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Appendices | ICS Functional Appendix

ICS Functional Appendix

1. OVERVIEW.
This appendix primarily applies to domestic U.S. DoD custody nuclear weapon accidents or incidents but should be used as a guide in foreign accidents; likewise, this appendix can be used by DOE as a guide for DOE custody nuclear weapon accidents or incidents.  It is designed to assist IRF and RTF commanders in forming their staffs for training and preparedness before an accident, and to facilitate the transition of the IRF and RTF staffs into the incident management structure upon occurrence of nuclear weapon accident.  Enclosure 2, section 2 of DoD 3150.08-M provides the flow of activities required of the DSF and RTF staffs.  This page serves as a guide for IRF and RTF commanders to use in integrating DoD staff personnel into the NIMS Incident Command System (ICS) construct.  It also provides the DoD SO with general background information on NIMS ICS functional sections and a brief discussion of specialized branches in the Operations Section of a JFO.  A more in-depth discussion of the NIMS ICS can be found in reference (d).  The NRF provides additional information on the JFO composition and functions.

Figure 1. Notional Nuclear Weapon Accident Incident Command

Figure 1. Notional Nuclear Weapon Accident Incident Command


2. INCIDENT COMMAND SYSTEM.
Figure 1. illustrates the structure of the NIMS ICS.  Figure 3. illustrates the structure for the ISF; the RTF structure is in Figure 4.  The IRF and RTF structures are the same with the exception of the Chief of Staff position in the RTF, as well as the possible addition of a Protocol Officer.  The basic ICS functions are Command, to include a Command Staff, and separate functional sections for Operations, Planning, Logistics, and Finance and Administration.  The ICS structure is very similar to the staff structure utilized by the Department of Defense in a joint task force (see reference (cp)), which is comprised of the commander, deputy commander, chief of staff, special staff, and staff directorates.   Table 1. shows which DoD staff functions may support the individual ICS staff positions; the table is designed as a guide to aid the DoD IC and is not intended to mandate staffing organizational requirements.  The NIMS ICS is flexible and the functional sections and subordinate branches and divisions should be tailored to the needs of the situation.

Table 1. ICS and DoD Staff Equivalency

Table 1. ICS and DoD Staff Equivalency

a. DoD Incident Commander (IC). This individual will initially be the IRF commander and then appointed by the Service with the responsibility for providing the deployed RTF.  Using the DoD JTF structure, the DoD IC is the IRF/RTF commander.  To aid the DoD IC in his duties, there is also a deputy commander to facilitate 24-hour operations. 

(1) DoD IC Responsibilities. The DoD IC has overall responsibility for the accident response in single jurisdiction DoD custody accidents, but normally forms a Unified Command (UC) with the DOE SEO.  In accidents involving multiple jurisdictions or statutory authorities, the DoD IC remains responsible for the area within the boundaries of an exclusive DoD jurisdiction (the NDA) and expands the collaborative Unified Command to include designated officials from agencies with jurisdictional or statutory authority or with functional responsibility for any or all aspects of accident site areas outside exclusive DoD jurisdiction.  To exercise these responsibilities, it is intended for the DoD IC to be at the accident site.  Specific responsibilities include:

(a) Making recommendations to the Combatant Commander on the proper employment of assigned and attached forces for accident management operations.

(b) Exercising directive authority for logistics for common support capabilities delegated by the Combatant Commander.

(c) Exercising operational control over assigned and attached DoD forces conducting operations within the NDA.

(d) Approving the IAP for each operational period (normally 12 hours) in conjunction with the other members of the UC.

(e) Ensuring all DoD forces involved at the incident site are fully aware of the RUF that are in effect.

(f) Ensuring that cross-service and interagency support is provided and the entire accident response operates as an effective, mutually supporting unified team.

(g) Establishing force protection policies and guidelines.

(h)  Using assigned and attached forces to best perform the mission.

(i) Identifying requirements for additional personnel.

 (j) Providing guidance to subordinate units for planning and conducting accident management operations

(k) Maintaining situational awareness and keeping the Combatant Commander informed.

 (l) Facilitating interagency coordination and establishing coordination procedures.

(m) Establishing the succession of command.

(n) Assigning specific missions to subordinate elements.

 (o) Approving the Weapon Recovery Plan in consultation with the DOE/NNSA SEO.

(p) Providing guidance for redeployment operations upon the conclusion of weapon recovery operations (Phase IV).

(2) Deputy DoD IC Responsibilities. The Deputy DoD IC serves as the principal assistant to the DoD IC and aids the DoD IC in the accomplishment of assigned and implied duties.  Additional Deputy DoD IC responsibilities include:

(a) Assuming command for one of the operational periods or whenever the DoD IC is otherwise unable to perform his duties.p

(b) Performing special duties as a directed by the DoD IC.

(c) Working with liaison officers and the functional sections to keep the DoD IC updated on events.

(d) Working with the PLA to ensure compliance with all applicable laws, regulations, processes, and procedures.

b. Command Staff. The Command Staff reports directly to the incident command (DoD IC or UC).  The Command Staff is composed of a Public Information Officer, a Chief of Staff, and may have a Protocol Officer; additionally, a Medical Advisor may be added.  A brief description of their responsibilities follows.

(1) Chief of Staff responsibilities include functioning as the principal staff officer and advisor to the DoD IC; coordinating and directing the work of the Command Staff and supervising the preparation of plans and information for the DoD IC; ensuring staff training is conducted when necessary; establishing the daily battle rhythm; managing the information management process in conjunction with the administration section; representing the DoD IC when necessary; ensuring DoD IC instructions are implemented; formulating and announcing staff policies and procedures for developing, tracking, and resolving requests for information; and ensuring all required liaisons are established.  If multiple jurisdictions are involved and a UC has been established, the Chief of Staff performs these functions for the UC.

(2) The Public Information Officer is responsible for interfacing with the public and media and/or with other agencies with incident-related information requirements.  The PIO develops accurate and complete information on the accident’s cause, size, and current situation, resources committed, and other matters of general interest for both internal and external consumption.  The PIO serves as the on-scene link to the Joint Information System and may also perform a key public information monitoring role.  Whether the command structure is single or unified, only one accident PIO should be designated.  Assistants may be assigned from other agencies or departments involved. The DoD IC or UC must approve the release of all accident-related information.  Additional specific responsibilities are discussed in the Public Affairs page.

(3) Legal Officer responsibilities include providing legal advice to the DoD IC or UC and the staff, as well as ensuring all plans, RUF, policies, and directives are consistent with military, and Federal, State, local, and tribal law.  Additionally, accurate records will need to be maintained.  The legal advisor should work closely with the Documentation Unit of the Planning Section to ensure all records are maintained in accordance with all applicable laws and regulations.  Finally, the legal officer should be very familiar with CERCLA (reference (av)).

(4) The Safety Officer monitors accident operations and advises the DoD IC on all matters relating to operational safety, including the health and safety of emergency responder personnel.  The ultimate responsibility for the safe conduct of accident management operations rests with the DoD IC or UC and supervisors at all levels of accident management.  The Safey Officer is, in turn, responsible to the DoD IC or UC  for the set of systems and procedures necessary to ensure ongoing assessment of hazardous environments, coordination of multiagency safety efforts, and implementation of measures to promote emergency responder safety, as well as the general safety of accident operations.  The Safety Officer has emergency authority to stop and/or prevent unsafe acts during accident operations.  In a UC structure, a single Safety Officer should be designated, in spite of the fact that multiple jurisdictions and/or functional agencies may be involved.  Assistants may be required and may be assigned from other agencies or departments constituting the UC.  The Safety Officer, Operations Section Chief, and Planning Section Chief must coordinate closely regarding operational safety and emergency responder health and safety issues.  The Safety Officer must also ensure the coordination of safety management functions and issues across jurisdictions, across functional agencies, and with private-sector and nongovernmental organizations.  Agencies, organizations, or jurisdictions that contribute to joint safety management efforts do not lose their individual identities or responsibility for their own programs, policies, and personnel.  Rather, each entity contributes to the overall effort to protect all responder personnel involved in accident management operations.

(5) Protocol Officer responsibilities include coordinating with the interagency, DoD, and SLT elements for distinguished visitors.  Distinguished visitors are considered general/flag officers with greater rank than the DoD IC and senior Federal, State, local, and tribal officials.

(6) The Liaison Officer (LNO) is the point of contact for representatives of other governmental agencies, nongovernmental organizations, and/or private entities to provide input on their organization’s polices, resource availability, and other incident related matters.  In either a single or UC structure, representatives from supporting or cooperating agencies and organizations coordinate through the LNO.  Agency or organizational representatives assigned to an accident must have the authority to speak for their parent agencies or organizations on all matters, following appropriate consultations with their agency leadership.  Assistants and personnel from other agencies or organizations (public or private) involved in accident management activities may be assigned to the LNO to facilitate coordination.  The unity of effort resulting from the UC structure may negate the need for LNOs.  The UC should make this determination on a case by case basis.

(7) A Medical Advisor may be designated and assigned directly to the Command Staff to provide advice and recommendations to the IC in the context of a nuclear weapon accident involving medical and mental health services to those personnel working at the accident site.  Alternatively, the Medical Advisor could be a member of the ASHG who is designated to assist the IC/UC when needed.

c. Operations Section. The DoD IC or UC will normally use the DoD Operations Officer (J-3) as the Operations Section Chief.  The Operations Section is responsible for managing tactical operations at the accident site.  It is organized into functional branches to accomplish the tasks of reducing the immediate hazard, saving lives and property, establishing situation and contamination control, and the recovery and disposition of the radioactive, hazardous, and classified materials.  Each functional branch integrates the resources and capabilities from applicable jurisdictions, organizations, and levels of government.  Figure 2. gives an example of a notional Operations Section.


Figure 2. Notional Operations Section Organizational Structure

Figure 2. Notional Operations Section Organizational Structure

Depending upon the scope of the accident and the number of jurisdictions involved, it may become necessary to further divide the functional branches of the Operations Section into Divisions representing different geographical areas or Groups representing sets of specific functions.  A notional example of the Law Enforcement Branch sub-divided into geographical Divisions is shown in Figure 3.    


Figure 3. Notional Jurisdictional Divisions

Figure 3. Notional Jurisdictional Divisions 

d. Planning Section (J-1, J-2, J-4, and J-5). The DoD IC or UC will normally make the DoD Plans Officer (J-5) the Plans Section Chief and the DoD Intelligence Officer (J-2) the assistant Planning Section Chief.  The Planning Section is responsible for collecting, evaluating, and disseminating tactical information pertaining to the incident.  It maintains information and intelligence on the current and forecasted situation, as well as the status of resources at the incident.  The Planning Section develops and documents the IAP for each operational period based on guidance from the IC or UC.  In essence, the Planning Section is operating 12-24 hours ahead of the Operations Section.  The Planning Section has four primary units and may include a number of technical specialists to assist in evaluating the situation and forecasting requirements for additional personnel, expertise, and equipment.  Figure 4. gives the organizational structure of the Planning Section.


Figure 4. Notional Planning Section Organizational Structure

Figure 4. Notional Planning Section Organizational Structure   

(1) Situation Unit. The Situation Unit collects, processes, and organizes ongoing situation information; prepares situation summaries; and develops projections and forecasts of future events related to the incident.  This unit also prepares maps and gathers and disseminates information and intelligence for use in the IAP.

(2) Resources Unit. Physical resources consist of personnel, teams, facilities, supplies, and major items of equipment available for assignment to or employment during accident management operations.  This unit ensures all assigned personnel and other resources have checked in at the incident command post.  The Resources Unit should have a system for keeping track of the current location and status of all assigned resources and should maintain a master list of all resources committed to accident management operations.

(3) Documentation Unit. The Documentation Unit maintains accurate and complete incident files, including a complete record of the major steps taken to resolve the accident; provides duplication services to accident management personnel; and files, maintains, and stores accident management files for legal, analytical, and historical purposes.  The Documentation Unit prepares the IAP for each operational period and maintains many of the files and records that are developed as part of the overall IAP and planning function.

(a) The importance of maintaining thorough and accurate records cannot be overstated.  It is reasonable to expect inquiries from various levels of government, liability litigation, and medical concerns all drive the need for complete record keeping.  Much of this information, however, will be affected by the Privacy Act of 1972, HIPAA (reference (ak)), and other legislation.  The Documentation Unit should work closely with other Incident Command sections and units to ensure all relevant information is captured and with the Commander’s legal advisor to ensure records are maintained in accordance with all applicable laws and regulations.  Finally, given the number of records maintained by several different agencies on radiation exposure, careful consideration should be given to the medium in which this data is maintained.  Security and portability are two key concerns.

(b) Due to the potential long term effects of radiation, exposure information is maintained in several different locations.  For example, radiation exposure history is recorded in the individual’s medical records.  Additionally, however, each of the services and the Defense Threat Reduction Agency maintains radiation exposure records for their personnel.  Finally, the National Personnel Records Center , a division of the National Archives and Records Agency (NARA) maintains copies of these records for 75 years.


Table 2. Sample Basic Operational Period IAP

Table 2. Sample Basic Operational Period IAP


(4) Technical Specialists. These personnel have special skills and are activated only when needed.  They may serve anywhere within the organization.  They may form a separate unit within the Planning Section, or be assigned to one of the other sections as needed.  Generally, if the expertise is needed for only a short period and normally involves only one individual, that individual should be assigned to the Situation Unit.  If the expertise is required on a long term basis or requires several personnel, it is advisable to establish a separate Technical Unit within the Planning Section.  For a nuclear weapon accident, the many separate teams responsible for radiological monitoring may necessitate the need to establish a Radiological Monitoring Unit within the Planning Section or Operations Section as circumstances dictate.

(5) Demobilization Unit. The Demobilization Unit develops an Incident Demobilization Plan that includes specific instructions for all personnel and resources that will require demobilization.  This unit should begin its work early in the operation, creating rosters of personnel and resources and obtaining any missing information as check-in proceeds.

e. Logistics Section (J-1, J-4 and J-6). The Logistics Section meets all support needs for the accident, including ordering resources through appropriate procurement authorities from off-incident locations.  It also provides facilities, transportation, supplies, equipment maintenance and fueling, food service, communications, and medical services for accident management personnel.  For large-scale nuclear weapon accidents, it may be necessary to divide these functions under two branches.  Figures 5. and 6. illustrate both organizational structures.  Regardless of the structure chosen, the functions of the individual units are the same.


Figure 5. Notional Logistics Section Organizational Structure

  Figure 5. Notional Logistics Section Organizational Structure


Figure 6. Notional Logistics Section:  Two Branch Organizational Structure

  Figure 6. Notional Logistics Section: Two Branch Organizational Structure

(1) Supply Unit. The Supply Unit orders, receives, stores, and processes all accident-related resources, personnel, and supplies.  This unit orders all off-incident tactical and support resources including personnel as well as expendable and nonexpendable supplies required for accident support.  The Supply Unit provides the support needed to receive, process, store, and distribute all supply orders.  It also handles tool operations to include storing, disbursing, and servicing. 

(2) Facilities Unit. The Facilities Unit sets up, maintains, and demobilizes all facilities used in support of accident operations.  The unit also provides facility maintenance and security services (to include armory operations if required) to support accident operations.  The Facilities Unit provides necessary support facilities to include food and water service, sleeping, sanitation and showers, and staging.

(3) Ground Support Unit. The Ground Support Unit maintains and repairs primary tactical equipment, vehicles, and mobile ground support equipment; records usage time for all ground equipment assigned to the accident; supplies fuel for all mobile equipment; provides transportation in support of incident operations (except aircraft); and develops and implements the Incident Traffic Plan.

(4) Communications Unit. The Communications Unit develops the Communications Plan to make the most effective use of the communications equipment and facilities assigned to the accident, installs and tests all communications equipment, supervises and operates the incident communications center, distributes and recovers communications equipment assigned to accident management personnel, and maintains and repairs communications equipment on site.  The Unit’s major responsibility is effective communications planning for the ICS, especially in the context of a multiagency incident.  This planning is critical for determining radio nets, establishing interagency frequency assignments, and ensuring the interoperability and the optimal use of all assigned communications capabilities.  Most nuclear weapon accidents involving a multiagency response will require a Communications Plan.    A secondary, but equally important responsibility, is ensuring the Documentation Unit has the technical means to establish and maintain accurate records.

(5) Food Unit. The Food Unit determines food and hydration requirements; plans menus, orders food, provides cooking facilities, cooks and serves food, maintains food service areas, and manages food security and safety concerns.  The Food Unit must interact closely with the following elements:

(a) Planning Section (2.d.), to determine the number of personnel who must be fed.

(b) Facilities Unit (2.e.(2)), to arrange food-service areas.

(c) Supply Unit (2.e.(1)), to order food.

(d) Ground Support Unit (2.e.(3)), to obtain ground transportation.

(e) Air Operations Branch Director (2.c.), to obtain air transportation (if applicable).

(f) Operations Section (2.c.), to determine an appropriate feeding schedule.

(6) Medical Unit. The primary responsibilities of the Medical Unit include development of the Incident Medical Plan for accident management personnel; developing procedures for handling any major medical emergency involving accident management personnel; providing continuity of medical care, including vaccinations, vector control, occupational health, prophylaxis, and mental health services for accident management personnel; providing transportation for injured accident personnel; coordinate, establish, and staff the routine rest and rehabilitation of incident responders; ensuring that accident personnel patients are tracked as they move from origin, to care facility, to final disposition; assisting in the processing of all paperwork related to injuries, radiation exposure, or deaths of accident assigned personnel; and coordinating personnel and mortuary affairs for accident personnel fatalities.

f. Finance/Administration Section (J-1 and Comptroller). A Finance/Administration Section is established when there is a specific need for financial reimbursement (individual department or agency) and administrative services to support incident management activities. The primary purpose of this section is to monitor the myriad sources of funds, and track and report the rate and level of expenditures during the operation.  This allows the IC to forecast the need for additional funds before operations are negatively impacted.  The Section Chief will determine the need for specific subordinate units.  Some possible required subordinate units are shown in Figure 7.

Figure 7. Notional Finance/Administration Section Organizational Structure

  Figure 7. Notional Finance/Administration Section Organizational Structure


(1) Time Unit. The Time Unit is primarily responsible for ensuring proper daily recording of personnel time, in accordance with the policies of the relevant agencies.  This unit also ensures the Logistics Unit records or captures equipment usage time, through the Ground Support Unit for ground equipment and through the Air Operations Support Group for aircraft.  If applicable (depending on the agencies involved), personnel time records will be collected and processed for each operational period.  Excess hours worked must also be determined, for which separate logs must be maintained.  Finally, the amount of time personnel are exposed to radiation must be ascertained and maintained.

(2) Procurement Unit. The Procurement Unit administers all financial matters pertaining to vendor contracts.  It coordinates with local jurisdictions to identify sources for equipment, prepares and signs equipment rental agreements, and processes all administrative requirements associated with equipment rental and supply contracts.  This Unit will work closely with the Supply Unit in the Logistics Section (see 2.e. above).

(3) Compensation and Claims Unit. The Compensation and Claims Unit handles all injury and compensation claims.  This includes investigating all civil tort claims involving property associated with or involved in the accident.  This unit maintains logs on the claims, obtains witness statements, and documents investigations and agency follow-up requirements.  Due to the nature of the unit’s function, it will have to work closely with both the Medical Unit (see 2.e.(6) above) and the Legal Officer in the IC Personal (Special) Staff (see 2.b.(3) above).

(4) Cost Unit. The Cost Unit provides cost analysis data for the accident.  It must ensure that equipment and personnel for which payment is required are properly identified, obtain and record all cost data, as well as analyze and prepare estimates of accident costs.  The Cost Unit also provides input on cost estimates for resource use to the Planning Section (see 2.d. above) and maintains accurate information on the actual costs of all assigned resources.

3. JOINT FIELD OFFICE
The JFO is a DHS-led multiagency coordination center.  The JFO organizational structure is based on the framework of the NIMS ICS, and many of the branches in the functional Sections parallel those of the ICS.  However, the JFO does not manage on-scene operations.  Instead, the JFO focuses on providing support to on-scene efforts and conducting broader support operations that may extend beyond the accident site, such as coordinating Federal support and providing area support when and where needed.  As with the accident site ICS, the JFO is a flexible organization, and the branches and staffing in each of the functional sections are based on situational requirements.  During accidents in which DHS does not establish a JFO, the DoD SO should operate within the Regional Response Coordination Center (RRCC) established by FEMA. 

a. JFO Coordination Group. Utilizing the NIMS principle of Unified Command, JFO activities are directed by a JFO Coordination Group.  If present, the PFO coordinates the overall Federal accident management and assistance activities.  If a PFO is not assigned, the FCO or FRC provides overall coordination for the Federal components of the JFO.  When DoD, as coordinating agency, is leading the Federal response, the DoD SO performs the duties of the PFO.  A notional JFO Coordination Group for a nuclear weapon accident or incident is shown in Figure 8.


Figure 8. Notional JFO Coordination Group for a Nuclear Weapon Accident or Nuclear Weapon Incident

Figure 8. Notional JFO Coordination Group for a Nuclear Weapon Accident or Nuclear Weapon Incident


b. Operations Section.

(1) In a U.S. nuclear weapon accident or incident, the JFO Operations Section will have a Response and Recovery Branch comprised of four groups: Emergency Services, Human Services, Infrastructure Support, and Community Recovery and Mitigation.  When the accident results in contamination, the Operations Section will also have a DoD-led Site Remediation Group under the Response and Recovery Branch or SR may be established as a Branch directly under the Operations Section.

(2) The Operations Section may also have a FBI-led Law Enforcement Investigative Operations (JOC) Branch until terrorism is ruled out as a cause of the accident.  A Security Operations Branch may also be established to assist in site security of classified components and materials.  If a Domestic Emergency Support Team (DEST) is deployed, it would normally be placed in support of the JOC; Figure 9. provides an example of a notional JFO Operations section structure.

Figure 9. Notional JFO Operations Section Structure

Figure 9. Notional JFO Operations Section Structure   


(3) The subordinate structure of the JFO Planning Section and the Finance/Administration Section will likely have the same titles as those of the accident site ICS.  As with the other JFO functional Sections, the focus is broader, at a higher level, and in support of the JFO Coordination Group.

(4) The JFO Logistics Section coordinates logistics support that includes control and accountability for Federal supplies and equipment; resource ordering; delivery of equipment, supplies, and services to the JFO and other field locations; facility location, setup, space management, building services, and general facility operations; transportation coordination and fleet management services; information and technology systems services; administrative services such as mail management and reproduction; and customer assistance. The Logistics Section may include the branches of Coordination and Planning, Resource Management, Supply, and Information Services Branches.  Figure 10. shows a notional JFO Logistics  Section structure that includes these organizations.  

Figure 10. Notional JFO Logistics Section Organizational Structure

Figure 10. Notional JFO Logistics Section Organizational Structure


TAB A. JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN

JFO INCIDENT ACTION PLAN


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