform their job. The detail here is representative of what is required of an emergency plan: each step must be well thought out, contingencies anticipated, and decisions made and provided as guidance to those who will perform the emergency management. Situation Assessment Concurrent with the personal safety assessment, other members of the emergency management team will be assessing the situation. This consists of determining the nature and dimensions of what caused the emergency, and the condition and possible damage of all mission-critical facilities. For an earthquake, the local seismological observatory or emergency agencies will provide preliminary data on the magnitude and epicentral location of the event within minutes; also within minutes, radio and television broadcasts

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TriNet Rapid Instrumental Intensity Map Epicenter: 26.2 mi SSE of Calexico, CA

Fri Feb 22, 2002 11:32:41 AM PST M5.7 N32.32 W115.32 ID: 12456384 34











Not felt none < .17 < 0.1

Weak none

Light none

Moderate Very light 3.9 - 9.2 3.4 - 8.1

Strong Light 9.2 - 18 8.1 - 16

Very Strong Moderate 18 - 34 16 - 31

Severe Moderate/Heavy 34 - 65 31 - 60

Violent Heavy 65 - 124 60 - 116

Extreme Very Heavy > 124 > 116

.17 - 1.4 1.4 - 3.9 0.1 - 1.1 1.1 - 3.4







FIGURE 33.6 Example of near real-time shaking intensity map (available online at

will be providing the same information. The USGS National Earthquake Information Center Web site ( provides near real-time information on signicant earthquakes anywhere in the world (located in Denver, the telephone number is 303-273-8516). There are a number of Web sites that now provide rapid intensity information, such as the California Integrated Seismic Network (Figure 33.6). Also available are damage estimation tools, such as EPEDAT (Early Post-Earthquake Damage Assessment Tool) and GeoProtectSM, which permit rapid estimation of damage to guide the situation assessment and emergency responders prior to their acquiring hard information (Figures 33.7 and 33.8). Situation assessment is an ongoing task throughout the emergency. At rst, it is broad and general, assessing the general situation; as the emergency progresses, situation assessment evolves into more detailed damage assessment. The emergency plan should call for situation reports (SitReps) to be made and distributed, according to a simple, concise, prearranged format, at regular intervals that correspond to the urgency of the situation. At rst, SitReps can be issued every 30 minutes but as the emergency is brought under control, SitReps can be required only twice daily, then once daily, and so on.

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FIGURE 33.7 Early Post-Earthquake Damage Assessment Tool (EPEDAT). (a) Earthquake shaking intensity map for selected event (M 7.0, Newport-Inglewood fault zone, Los Angeles). (b) Map showing major hospitals in affected zone. (Courtesy EQE International)
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FIGURE 33.8 (a) Utilizing toxic hazard plume modeling, real-time emergency response vehicle tracking, and automated evacuation route generation, GeoProtectSM provides emergency managers and rst responders with an accurate depiction of the event scene that enhances crisis management decision-making. (b) Integrating accurate information about a water distribution system with GIS, GeoProtectSM enables disaster planners to predict the impact of a contamination or disruption of vital services. (From CH2MHILL, Inc. With permission.)

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Earthquake Engineering Handbook Operations This consists of taking specic steps to restore mission-critical functions or respond to damage. Operations are the responsibility of the operations ofcer, who should initiate Ops only as the situation assessment claries the actions that are required, and these can be prioritized against the available resources. The emergency plan can assist the emergency management team in anticipating likely scenarios based on the risk assessment, and providing checklists for such situations. An example checklist is provided in Appendix B. Resource Management Also termed the logistics function, this consists of a resource or logistics ofcer (the latter term is used in the ICS) who tracks, controls, and deploys resources at the request of the operations ofcer. As resources dwindle, it is the responsibility of the resource ofcer to nd additional resources. Sources such as local contractors, emergency agencies, mutual aid organizations, and others must be identied in the emergency plan, with appropriate contact information. To the extent appropriate, soft or hard contracting arrangements can be prearranged. Finance A member of the emergency management team handles nances. Cash may be required in certain cases, but authority to spend will denitely be necessary. This authority on the part of the emergency management team must be predened, with special authorization required of the emergency manager or the CEO. For example, if a company must house and feed stranded workers, the nance ofcer of the emergency management team has the authority to approve that expenditure. Communications The communications ofcer is the member of the emergency management team who has responsibility for communications, including hardware and content. Tasks include (1) assuring that the emergency management team has adequate communications in terms of telephone, radio, incoming broadcast, etc., and (2) assuring appropriate public information is being communicated. In the latter case, a public information ofcer (PIO) can report to the communications ofcer and have responsibility for understanding the need for information and how to appropriately transmit this information to the media and the public. The PIO both advises the emergency management team and CEO on public image and related matters, and convenes and maintains the media brieng room. Human Resources The human resource ofcer (HRO) is the member of the emergency management team who has several responsibilities, including (1) assuring adequate human resources are available for the tasks, (2) assisting employees with family needs, including medical insurance and related aspects, and (3) monitoring and assisting with emergency-related stress. An emergency is a very stressful situation, and the HRO must be alert to employees or members of the emergency management team who are suffering undue effects from this stress. Stress management and relief techniques are well documented, and the emergency plan must provide for these, as well as for training the HRO in these techniques. This task does not have to fall entirely on the shoulders of the HRO; the emergency plan, for example, can prearrange for clergy, academics, or other resources helpful in this aspect to be part of the larger emergency management team. Records The records ofcer (RO) is the member of the emergency management team who is present in the EOC and records all important events, including personnel arrivals and departures, incoming reports, questions, decisions, outgoing communications, and expenditures-related information. The RO does not necessarily record all of these events personally, but assures they are being recorded (e.g., expenditures are recorded by the nance ofcer) and that a record is provided to the scribe. However, a computer can be provided in the EOC for the use of the RO. The RO or an assistant can be stationed there during the initial phases of the emergency.
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33-23 Recovery/Reconstruction (R/R) The purpose of operations is to bring the emergency under control and stabilize the situation. Stabilize means that nothing is getting worse, and that processes, hazardous materials, and other potentially dynamic phenomena have been safely shut down, contained, or otherwise controlled. When the emergency is under control, the initial phase of the emergency is over. The next phase is the recovery, and then the reconstruction. Recovery refers to the restoration of seminormal operations of the organization, perhaps in temporary quarters or using temporary methods. Reconstruction refers to the restoration of normal operations of the organization, in permanent quarters using normal procedures. The R/R aspects may or may not be part of the emergency plan. Stand Down This refers to the end of the emergency, return of the emergency management team members to their normal jobs, and closure of the EOC. This is not always a clear-cut process. In many cases, the EOC and emergency management team remain in a semiactive role and increasingly assume R/R responsibilities. However, it is healthy for the organization to declare the emergency phase over, and some criteria and procedures for doing this must be part of the emergency plan. After-Incident Report (AIR) This consists of collation and interpretation of data from the emergency. Data to be collated include information on the damaging event (e.g., the earthquake), damage assessments, personnel debriefs, quantiable impacts (e.g., lost production, drops in tank levels, student attendance drop-off), nancial impacts, the emergency response, and an assessment of what worked well and what did not. The media, especially newspapers, are a valuable resource that should not be overlooked in this regard. The purpose of the AIR is to capture data while it is still available (i.e., before it is lost), to extract valuable lessons so as to reduce the organizations overall vulnerability to the emergency, and to improve the emergency plan and the emergency management teams performance. In the exhaustion of the post-emergency phase, it is all too easy to postpone or forego the AIR. The emergency manager and CEO must ensure this does not happen.

33.3.7 Communications
This section of the plan details the responsibilities of the communications ofcer (described previously). Communications are divided into two fundamental aspects: 1. Internal: This involves assuring that the emergency management team has adequate communications capabilities in terms of telephone, radio, incoming broadcasts, etc. to perform its tasks. This also involves organization and dissemination of important information in the form of SitReps, discussed previously. Another aspect of communications is information display within the EOC: whiteboards, large projection, GIS-based maps, video, and other data and methods can all be considered, depending on the organization. 2. External: The PIO, reporting to the communications ofcer, has responsibility for understanding the public need for information and how to appropriately transmit this information to the media and the public. The PIO both advises the emergency management team and CEO on public image and related matters, and convenes and maintains the media brieng room.

33.3.8 Plan Maintenance and Training

This section is not needed during the emergency period, but is a vital part of the emergency plan. It details how the maintenance of the emergency plan will be handled, and how individuals, the entire emergency management team, and the entire organization will train for an emergency. This is a key part of emergency management, and must be included in the emergency plan. Details of actual plan maintenance and training are discussed in Section 33.5.
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Earthquake Engineering Handbook

33.3.9 References
This section contains proper and full citation of SOPs, materials, data, and other information and agencies referred to in the emergency plan.

33.3.10 Key Information

This section contains key information, such as lists of emergency agencies, organization personnel, professional resources (e.g., a structural engineer for assessing structural safety), contractors, and other data that may be needed quickly in an emergency. Contact information can include ofce, home, cell and pager numbers, secondary contacts (e.g., neighbors, close relations), and alternates. The data must be clearly provided, preferably in a format that can also be provided on a wallet-sized card or for use in a Personal Digital Assistant (PDA, e.g., a Palm Pilot).

33.3.11 Facility Annexes

Facility annexes are comprised of detailed descriptions of the facility, including photographs, maps, diagrams, schematics, specications, capacities, and oor plans. Depending on the purpose of the facility, its operations, personnel, organization, and other operational aspects are also detailed.

33.3.12 Hazard Annexes

Hazard annexes are comprised of detailed descriptions of the likely hazards affecting the organization, and their impacts. Maps, tables, and perhaps photographs and diagrams are all appropriate.

33.3.13 Other Annexes

As appropriate, these can include information on other resources, more detail on procedures, etc. Examples of items that might be included here are: Contractors and vendor resources Mutual aid resources and agreements Technical data, such as equipment weights, fuel or other logistic requirements, shelter capacities, etc.

33.4 The Emergency Operations Center (EOC)

The EOC is a key part of the emergency plan. Having an identied EOC simplies mobilization and communications enormously. Without an adequately equipped and staffed EOC, the emergency management team cannot do its job. EOCs vary widely depending on the organizations size and needs, ranging from one room to an entire building. An adequate EOC has most or all of the following attributes: Assured functionality in an emergency: The EOC must be located in a building that has been reviewed and is expected to survive most emergencies (in the context of this discussion, it must be functional immediately following an earthquake). This means it must have multiple redundant communications; backup power with adequate fuel; stores of food, water, bedding, and other necessities; secured access; and facilities for media brieng (separate from the actual operations area). Because absolute assured functionality is not achievable, the EOC must have a backup or alternative site and, depending on the organization, this can be backed up by a mobile EOC. Dual purpose: Few, if any, organizations can afford a dedicated EOC; therefore, most EOCs serve a normal day-to-day purpose and are converted to the EOC in an emergency. Examples include (1) the board room and executive ofces of a mid-sized company, (2) a conference or training center of a large corporation, and (3) the dispatch center, headquarters, or maintenance facility of a public agency.
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Emergency Planning




Office Ops Ctr. Office


CEO office

Comm. EATING AREA Media Briefing Room




FIGURE 33.9 A schematic example of an emergency operations center layout.

Layout for a medium- to large-sized organization A typical EOC has a main operations center, typically a large room with a large table or U-shaped arrangement of tables or desks, at which the main members of the emergency management team sit, with the emergency manager at the head of the table. The walls of this room can have whiteboards and a large video projection display. A TV with low volume can be on at all times. One or several smaller rooms can be available for small secured conferences, telephone calls, or simple quiet rooms. A room, typically with a window overlooking the Ops Center, can be reserved for the CEO, in which he can function while visually monitoring the overall operation (simple body language can often keep the CEO informed as to how the emergency is progressing). Separated from the main Ops Center can be an eating area and one or two dormitories, restrooms, etc. Security: The entire EOC must have secured access. Media: Media should not be permitted in the EOC, but rather are briefed in a separate media brieng room. Figure 33.9 shows a schematic example of an EOC layout; Figure 33.10 shows an actual EOC in a mid-sized city.

33.5 Training and Maintenance of the Emergency Plan

33.5.1 Training
Training is a vital part of the emergency plan and consists of two main parts: tasks and exercises.
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FIGURE 33.10 Example of an actual municipal emergency operations center. Tasks This refers to identifying specic tasks in the emergency plan and the parties responsible for performing them, and assuring that the responsible parties have the understanding, skills, and resources to perform the tasks. For example, is the records ofcer appropriately informed, skilled, and equipped to assure adequate record-keeping during the emergency? Does that person have the computer literacy, organizational abilities, database prociency, and other skills to process, archive, and retrieve a large mass of information in a short time? To assure this, the emergency plan must be reviewed for the hundreds of tasks that may be required of each member of the emergency management team. These tasks can all be compiled and reviewed for skills required, equipment needed, etc. Most of the tasks can be easily identied as within the normal skill set of the members of the emergency management team. Some fraction, however, may not clearly be so, and a training program can then be established to assure that the skills exist. These skills can then be maintained via periodic drills of individuals. Exercises In an actual emergency, it is too late to begin to read the emergency plan. The methods and processes of the emergency plan must be inculcated in the team via task training and exercises. Exercises combine various tasks to simulate some or all aspects of the emergency management. Exercising of the emergency plan can start off by combining only a few of the emergency plan tasks, such as Situation Assessment and Communications. Simply bring these two ofcers together and have them try to perform selected tasks where interaction or support of one by the other is required. Gradually increase the combination of tasks until the entire emergency plan is being practiced in a tabletop exercise. Tabletop exercises consist of simply sitting around a table and discussing what each member of the emergency management team would be doing in response to various simulated situations. As tabletop exercises are successfully completed, a full exercise is then required, involving the activation of the EOC, assembling of the entire emergency management team (including the CEO), real-time simulation of emergency messages, some surprises, etc. Design and execution of tabletop and full exercises are a vital part of the overall emergency plan.

33.5.2 Maintenance
Any emergency plan, if not maintained, will quickly become out of date. Maintenance involves periodic revision of information in the report, such as organization charts, contact information, monitoring of applicable regulations and requirements to assure compliance, and review of the overall emergency plan to assure it is updated with regard to best practices in the eld.

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33.6 Summary: Developing an Emergency Plan

In summary, the following steps are required for the development of an emergency plan: 1. Decide to develop an emergency plan: This involves cooperation with senior management gaining support, identifying a sponsor, and allocating the resources required for development of the emergency plan, as well as for maintaining and exercising it. Reasons for developing an emergency plan were discussed previously. 2. Form a core team to write the plan. The core team is drawn from core functional areas of the organization; examples of core team members are provided in Table 33.1. Recognize that the core team will likely become the core emergency management team. 3. Determine the organizations current capability for emergency response, and its emergency management needs. 4. Determine the purpose of the emergency plan by reviewing the organizations mission statement. 5. Identify mission-critical functions essential to fullling the organizations mission. 6. Outline the emergency plan. Example outlines are provided in this chapter. 7. Write each section of the report based on an outline. The outline provides the key elements of an emergency plan; in order to write each section, questions specic to the organization and its mission-critical functions must be asked. Therefore, writing the report is an analytical process, analyzing what needs to be done, by whom, when, and how, in order to identify and maintain mission-critical functions that are at risk of not being performed. 8. Establish an EOC. Having developed the emergency plan, the personnel, communications assets, and other resources necessary to execute it must become apparent. This forms the requirements for the organizations EOC. Given these requirements, identify a suitable venue, obtain senior management approval of the site, and equip it to function as the EOC. 9. Move the written plan to a capability. Completing the written emergency plan is not sufcient; it must now be translated into an organizational emergency response capability. This is achieved by analyzing needed skills, assuring that members of the emergency management team have the skills, and welding the members into an emergency management team through increasingly realistic exercises. 10. Maintain the plan and the capability. The emergency plan is maintained via periodic review and update. The capability is maintained by regular skills renewal and exercise.

Dening Terms
Disaster This term is not used in this chapter as it is associated with a large-scale event, usually a
natural disaster. More appropriately, each incident must be considered in view of the impact it has on the organization. What may constitute a nuisance to a large corporation can be a disaster to a small business. Emergency Any unplanned event that can cause death or signicant injury to employees, customers, or the public; shut down a business; disrupt operations; cause physical or environmental damage; threaten a facilitys nancial standing or public image; or cause the loss of key supplier or customer. An emergency can be caused by explosion, re, hazardous materials incident, ood or ash ood, hurricane, tornado, winter storm, earthquake, communications failure, radiological accident, or civil disturbance. Emergency operations center (EOC) The location from which emergency operations are commanded and coordinated. Usually consists of a predesignated location with assured communications and logistics. The EOC must have a backup location. Emergency plan An organizations written description of how it will respond to an emergency, detailing the makeup of the emergency management team and the tasks it will perform.

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Earthquake Engineering Handbook

Function Operations or purposes serving the organizations mission. Mission The purpose of the organization, why it exists. Mitigation Actions taken to reduce the negative impacts of an event such as an earthquake. Organization As used in this chapter, a rubric for the public or private agency for which the emergency
plan is written.

Residual damage Any damage that it is not feasible to mitigate. Standard operating procedures (SOP) Normal, day-to-day procedures developed and approved by
an organization on the basis that they are safe and efcient for the performance of a function.

City of Seattle. 1999. Disaster Readiness and Response Plan, City of Seattle, WA. Available online at http:/ / DRC (n.d.). Disaster Planning, Emergency Management, and Civil Protection: The Historical Development and Current Characteristics of Organized Efforts to Prevent and Respond to Disasters, Disaster Research Center, University of Delaware, Newark. Available online at preliminary/227.pdf). FEMA (n.d.). Emergency Management Guide for Business and Industry: A Step-by-Step Approach to Emergency Planning, Response and Recovery for Companies of all Sizes, Sponsored by a public-private partnership with the Federal Emergency Management Agency, Washington, D.C. FEMA. 1996. Guide for All-Hazard Emergency Operations Planning, State and Local Guide (SLG) 101, Federal Emergency Management Agency, Washington, D.C. FEMA. 2002. Rapid Visual Screening of Buildings for Potential Seismic Hazards: A Handbook, 2nd ed., FEMA 154, developed for the Federal Emergency Management Agency by the Applied Technology Council, Redwood City, CA. Available from the Federal Emergency Management Agency, Washington, D.C.

Further Reading
There are a number of good references on emergency planning. FEMA [n.d.] is appropriate for privatesector organizations, while FEMA [1996] is appropriate for state and local governments. Both are available free at The City of Seattles Disaster Readiness and Response Plan is available online, and is a good emergency plan model, whether public or private sector. The Disaster Research Center (University of Delaware, is an excellent resource for the more fundamental aspects of disasters and their impacts.

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Appendix A
Everytown Water Department

Rev. 1.0

Plan Organization Plan Revision Pagination Plan Distribution Abbreviations

Emergency Operations Plan Emergency Planning Group Mission Statement Response Objectives Response Priorities Authorities/References


1.0 Potential Hazards 1.1 Major Earthquake 1.2 Fire/Conagration 1.3 Hazardous Material Incident 1.4 Transportation Accident 1.5 Imminent/Actual Dam Reservoir Failure 1.6 Civil Disturbance 1.7 Earthquake Prediction Advisory 1.8 Peacetime Nuclear Technological Incident 1.9 Tsunami/Seiche Inundation 2.0 Water System Earthquake Vulnerabilities 2.1 Water Supply and Transmission 2.2 Water Treatment Plants 2.3 City Distribution 3.0 Hazard Mitigation 3.1 Fire Safety 3.2 Building Contents and Employee Protection

2003 by CRC Press LLC


Earthquake Engineering Handbook

4.0 Testing, Maintenance, Training, and Employee Training 4.1 Plan Testing and Maintenance 4.2 Employee Training


1.0 Response Activation 2.0 Emergency Management Organization 2.1 EMO Responsibilities 2.2 Concept of Operations 3.0 Emergency Operations Center(s) 3.1 EOC Locations 3.2 EOC Activation 3.3 EOC Physical Layout 3.4 Emergency Power Systems 3.5 EOC Forms and Status Boards 4.0 Communications 4.1 Telephone Communications Systems 4.2 Radio Communications 5.0 Mutual Aid Procedures 5.1 Local Mutual Aid Agreements 5.2 Water Agency Mutual Aid Agreements 5.3 Water Agency Emergency Resources Directory 5.4 Everytown City Personnel 5.5 City Emergency Helicopter Transportation Procedure 5.6 EWD Call-Up of Retired Personnel 6.0 Contractor/Vendor Resources 6.1 Proposed Emergency Contract Procedure 6.2 Contractor/Vendor Emergency Contact List 6.3 Everytown City Procurement Procedures 7.0 Water Supply and Treatment Division 7.1 Emergency Response Function 7.2 Water Supply 7.3 Operations Engineering, Operations Planning, and Project Engineering 7.4 Water Treatment and Operations 7.5 Coordination with Local Governments 7.6 Dam and Reservoir Emergency Response 7.7 Forms Suburban Customer Contact List Employee Emergency Contact List (North Division) Emergency Equipment Materials List (North Division) Employee Emergency Contact List (North Division, Buildings and Grounds) Emergency Equipment Materials List (North Division, Buildings and Grounds) Vehicle List (North Division, Buildings and Grounds) Employee Emergency Contact List (Operations Engineering) Emergency Equipment Materials List (South Division) Employee Emergency Contact List (Water Treatment Plants) Emergency Equipment Materials List (Water Treatment Division)
2003 by CRC Press LLC

Appendix A


Vehicle List (Water Treatment Division) Vehicle List (North Division) Vehicle List (Operations Engineering) Vehicle List (South Division) Employee Emergency Contact List (South Division) 8.0 Water Quality Division 8.1 Emergency Response Function 8.2 Emergency Water Quality Policies 8.3 Coordination with Local Governments 8.4 Emergency Response Procedures 8.5 Forms Notication of Unsafe Water Alert Sample Cancellation of Unsafe Water Alert Notication of Boil Water Order Notication of Cancellation of Boil Water Order Employee Emergency Contact List Emergency Equipment/Materials List Vehicle List Emergency Chlorination Plan Emergency Management Organization (EMO) EMO Responsibilities EOC Layout 9.0 City Distribution Division 9.1 Emergency Response Functions 9.2 Damage Assessment Procedures 9.3 Water Transfer Strategy Procedures 9.4 Coordination with Everytown Fire Department 9.5 Emergency Water Supply Procedures 9.6 System Repair Procedures 9.7 Dam and Reservoir Emergency Procedures 9.8 CDD Administration and Clerical Personnel 9.9 Forms CDD Rendezvous Points and Staging Areas Employee Emergency Contact List Emergency Equipment/Materials List Vehicle List Emergency Management Organization (EMO) EMO Responsibilities EOC Layout 10.0 Customer Service Division 10.1 Customer Service and Commercial Division 10.2 Field Services Section 10.3 Forms Employee Emergency Contact List (Customer Accounts and Customer Service) Vehicle List (Customer Accounts and Customer Service) Employee Emergency Contact List (Field Services Section) Emergency Equipment Materials List (Field Services Section) Vehicle List (Field Services Section)
2003 by CRC Press LLC


Earthquake Engineering Handbook






Labor Pool Emergency Assignment List Field Services Section Damage Assessment Report Form Inrm Areas Map Emergency Management Organization (EMO) EMO Responsibilities EOC Layout General Manager and Staff 11.1 Emergency Response Actions 11.2 Chain of Succession 11.3 Forms Employee Emergency Contact Emergency Management Organization (EMO) EMO Responsibilities EOC Layout Hazardous Materials Response 12.1 Response Categories 12.2 Immediate Threat to Water Supply or Life Safety 12.3 Reportable Event or Threat to the Environment 12.4 Not a Reportable Event, No Threat 12.5 Hazardous Materials Departmental Coordinator and Hazardous Materials Site Coordinators Media Plan 13.1 Key Audiences 13.2 Level of Response and Media Interest 13.3 Organizational Response Structure 13.4 Crisis Communications Responsibilities 13.5 Guidelines for Notifying and Informing Key Audiences 13.6 Policies for EWD Spokespersons 13.7 Guidelines and Policies for Employees 13.8 Guidelines for Conducting a News Brieng or Press Conference 13.9 Guidelines for Responding to External Inquiries Other Than News Media 13.10 Guidelines for Providing Information to Employees Employee Care and Welfare 14.1 Medical 14.2 Provisioning 14.3 Employee Self-Sufciency 14.4 Shelter 14.5 Forms Employee Questionnaire Employee Roster Emergency Supply Locations Triage Tag Injured Transport Record Emergency Supply Inventory Medical Treatment Log Emergency Response Team and Building Evacuation 15.1 Emergency Response Team 15.2 Building Evacuation Drill Guidelines

2003 by CRC Press LLC

Appendix A


15.3 Occupant Stairwell Safety 15.4 Disabled Employees 15.5 Forms ERT Organization ERT Membership Application ERT Assignments Floor Coordinator Evacuation Drill Checklist Area Coordinator Evacuation Drill Checklist ERT Evacuation Drill Summary Checklist Building Evacuation Report Floor Plans Division Manager Evacuation Drill Checklist


1.0 Essential Records 2.0 Facilities Restoration 2.1 Forms Damage Assessment Inspection Report Building Inspection Placards 3.0 Records Restoration 3.1 Forms Ofce Restoration Log Operational Damage Assessment Summary Ofce Damage Assessment Summary 4.0 Management Information Systems 5.0 Emergency Pay and Financials 6.0 Federal I State Disaster Cost Reimbursement and Hazard Mitigation Grant Program (HMGP) 6.1 Forms Labor Record Force Account Equipment Record Rented Equipment Record Material Record 7.0 Disaster Application Centers 8.0 Post-Event Debrieng and Evaluation Report 8.1 Form Post-Event Evaluation Report


1.0 Emergency Operations Management 2.0 Water Supply and Treatment Division 3.0 City Distribution Division 4.0 Customer Service Division 5.0 Water Quality Division 6.0 Hazardous Materials Incident 7.0 Equipment and Supplies Procurement


2003 by CRC Press LLC

Appendix B
Everytown Water Department Rev. 1.0

EMERGENCY ACTION CHECKLIST CITY DISTRIBUTION DIVISION Response to Major Earthquake Primary responsibility for this checklist is assigned to the Operations Manager at the EWD EOC.

Report to EWD EOC. Activate EOC and ensure that the EOC is staffed and operational. Contact General Manager at Everytown EOC to conrm that EWD EOC is activated and provide brieng on current status.


COMPLETED Initial / Date / Time

Monitor radio trafc for initial information on system damage and city-wide damage areas. If telephones are operating, monitor and log calls from citizens reporting visible water system damage. Establish radio contact with CDD Gatemen and repair crews in the eld and at staging areas. Dispatch crews to reservoirs and storage tanks for damage inspection. Receive damage information from Adopt-A-Main volunteers, Gatemen, and repair crews. Analyze damage information and provide recommendations for repair priorities to Operations Manager at EOC. Provide damage status report to General Manager at Everytown EOC, as needed. Maintain records of damage information and record activities on Activity Log.

Determine repair priorities based on requirements to maintain water pressure to critical users. Contact and coordinate activities with Everytown Fire Department liaison. Dispatch Gatemen to assist EFD at critical locations for reghting.

2003 by CRC Press LLC


Earthquake Engineering Handbook

Determine water transfer strategies and direct Gatemen to isolate main breaks and route water ow, as needed to maintain pressure. Dispatch repair crews to priority locations to begin repairs. Contact EOC Director (Deputy General Manager) or Operations Manager at Othertown EOC to provide periodic status reports and to coordinate activities, as needed. Determine need for mutual aid and contact Mutual Aid partners, as needed to supplement repair crews. Determine need for contractors and vendors, and contact, as needed to provide repair services, equipment, and supplies. Provide periodic status reports to General Manager at Everytown EOC.


COMPLETED Initial / Date / Time


Dispatch personnel to inspect dams and reservoirs. Contact Everytown EOC to notify that inspections are underway. Receive and analyze damage information. Contact Everytown EOC to report damage and initiate emergency evacuation, if needed. Initiate notications to state regulatory agencies, as required. Provide periodic status reports to the General Manager at the Everytown EOC.

2003 by CRC Press LLC