Emergency Operations Center Capability Assessment Checklist

Emergency Operations
Center Capability
Assessment Checklist
December 2017

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Emergency Operations Center Capability Assessment Checklist

Table of Contents

Introduction....................................................................................................................................1

EOC Assessment and Siting..........................................................................................................2

Hazard and Vulnerability Assessment...................................................................................2
Capability Assessment.............................................................................................................2
Site Selection.............................................................................................................................4

EOC Building Design and Requirements....................................................................................6

Building Design........................................................................................................................6
Room Design.............................................................................................................................7
Personnel Space Requirements...............................................................................................8

Communications and Information Management........................................................................9

Communications Requirements.............................................................................................9
Information Management Systems......................................................................................10

EOC Management and Standard Operating Procedures........................................................11

Standard Operating Procedures...........................................................................................11
EOC Supplies and Equipment..............................................................................................11

Validation......................................................................................................................................13
Training..................................................................................................................................13
Exercises..................................................................................................................................14

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 Emergency Operations Center Capability Assessment Checklist

Introduction
This checklist focuses on criteria that enhance readiness, capability, and functionality of
Emergency Operations Centers (EOCs). It was derived from a U.S. Federal Emergency
Management Agency (FEMA) EOC checklist and was customized by the U.S. Forest
Service and the NDRRMC Technical Working Group led by the Office of Civil Defense
(OCD). It is intended for assessing the capabilities of both primary and alternate EOCs.

This document is intended to be useful to a range of audiences, including jurisdictions

and other entitiesthat are in the process of:
 Defining design requirements for new EOCs
 Assessing existing EOCs to identify areas of improvement
 Identifying components for consideration in exercise development
 Identifying points of failure and points of success in After Action Reports (AAR)
from exercises or real-world activations

This last item is particularly important to note. An activated EOC is a dynamic place, and
it has a prominent role in a multi-agency coordination system. A number of agencies
work together under an increased and often unfamiliar operational tempo. A number of
technological systems interact to provide varying amounts of information upon which
critical decisions must be made. Procedures and plans are implemented by people with
varying levels of training and expertise in emergency management. Political
considerations can influence outcomes, as can public behavior in the face of an
emergency.

The assessment components in this document are not requirements or guidelines, but
rather a tool for considering elements that will improve the functionality of an EOC as
construction, enhancements, or renovations take place.

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Emergency Operations Center Capability Assessment Checklist

EOC Assessmentand Siting

The capabilities of an EOC should be based upon a hazard and vulnerability assessment
that identifiesnatural, accidental, and intentional hazards and considers them in relation to
each other in terms of likelihood and potential consequences. Once the hazards facing a
community have been identified, it is then possible to determine the capabilities needed
to respond to the potential impacts of those hazards. A successful EOC must provide its
jurisdiction, as well as neighboring/provincial/regional jurisdictions under appropriate
circumstances, with the capability to coordinate response to the risks identified by the
hazard and vulnerability assessment.

Hazard and Vulnerability Assessment

EOC Component Primary Alternate
1. The EOC can survive the effects of relevant hazards as identified in
jurisdictional hazard and vulnerability assessment).
2. The EOC Operations Manual identifies a staff position that is tasked with
identifying such vulnerabilities.
3. EOC plans and procedures specifically address the potential impacts of
natural, accidental, and intentional risks to the EOC or alternate facility.

Capability Assessment
Personnel Requirements
EOC Component Applicable
1. The EOC has adequate staffing based on sustained operations (i.e., minimum—72
hours, three-deep roster for each position).
2. The EOC has a system in place to manage volunteers.
3. Personnel are identified to operate and maintain communications equipment at the
EOC during an emergency event.
4. Personnel (e.g., EOC personnel, police, or other security personnel) are identified to
provide security to the facility in the event of an emergency.
5. A safety or security agent is identified to issue access control badges and authorize
access to EOC personnel from other jurisdictions, including Regional and National
personnel.
6. Additional government personnel are readily available to augment the EOC should
the emergency escalate beyond the capability of the on-duty EOC team.
7. The emergency monitoring and warning system(e.g. water level measurements) is
identified and is monitored and/or staffed 24 hours, seven days a week.

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 Emergency Operations Center Capability Assessment Checklist

Plans
EOC Component Applicability
1. An EOC Operations and Administration/Functional Manual is developed and
maintained.
2. EOC plans and procedures identify specific communications channels to local
agencies and organizations that are assigned emergency responsibilities.
3. EOC plans and procedures specifically address the potential impacts of relevant
risks to the EOC or alternate facility.
4. EOC plans and procedures address the protection of computers, communications
equipment, and other vital EOC equipment in a hazard event.
5. Plans and procedures are in place to supplement EOC personnel, including
identifying backup personnel to facilitate 24-hour operations.
6. Plans and procedures are in place to test the generator at full load on a regular
basis.
7. Fuel contracts are in place to ensure regular delivery of fuel to the EOC during a
long-term event.
8. Resource inventories are developed and kept up-to-date.
9. EOC has the capability to coordinate voluntary organizations during disasters.
10. The EOC has developed Public Service ContinuityPlan in the event of
disaster/disruption.
11. The EOC has the ability to obtain pre-disaster maps, photographs, and other
documents.
12. The conditions and process under which the EOC is activated, staffed, and
deactivated are defined.
13. Warning and Public Information dissemination agreements are in place with local
radio, TV, cable TV, newspapers, and other media.
14. The EOC has established alternate methods for contacting media.
15. Mutual Aid Agreements/Memorandums of Understanding (MOUs)/Twinning
Concept/System are in place with other EOCs to obtain trained personnel for
augmentation.
16. Security measures are addressed in EOC plans and procedures.
17. Security plans address actions associated with higher threat levels (e.g., additional
barriers, increased surveillance, additional guards).
18. Plans address scaled EOC activation and operations depending on the scope of the
emergency.

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Emergency Operations Center Capability Assessment Checklist

Site Selection
This section focuses on criteria specific to selecting a location for your EOC. The single
biggest consideration in EOC site selection is avoiding potential hazards. Topics covered
in this section include vulnerability, central location, proximity to key personnel, traffic
flow, accessibility, parking, and mitigation considerations.

EOC Component Primary Alternate

1. The EOC is in a government owned, privately owned /leased facility.
2. The EOC is in an area that avoids congestion (e.g., transportation
chokepoints such as inadequate thoroughfares and bridges) or debris
from collapsing buildings.
3. The EOC is located near an adequate road network for ease of access.
4. Government executives/key officials have rapid access to the EOC.
5. The EOC has adequateparking for activations.
6. The EOC is located outside known high-risk areas (e.g., floods,
earthquakes, nuclear power plant, and Hazardous Material (HAZMAT)
sites).
7. If the EOC is located within a known high-risk area, actions have been
taken to mitigate risk.
8. If necessary, the EOC is located away from airfields and airports.
9. The EOC is located away from high-voltage power lines and pipelines.
10. The EOC is situated at a location that allows good radio transmission
and reception.
11. With respect to seismic safety, the EOC conforms to theNational Building
Code of the Philippines (for revision and development).
12. The EOC site has a helicopter landing pad/zone or a nearby area clear
enough for a helicopter to approach/land.
13. The EOC site can accommodate long-term growth.
14. Construction of the EOC does not change or alter listed, or nationally-
designated, historic sites or structures.

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 Emergency Operations Center Capability Assessment Checklist

Mitigation Considerations
EOC Component Primary Alternate
1. Actions have been taken to mitigate against known relevant risks from
natural, accidental, intentional, and human-induced hazards—as
identified by jurisdictional hazard and vulnerability assessments.
2. The EOC has a collective protection system for Chemical, Biological,
Radiological, Nuclear, and Explosion(CBRNE) agents.
3. The lowest floor of the EOC is elevated above any flooding and other
identified hazards in the jurisdiction’s hazard and vulnerability
assessment.
4. EOC is retrofitted to be resilient to seismological hazards
5. The conditions that would cause the EOC to be relocated have been
identified.

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Emergency Operations Center Capability Assessment Checklist

EOC Building Designand Requirements

This section discusses how preliminary assessments are used to identify design
requirements for the EOC. Personnel space needs are covered as well as building design,
physical security, and room design.

Building Design
EOC Component Primary Alternate
1. The design/construction of the EOCin adherence of the National
Building Code is appropriate for the relevant risks identified for the
jurisdiction.
2. The EOC has the special structural capabilities necessary to improve its
survivability/resiliency.
3. The EOC has protection from blast effects.
4. The EOC has built in fire protection and other safety devices (e.g.,
sprinklers).
5. A filtration system to protect personnel from chemical contamination
and air-borne pathogenshas been installed for EOCs that are
vulnerable to Chemical, Biological, Radiological, Nuclearand Explosive
(CBRNE) agentsas indicated by the jurisdiction’s hazard and
vulnerability assessment.
6. Wiring and cabling of the EOC facility is designed to accommodate
future expansion.
7. The EOC complies with requirements of Persons with Disabilities(PwD).
8. EOC design and landscaping blends in with the local community.

Physical Security
EOC Component Primary Alternate
1. The building housing the EOC is set back from tree lines.
2. Physical security measures (e.g., barriers and gates) are used to restrict
vehicle access to the EOC.
3. The EOC is located in an area where it can quickly be secured.
4. Access to the EOC is controlled by a badge, card-swipe, and/or
biometric system. The security system in use is adequate to control
access to the facility and within the facility.
5. There are no access control systems (i.e., card access, elevators, or
lockout stairwells) that could preclude access to or egress from the
facility if rendered non-operational.
6. If the building shares access with another organization, processes are in
place to restrict access to operational areas when appropriate.
7. Consideration of security measures and implementation to secure
parking areas.

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 Emergency Operations Center Capability Assessment Checklist

EOC Component Primary Alternate

8. Consideration, if appropriate, to provide Closed Circuit Television
(CCTV) monitoring at all angles in case of possible security breach.
9. Adequate lighting is provided both inside and outside the EOC.
10. Appropriate security measures have been considered and taken to
ensure safety of items received.
11. Consideration of security measures and implementationto control
access to the facility.
12. Access is restricted to control panels of critical systems.
13. Ventilation, and air-conditioning (VAC) systems are available and
controllable 24-hours a day, seven days a week.
14. Appropriate/authorized staff has 24-hour access to the facility.
15. Periodic inspection of all personnel, equipment, and systems.

Room Design
EOC Component Primary Alternate
1. If EOC space is not dedicated, plans are in place to relocate day staff to
another location to ensure efficiency of emergency functions.
2. The EOC and any multi-use space have the capability to display audio-
visual media.
3. The EOC and any multi-use space have the capability to receive public,via
intercom, announcements.
4. The communication system within the EOC is located next to the operating
room.
5. The EOC has space, whether in one large room or a complex of rooms, for
an operations area to perform emergency response and management
functions;a communications room for centralized facsimiles, radios, and
video teleconferencing (VTC); and to secure communications (e.g., secure
voice, facsimile, and VTC).
6. The EOC has a dedicated communications room/center. This room/center
is adequate to support EOC communications requirements.
7. The EOC has access to support areas(e.g., file room and server sites).
8. Once activated, the EOC has a dedicated operations room with adequate
space to support the emergency response and EOC staff.
9. The EOC has adequate facilities for food storage/preparation.
10. The EOC has an uninterruptible power supply (UPS) to critical systems.
The duration of the UPS is adequate to support these systems/functions
until the backup power comes on line.
11. The EOC has a system to ensure backup power and emergency power
generation.

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Emergency Operations Center Capability Assessment Checklist

EOC Component Primary Alternate

12. The EOC has auxiliary lighting (e.g., flashlights, lanterns, batteries, and
bulbs).
13. There is a dedicated auditorium-type/conference/media/break-out room/s in
the general vicinity of the EOC. This room can be closed off to prevent an
impact on operational activity.

Personnel Space Requirements

EOC Component Primary Alternate
1. In accordance with the prescribed FEMA standards, the EOC allocates
150–200sq. ft. per person for the number of EOC staff assigned in an
emergency.
2. Additional personnel space requirements are based upon maximum staffing
levels for sustained operations (i.e., minimum – 72 hours: restrooms,
meeting spaces, quiet rooms, executive office space, recreational room,
fitness room, and smoking areas).
3. EOC design takes into account personnel space needs during sustained
operations (i.e., minimum – 72 hours: showers and condensed bedding
options).
4. The EOC could provide sleeping accommodations to support sustained
operations, if necessary (i.e., minimum – 72 hours).

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 Emergency Operations Center Capability Assessment Checklist

Communications and Information Management

This section addresses the handling and transfer of emergency-related information,including
handling of sensitive information and considerations for interoperability and secure
communications.

Communications Requirements
EOC Component Primary Alternate
1. Reliable/redundant/resilient communications exist between the EOC and
other agencies with assigned emergency responsibilities.
2. Reliable/redundant/resilient communications exist between the EOC and
adjacentjurisdictions.
3. Reliable/redundant/resilient communications exist between the local EOC
and Provincial EOC.
4. Reliable/redundant/resilient communications exist between the EOC and
Emergency Alert Warning Message (EAWM) broadcasters.
5. Reliable/redundant/resilient communications exist between EOC and civil
society/private sector organizations with assigned emergency
responsibilities.
6. EOC communication means are adequate to satisfy communications
requirements with consideration for radios, telephones, cell phones, satellite
phones, available frequency spectrum, and other issues.
7. For jurisdictions with regulatory programs (e.g., Radiological Emergency
PreparednessProgram and Chemical Stockpile Emergency Preparedness
Program), reliable communications exist between the facilities near site
operations centers, local EOCs, and specialized response teams.
8. If an emergency dictates, the need for communication interoperability exists
at all levels.
9. The EOC has a radio station or direct communication established with an
outside radio station.
10. EOC has the ability to monitor all natural and human-induced hazards data.
11. The EOC has direct control over a reliable warning system for the
jurisdiction.
12. The system is capable of warning special needs populations.
13. The system is capable of warning special locations (e.g., schools, hospitals,
and nursing homes).
14. Capability to monitor the broadcast of official information messages via all
modes of communication such as social media, SMS, internet, radio and
television at the EOC or media center.
15. Telecommunications can be configured to support the scale of emergency
response and management activities.

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Emergency Operations Center Capability Assessment Checklist

Information Management Systems

EOC Component Primary Alternate
1. Local Area Networks (LAN) and State-Wide Area Networks (WAN)
supporting emergency operations have adequate protection against cyber-
attack (e.g., unauthorized access, denial of service, or malicious code).
2. Written procedures and guidelines exist for data/information handling.
3. Adequate processes and access-control procedures are in place to protect
secure communications areas.
4. Areas where classified or sensitive information is discussed can be isolated
from unauthorized/un-cleared individuals.
5. The EOC has an uninterruptible power supply (UPS) to critical systems
(e.g. servers). The duration of the UPS is adequate to support these
systems/functions until the backup power comes on line.
6. Radio communications are protected (i.e., encrypted or have privacy
features).
7. The EOC has a secure facsimile capability.
8. The EOC has a secure communications room with space adequate to
support cleared EOC staff and secure communications requirements.
9. The EOC has secure communication capabilities and procedures with law
enforcement and other consequence management agencies (e.g., WMD
terrorism response).
10. The EOC has conducted a communications, electronics and information
systems assessment to identify information security weaknesses.
Corrective actions have been implemented.
11. Awareness training has ensured that EOC computer users understand the
security risks associated with networked computers and practice good
security.
12. Clear and consistent information concerning information security policies
and procedures are given to EOC staff.
13. EOC automation systems are protected by technical solutions such as
firewalls and smartcards. Virus updates occur regularly.
14. If personnel with security clearances are required, there are at least five
with clearances who are trained to use secure equipment, control and
protect classified material, and manage and control communications
security.
15. The EOC has the capability to assimilate hazard information into a common
format, such as a digital Geographic Information System (GIS), for
comparative evaluation.

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 Emergency Operations Center Capability Assessment Checklist

EOC Management and Standard Operating

Procedures
The EOC Management section discusses functions and considerations for supporting and
sustaining EOC operations including standard operating procedures (SOPs), supplies, and
equipment.

Standard Operating Procedures

EOC Component Primary Alternate
1. Emergency public informationprocedures
2. Activation, setup, and staffingprocedures
3. Security procedures
4. Information handling procedures
5. Communications procedures
6. Action planning procedures
7. Resource management procedures
8. Coordination procedures (i.e., mutual aid agreements)
9. Deactivation procedures
10. Procedures for relocating from the Primary EOC to the Alternate EOC
11. Procedures for after action reporting

EOC Supplies and Equipment

Communications
EOC Component Primary Alternate
1. The EOC has an alternate communication system.
2. The EOC has separate, dedicated facsimiles to transmit and receive
documents.
3. Mobile or transportable telecommunication systems are identified,
coordinated, and tested.
4. Alternate communication systems are identified for use in an
emergency.
5. EOC has primary and alternate electrical capability to sustain the
communication system.

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Emergency Operations Center Capability Assessment Checklist

Other Equipment
EOC Component Primary Alternate
1. The EOC has an adequate emergency power supply.
2. The EOC has an adequate supply of fuel for sustained operations (i.e.,
minimum—72 hours).
3. The EOC has adequate sanitary facilities.
4. The EOC has adequate medical and sanitary supplies for sustained
operations (i.e., minimum—72 hours).
5. The number of available computers and any multi-use spaces is adequate
to support emergency response operations.
6. The number of servers is adequate to support emergency response
operations.
7. The number of printers with toners, scanners, facsimile, and photocopiers is
adequate to support emergency response operationsin the EOC.
8. The EOC has auxiliary lighting (e.g., flashlights, lanterns, batteries, and
bulbs).
9. The EOC has sufficient administrative supplies for sustained operations
(i.e., minimum—72 hours).
10. The EOC has paper and electronic copies with back-ups/stockpiles of all
critical documentation and information such as reporting forms, tracking
forms, rosters, and plans and procedures.
11. Status and situation/incident boards permit immediate visual access to
information by all EOC staff members.

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 Emergency Operations Center Capability Assessment Checklist

Va l i d a t i o n
The validation section addresses training and exercise activities to support the effective
function of an EOC. Training initiatives should create awareness and enhance the skills
required to activate, setup, operate, deactivate, and demobilize an EOCfollowing a major
disaster. Exercises should be designed to test essential individual elements, inter-related
elements, or the entire emergency operations center plan(s).

Training
EOC Component Primary Alternate
1. Local government and Provincial EOCs conduct routine joint training
exercises to practice, test, and refine common operations, reporting, and
communications procedures.
2. The EOC training program addresses EOC role in the Philippine
DRRMSystem (e.g., ICS, and Clusters).
3. The EOC training program addresses management staff training.
4. The EOC training program addresses elected officials training (e.g., EOC
structure, operational methods, and priorities).
5. The EOC training program addresses positional roles and responsibilities.
6. The EOC training program addresses accredited volunteer training.
7. Emergency management staff maintainsrecord/database of trained EOC
personnel (e.g., training courses courses completed, evaluations,
certifications, and expiration dates).
8. Personnel have received training in Rapid Damage and Needs Assessment
(RDANA) procedures and other HADR/DRRM-related trainings consistent
with national requirements.
9. Staff members are familiar with the provisions for requesting disaster
assistance according to the emergency operations plan.
10. Staff members are trained and qualified to fulfill responsibilities under local,
Regional,National, and International policy guidelines and protocols.
11. EOC staff members are provided with adequatetraining opportunities for
professional development to enhance their emergency management
qualifications.
12. Personnel are trained to use communications systems, including back-up
and alternate systems.
13. Personnel are trained on specific procedures to limit the effects of hazards
on the EOC, including maintaining functionality and protecting equipment
from potential risks such as flooding or wind events.
14. Training materials are in place to quickly assimilate new and external
personnel to the EOC including job descriptions, job aids, and specialized
equipment training.
15. Personnel, both EOC personnel and outgoing day staff, are trained in the
relocation process when establishing the Alternate EOC.

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Emergency Operations Center Capability Assessment Checklist

Exercises
EOC Component Primary Alternate
1. Regularly scheduled EOC exercises (e.g., activation and relocation, table
top, and communications) are held. Participation by member agencies
includes key personnel assigned to the EOC and is sufficient to ensure an
efficient and timely activation during actual events.
2. The EOC Operations Manual has been used in exercises, drills, or actual
occurrences.
3. Impacts from natural or human-induced hazards to the EOC have been
included in exercises or drills at all levels.
4. Communication with all agencies, offices, organizations, and other
stakeholdershas been incorporated into the exercises.
5. All agencies, offices, organizations, and other stakeholder’s personnel have
been included in drills and exercises in order to simulate an escalated EOC
activation.
6. Strict implementation of access control and security measures has been
included in emergency exercises.
7. The generator has been used in emergency drills, exercises, or actual
occurrences.
8. The relocation of non-essential day staff and non-EOC personnel has been
tested in exercises or drills.
9. The EOC has a staff position identified to coordinate the development and
implementation of emergency management exercises.
10. After-Activity Reviews and Reports from exercises and actual activations
are used to improve EOC functionality.

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