Forms Revision Chart for FEMA Form 008-0-1
Forms Revision Chart for FEMA Form 008-0-1, (final) 2-25-2014.doc
Logistics Capability Assistance Tool (LCAT)
Forms Revision Chart for FEMA Form 008-0-1
OMB: 1660-0127
Forms Revision Chart
FEMA Form 008-0-1, LCAT Booklet (old)
FEMA Form 008-0-1, State Content Guide (new)
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LCAT Booklet |
The LCAT Booklet was originally produced with the User Guide in the beginning of the document and the LCAT Assessment Questions at the end of the document. This serves as a “read ahead” of sorts for the states to look over before the actual visit. This document is not published to the participants of the LCAT any longer as the State Content Guide supersedes the LCAT Booklet. |
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State Content Guide |
The State Content Guide was produced as a version 2 of the LCAT Booklet which is a more refined document. It takes a more descriptive approach with all of the definitions within the tool as well as it shows screen shots of the application for the user to become more familiar with the software. The remainder of the document is focused on the assessment questions and their answers with definitions correlating to each question as it would relate to the state. When FEMA visits a state, this is the booklet that is printed and given to each representative attending an LCAT Session. While these documents are similar in nature, they cannot be compared in a “current text vs. revised text” because the LCAT Booklet is now obsolete while the State Content Guide is the current document that is used with the states participating in LCAT. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Title Page |
OMB Control Number: 1660-NEW FEMA Form Number: 008-0-1 Expiration Date:
Paperwork Burden Disclosure Notice
Public Reporting burden for this form is estimated to average 12 hours per response. The burden estimate includes the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and submitting the form. This collection of information is voluntary. You are not required to respond to this collection of information unless it displays a valid OMB control number. Send comments regarding the accuracy of the burden estimate and any suggestions for reducing the burden to: Information Collections Management, Department of Homeland Security, Federal Emergency Management Agency, 500 C Street, SW, Washington, DC 20472, Paperwork Reduction Project (1660-NEW) NOTE: Do not send your completed form to this address.
Federal Emergency Management Agency (FEMA) Logistics Management
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Title Page |
Logistics Capability Assessment Tool (LCAT) |
Logistics Assistance Tool (LCAT) State Content Guide |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page ii, iii, iv,v,vi, vii, viii |
Table of Contents
Back Cover LCAT CD |
Table of Contents 1.0 Introduction 1.1 Purpose 2.0 Authorities 2.1 Federal Emergency Management Agency 2.2 Logistics Management Directorate 3.0 Logistics Capability Assistance Tool Background 3.1 Logistics Capability Assistance Tool Concept 3.2 Logistics Capability Assistance Tool Objectives 3.3 Logistics Capability Assistance Tool Structure 3.3.1 Logistics Planning 3.3.2 Logistics Operations 3.3.3 Distribution Management 3.3.4 Organizational Functions 3.3.5 Property Management 3.4 Logistics Capability Assistance Tool Benefits 4.0 Logistics Capability Assistance Tool Workshop 4.1 Workshop Conduct Suggestions 4.2 Recommended Participants 5.0 Logistics Capability Assistance Tool User Instruction 5.1 Overview 5.1.1 Features 5.1.2 Interface 5.1.3 Computer Requirements 5.1.4 Installing the Logistics Capability Assistance Tool 5.1.5 Uninstalling the Logistics Capability Tool 5.2 Logistics Capability Assistance Tool Operation 5.3 Accessing the Questionnaire 5.4 Saving an Assessment Opening an Existing Logistics Capability Assistance Tool File 5.5 Navigation 5.5.1 Assessment Tab 5.5.2 Results Tab 5.5.3 Graphs Tab 5.5.4 Participants Tab 6.0 Logistics Capability Assistance Tool Questionnaire 6.1 Logistics Planning Questions 1.1.1 (Q1) Has your state identified the most likely catastrophic disaster scenario and its impacts 1.1.2 (Q2) Does your state have a current formal logistics plan? 1.1.3 (Q3) How does the state use modeling and/or geographic information system (GIS) analysis to determine logistics support requirements? 1.1.4 (Q4) Does your state logistics plan support an all-hazards EOP that addresses the eight key scenarios described in National Response Framework (NRF)? The eight key scenarios are explosive attack, nuclear attack, radiological attack, biological attack, chemical attack, natural disaster, cyber-attack and pandemic influenza. 1.1.5 (Q5) How is (are) your state logistics plan(s) reviewed? 1.1.6 (Q6) How does the state exercise your logistics support plan? 1.1.7 (Q7) How is your state logistics plan incorporated into the overall emergency operations plan? Is the plan feasible? 1.1.8 (Q8) How does the state Emergency Operations Plan (EOP) meet requirements outlined in Comprehensive Preparedness Guidance (CPG) 1.1.9 (Q9) How does your state capture logistics response requirements for a catastrophic disaster? 1.1.10 (Q10) If your state has considered a catastrophic disaster scenario(s) and its impact, what type of catastrophic scenario response planning is accomplished? 1.1.11 (Q11) How does your state prepare to provide commodities to affected populations in all-hazard situations? 1.1.12 (Q12) How does the State determine the quantities and types of critical commodities needed to support affected populations during the first 72 hours of a likely or catastrophic scenario? 1.1.13 (Q13) How does the state logistics plan address donated goods management? 1.1.14 (Q14) How does the state logistics plan address the use of volunteers? 1.1.15 (Q15) Have safety equipment and procedures been addressed in logistics plans and operational activities? 1.1.16 (Q16) What security provisions are made for distribution points? 1.1.17 (Q17) How are logistics Requirements identified for evacuating local residents and visitors and receiving evacuees from other jurisdictions or states? 1.2.1 (Q18) How are risks associated with logistics plans addressed? 1.2.2 (Q19) How does your state identify logistics contingency response resource shortfalls? 1.3.1 (Q20) What access to information on post-disaster damage to transportation infrastructure does your state logistics team have? 1.3.2 (Q21) How are state staging areas addressed in plans? 1.3.3 (Q22) How are operational requirements used to determine state staging area locations? 1.3.4 (Q23) How are staff and material requirements for state staging area operations identified? 1.3.5 (Q24) To what extent have minimum buffer (safety) stock levels and restock protocols been established for commodities at state and local staging areas? 1.3.6 (Q25) How are PODs addressed in state's logistics plans? 1.3.7 (Q26) What is the state methodology for identifying POD locations? 1.3.8 (Q27) How has the state captured the POD concept of support in plans? 1.3.9 (Q28) How has the state identified staff and material requirements for POD operations? 1.3.10 (Q29) How has the state worked with jurisdictions (county, local, tribal, etc.) to identify or determine capabilities of other agencies or the private sector to support food distribution? 1.3.11 (Q30) How extensive is transportation planning for commodities and assets during an incident? 1.3.12 (Q31) How do state plans address transporting materials through restricted areas? 1.4.1 (Q32) How does the state participate in the Emergency Management Accreditation Program (EMAP)? 1.4.2 (Q33) Have state logistics planners completed NIMS Incident Command System (ICS) training? 1.4.3 (Q34) How does the state sponsor or provide staging area and/or POD training? 1.4.4 (Q35) How does the state plan for exercises? 1.5.1 (Q36) What standard operating procedures (SOP) are in place for vetting potential commodity and service providers in the state? 1.5.2 (Q37) Do state logistics plans include public-private engagement? 1.5.3 (Q38) How has the state identified potential providers for commodities, trucking, and evacuee transport? 1.6.1 (Q39) How does the state disaster logistics organization minimize risk of nonperformance by vendors and service providers? 1.6.2 (Q40) What standard operating procedures (SOP) are in place for ordering and acquiring resources and services? 1.6.3 (Q41) How are state sourcing decisions tied to a critical resource management plan? 1.6.4 (Q42) How are contracts and emergency purchase procedures linked to state accounting practices and procedures? 1.6.5 (Q43) If applicable, how does the state utilize General Services Administration (GSA) sourcing and contracts with the private sector? 1.7.1 (Q44) What is the state process for issuing requests for proposals (RFP) or other offers for pre-incident contracts? 1.7.2 (Q45) How does the state balance its portfolio of vendor contracts, to include local, regional, and national/enterprise level providers? 1.8.1 (Q46) What process is used to make private sector liaisons easily accessible to state logistics personnel? 1.8.2 (Q47) How does the state use performance-based contracting (PBC) for goods and services? 1.8.3 (Q48) How are existing trucking contracts linked to a forecasted distribution model and/or do the contracts have provisions for demand scalability throughout the state? 1.8.4 (Q49) How are contracts evaluated in conjunction with periodic logistics plans reviews?
6.2 Logistics Operations Questions 2.1.1 (Q50) How are state requirements generated through an ad hoc or formal process based on established and accepted planning factors? 2.1.2 (Q51) What is the state logistics situation reporting process? 2.1.3 (Q52) How are commodity requirements adjusted to reflect post-evacuation population? 2.1.4 (Q53) How are the state's commodity requirements adjusted to reflect first responder and base camp populations? 2.1.5 (Q54) How are estimated shelter support requirements included in the state's overall commodity requirements? 2.1.6 (Q55) How are generator requirements determined by your state? 2.2.1 (Q56) What documented standard operating procedures does the state have for state staging area operations? 2.2.2 (Q57) What does your state have as documented standard operating procedures for POD operations? 2.2.3 (Q58) How does your state demobilize PODs? 2.3.1 (Q59) How does the state pre-identify mission requirements? 2.3.2 (Q60) What standard typing protocols does your state use to identify required logistics resources by capability? 2.3.3 (Q61) What documented in-state (municipality or county level) mutual aid agreement request policies, procedures and information technology tools does your state have? 2.3.4 (Q62) What documented interstate (state-to-state level) Emergency Management Assistance Compact (EMAC) request policies, procedures, and information technology tools does your state have? 2.3.5 (Q63) What organization is defined as the state’s lead agency coordinator for logistics? 2.3.6 (Q64) What documented policies, procedures, and automation tools does your state have for Action Request Form (ARF) submissions to FEMA? 2.3.7 (Q65) How does your state train personnel to prepare and track ARFs? 2.3.8 (Q66) What are the state’s resource management processes and procedures? 2.3.9 (Q67) How does the state document commodity or equipment orders? 2.3.10 (Q68) What automated information technology does your state use to facilitate order status updates? 2.3.11 (Q69) If the state does not use automated information technologies, (e.g., RFID or satellite), how is information management used to facilitate order status updates? 2.4.1 (Q70) What is the process for ensuring that state logistics personnel have access to the common operational picture (COP) so that they have appropriate situational awareness? 2.4.2 (Q71) How does the state integrate purchasing information into the logistics common operating picture? 2.5.1 (Q72) How is purchasing training incorporated into the state disaster logistics process? 2.5.2 (Q73) How do lead time standards affect the state mission assignment process? 2.5.3 (Q74) What first in, first out (FIFO) commodity sharing and visibility structure does your state use with neighboring counties and states? 2.5.4 (Q75) How does the state ensure that key state logistics personnel understand the Federal procurement reimbursement program? 2.6.1 (Q76) To what extent has the state determined transportation requirements for commodity distribution? 2.6.2 (Q77) To what extent has the state determined ground evacuation transportation requirements? 2.6.3 (Q78) To what extent have logistics support requirements for the ground evacuation mission been established? 2.6.4 (Q79) To what extent has the air evacuation transportation requirements for your state established been established? 2.6.5 (Q80) What logistics support requirements for the air evacuation mission has your state identified? 2.6.6 (Q81) How does your state measure transportation utilization?
6.3 Distribution Management Questions 3.1.1 (Q82) What order/commodity tracking system does your state have in place? 3.1.2 (Q83) How does your state receive order status updates? 3.1.3 (Q84) How are orders closed out upon delivery in your state? 3.1.4 (Q85) What transportation scheduling system does the state use; push driven (a fixed delivery schedule of a set quantity to a set location), pull driven (demand), or a combination of both? 3.2.1 (Q86) How are multi-factor criteria used to select transportation providers (carriers) in your state? 3.2.2 (Q87) What organization is defined as the state’s lead agency coordinator for transportation? 3.2.3 (Q88) What function best describes the role of the transportation coordinator? 3.2.4 (Q89) How does the state establish contracts or agreements with transportation providers, public or private? 3.2.5 (Q90) How do transportation carriers provide status/location updates? 3.2.6 (Q91) How does your state manage and assign loads to carriers? 3.2.7 (Q92) How does your state gain in-transit visibility capability? 3.2.8 (Q93) How does the state determine when security escorts will be used to protect critical loads? 3.3.1 (Q94) How are distribution location inbound and outbound shipment schedules coordinated? 3.3.2 (Q95) How are inbound shipments to your state scheduled or managed to control distribution flow into distribution points?
6.4 Organizational Functions Questions 4.1.1How is disaster logistics aligned with disaster planning, response, and recovery functions in your state? 4.1.2 (Q97) What is the status of state disaster logistics personnel staffing? 4.1.3 (Q98) Overall, how is disaster logistics positioned within your state's emergency management organization? 4.1.4 (Q99) What is the status of the state logistics system communications plan and does it include horizontal and vertical reporting (state, local, and federal)? 4.2.1 (Q100) What roles and standard processes and procedures are established for state logistics personnel? 4.2.2 (Q101) How does your state logistics organization generate requirements for staffing (roles and number of personnel)? 4.3.1 (Q102) What routine measures does your state have to assess the training levels of logistics personnel to drive continuous improvement and education? 4.3.2 (Q103) How does your state assess disaster logistics preparedness and capabilities? 4.3.3 (Q104) How does your state capture logistics best practices and lessons learned? 4.3.4 (Q105) What institutional procedures does your state have in place to incorporate lessons learned and shortfalls into logistics planning? 4.4.1 (Q106) What ongoing logistics training and exercise plan does your state have? 4.4.2 (Q107) What standard methodology does your state have in place for collecting and storing real world logistics data from past incidents and exercises? 4.4.3 (Q108) What types of disaster logistics exercises does your state conduct? 4.4.4 (Q109) How has your state logistics organization adopted the guidelines and principles communicated in the following documents? 4.5.1 (Q110) What is the level of disaster logistics technology automation used in the state? 4.5.2 (Q111) To what extent do state laws restrict pre-incident private vendor contracts for commodities and/or logistics services, early commodity acquisition, and warehousing?
6.5 Property Management Questions 5.1.1 (Q112) What is the state capability to warehouse and distribute commodities to impacted populations using vendor managed inventory (VMI) and/or jurisdiction-owned commodities? 5.1.2 (Q113) To what extent is the state’s Accountable Property Manager (APM) or equivalent responsible for state-owned commodities and equipment? 5.2.1 (Q114) What warehousing requirements has your state determined are needed to support impacted populations? 5.3.1 (Q115) What equipment and material handling equipment capability does the state have to warehouse and distribute commodities to impacted populations during the first 72 hours after an incident? 5.3.2 (Q116) What level of visibility does the state have of organic logistics equipment? 5.3.3 (Q117) How is state-owned equipment maintenance and operational status documented and monitored in your state? 5.3.4 (Q118) What level of visibility does your state have of leased (contracted) logistics equipment? 5.3.5 (Q119) What are the state’s maintenance requirements for leased (contracted) logistics equipment? 5.3.6 (Q120) How does your state track organic (state owned) fixed generator scheduling and maintenance and operational status? 5.3.7 (Q121) How does your state track scheduling and maintenance and operational status of organic (state owned) portable generators? 5.3.8 (Q122) What level of visibility does your state have of leased (contracted) generators? 5.3.9 (Q123) What are the maintenance requirements for leased (contracted) generators? 5.3.10 (Q124) What level of scalability does the state have for equipment management and maintenance capabilities? 5.4.1 (Q125) What level of visibility does the state have of organic commodity inventory? 5.4.2 (Q126) How is inventory availability reflected in your state's commodity inventory management data base? 5.4.3 (Q127) What level of visibility does your state have of vendor managed commodity inventory? 5.4.4 (Q128) How is vendor managed inventory (VMI) availability reflected in the state commodity inventory management data base? 5.4.5 (Q129) How scalable are the state’s commodity management capabilities? 5.4.6 (Q130) How does your state conduct periodic/routine inventories and shelf life inspections of commodities?
APPENDIX A: ACRONYMS, TERMS, DEFINITIONS, AND ABBREVIATIONS
A.1 Acronyms A.2 Glossary
APPENDIX B: RESOURCES AND REFERENCES
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 1 |
The Logistics Capability Assessment Tool (LCAT) is a collaborative logistics planning and preparedness tool that improves the common operating picture for local, state, and federal responders. As such, state emergency managers will garner the greatest benefit from its implementation by bringing all public and private planning and response partners together for a two-day workshop. Participants should include state emergency management officials, as well as FEMA logistics personnel, FEMA Regional representatives, local emergency managers, National Guard Bureau, and private sector partners. Bringing together all partners involved in disaster logistics planning and response ensures more complete and accurate answers to the LCAT and promotes discussion, awareness, and cross-flow of information between the various agencies. |
1.0 INTRODUCTION
This guide is designed to assist you in using the Logistics Capability Assistance Tool (LCAT) to assess your disaster response logistics capabilities. The information presented here will assist you during the process of answering a set of questions designed to analyze your response capabilities. This guide provides an explanation of each LCAT question to help you understand its intent and a suggested approach is provided to help you answer each question.
You could respond to the questions during an LCAT workshop or a self assessment. Regardless of whether you are participating in a workshop or a self assessment, your thought process should be the same – a straightforward objective judgment of how your current processes or procedures reflect the capabilities addressed in each question. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 1-2 |
The LCAT is tailored for use by states to evaluate their current disaster logistics readiness, identify areas for targeted improvement, and develop a roadmap to both mitigate weaknesses and further enhance strengths. The tool has been developed from the perspective of state logisticians for their benefit. The LCAT and state responses to questions within the LCAT are, and will remain, confidential and will not be shared with any other states or agencies. FEMA Regions will facilitate state workshops with FEMA HQ LMD support. The LCAT can also be used by states for regular self-assessments. As such, states can track improvements in particular functional areas from the time a state’s baseline score was taken.
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1.1 Purpose
Congress directed the Federal Emergency Management Agency (FEMA) to develop a program that could be used to improve readiness, increase response capacity, and maximize both the management and impact of homeland security resources. At the direction of the FEMA Logistics Management Directorate (LMD), the resulting LCAT was developed with a concentration on state and local jurisdictions’ ability to determine levels of disaster logistics planning and response capability. The results are also critical to identifying where to focus additional planning efforts. As a collaborative logistics planning and preparedness tool, LCAT can be used to enhance logistics disaster response capabilities and provide a common operating picture for local, state, regional, and federal responders. It is standardized and transportable. LCAT was created to be used by states to evaluate their current disaster logistics readiness, identify areas for targeted improvement, and help develop a roadmap to both mitigate shortfalls and limiting factors, and further enhance strengths. The tool has been developed from the logistician’s perspective and for the logistician’s benefit. Ultimately the state and its citizens gain from the resulting increase in logistics capabilities. Responses to LCAT questions are restricted information and will not be shared with any other regions, jurisdictions, or agencies. The participating state will determine if the results will be disseminated outside the state and, if disseminated, to whom they will be available. Emergency managers at all jurisdictional levels will garner the greatest benefit from conducting LCAT workshops by including as many public and private planning and response partners as possible in the actual workshop. A workshop would ideally be conducted in 1.5 days or, if necessary, tailored to meet the state’s requirements. Successful disaster response logistics planning requires all partners to actively contribute to and participate in the workshop. The result will be a more complete and accurate picture of capabilities available for analysis, ensuring a common operating picture that portrays a shared reality. The LCAT process itself should promotes discussion, awareness, and information flow between the various participants and agencies. Workshops could be used as a baseline to track overall progress and improvements in specific core competencies, to validate successful programs, and to clearly identify where additional attention may be required. Beginning in fiscal year (FY) 2012, FEMA LMD will transition LCAT execution to the FEMA Regions. Through FY 2012, states can either request a workshop facilitated by FEMA personnel or conduct the self assessment on their own using instructional guides provided by FEMA. After FY 2012, Regional logistics chiefs will work with states to facilitate workshops. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 3 |
2.0 AUTHORITIES
The following subsections define the roles of the authorities responsible for the LCAT program. |
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FEMA Regions will facilitate state workshops with FEMA HQ LMD support. The LCAT can also be used by states for regular self-assessments. As such states can track improvements in particular functional areas from the time a state’s baseline score was taken. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 3 |
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2.1 Federal Emergency Management Agency
FEMA’s mission to reduce loss of life and property and protect communities nationwide from all hazards is the impetus for LCAT. To serve disaster survivors and communities more quickly and effectively, FEMA builds on experience, applies lessons learned and best practices from field operations, and gathers feedback from many sources to constantly improve upon its operational core competencies, of which disaster logistics is one.
FEMA implements 21st century logistics and procurement systems to help efficiently and effectively plan, identify, track, and distribute supplies needed by disaster survivors, emergency responders, and other users on the ground. Working with an array of public and private strategic partners, donors, and pre-arranged contractors, FEMA provides improved logistics integration and customer support. |
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Planning (49 Questions)
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 3-4 |
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2.2 Logistics Management Directorate
FEMA LMD plans, manages, and sustains national logistics response and recovery operations in support of domestic emergencies and special incidents. LMD establishes national procedures, fosters transparency through collaboration and coordination, and is focused on technology enhancements to expand region and state level logistics capabilities. LMD is organized around the following four core competencies:
Logistics Plans and Exercises - Develops and provides cohesive and synchronized logistics plans and exercises to achieve both short and long term readiness requirements. Ensures deliberate planning efforts result in coordinated concepts of operations (CONOPS) and plans that define repeatable processes. These processes support optimized national logistics response and recovery operations supporting domestic emergencies and special incidents.
Logistics Operations - Manages and executes national logistics command and coordination, tracking, and reporting for all-hazard operations. Stores, maintains, and deploys temporary housing units.
Distribution Management - Manages a comprehensive supply chain, warehouse, and transportation operation using a strategic alliance to effectively and efficiently distribute supplies, equipment, and services to support emergencies.
Property Management - Provides management oversight, internal control, and technical reviews in the areas of property accountability, reutilization, and disposal of disaster operations equipment. Implements an enterprise-wide property accounting and asset visibility system that is designed to ensure best value.
LMD’s strategic direction includes people, customers, processes, and systems, outlined as follows.
People - Develop a professional logistics workforce, including regional staff, through hiring, training, credentialing and professional development; foster an accountability and results based culture.
Customers - Develop collaborative relationships with key stakeholders; foster both horizontal and vertical coordination; and develop bottom up requirement processes.
Processes - Modernize and integrate the national supply chain network, institute logistics planning to enhance response capability, develop and document key business policy and processes, perform analyses, and take a systematic approach to task and issue resolution.
Systems - Modernize the logistics system network; upgrade and fully integrate our systems to achieve maximum capability effectiveness. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 5 |
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3.0 LOGISTICS CAPABILITY ASSISTANCE TOOL BACKGROUND |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 5 |
The Logistics Capability Assessment Tool features 130 survey-style questions, which are grouped into subcategories within each of the five functional areas listed above. Participants respond to each question by identifying where the state fits along a range of five capability levels, from Static to Synchronized. Capability levels are defined below:
An example LCAT question can be found below in Figure 1 below:
Figure 1 After all questions are answered within a category, the LCAT generates a results chart which provides a snapshot of where the state’s relative strengths and weaknesses lie within each functional area. After all tabs are complete, the tool generates an executive dashboard summary view of overall capability levels. A snapshot of the executive dashboard summary is below in Figure 2.
Figure 2 |
3.1 Logistics Capability Assistance Tool Concept
LCAT features over one hundred survey-style questions, grouped into functional capabilities within five core competencies. You should respond to each question with complete honesty, by identifying your state’s abilities along a range of five capability levels, from static to synchronized. In other words, the goal of this workshop is to determine where your range of capability corresponds with the levels defined below:
Static – The state has not yet developed and/or implemented a viable strategy within the functional area.
Functional – The state has implemented informal plans or processes, but standard operating procedures (SOP) have not been defined or adopted.
Horizontal Integration – The state has developed and implemented formal, integrated SOPs across its emergency management (EM) organization.
External Collaboration – The state has coordinated plans and SOPs with other state, local or tribal, and external partner agencies, organizations, and private vendors.
Synchronized – All local, state, federal, and private partners have fully integrated and synchronized plans, procedures, and operations. All plans and SOPs have been documented and exercised regularly with all participants. The state has demonstrated mastery of this capability.
Using a standardized approach and validated measurement criteria, LCAT objectively evaluates jurisdictional capability to perform basic logistics response and recovery functions and targets specific areas that need improvement. These capability levels should not be equated to a 1-5 scoring system, and the top-most level is not always the best fit for every state. There is a ―Not Applicable‖ option for all questions, so states should not feel compelled to find ways to make capability levels applicable. If the question is not indicative of a capability appropriate for the state, ―Not Applicable‖ could be the most appropriate response. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 5-6 |
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3.2 Logistics Capability Assistance Tool Objectives
LCAT is designed to improve the common operating picture (COP) for local, state, and federal responders—identifying any gaps between the current state of preparedness and the desired state of preparedness. An added benefit of LCAT and the LCAT workshop concept is the inherent collaboration and common operating picture achieved among state, local, regional, other agency, and private sector partners who participate in the workshops. Stakeholders will gain a more complete understanding of roles, responsibilities, and dependencies; strengthen and build upon existing relationships; and foster new logistics response partnerships. Implementing the tool requires state personnel to work closely with counterparts from other state agencies, the FEMA region, and other stakeholder organizations. Sharing information about logistics plans, SOPs, and federal, public, and private partner roles and responsibilities not only enhances transparency, but also builds trust among the partners. In addition to the above, the following objectives are also part of the LCAT program: Develop a standardized, transportable tool to identify logistics response strengths and weaknesses; Develop a roadmap for continually improving planning and response capabilities; Serve as a tool to guide further detailed planning; Serve as a tool to tailor education and training to specific areas that will enhance response capability; Meet Congressional intent to develop a demonstration program to enhance state disaster response capability and use public private partnerships; Focus on and evaluate state logistics preparedness, planning, and disaster response functions; Highlight disaster logistics best practices; Identify opportunities for tailored education and training; Identify planning and response capabilities and provide a common understanding of the state’s readiness; Track improvements in particular functional areas; and Enhance jurisdictional response capability and public-private partnerships.
States of any size can use LCAT to evaluate their current disaster logistics readiness, identify areas for targeted improvement, and develop a roadmap to both mitigate weaknesses and further enhance strengths. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 6 |
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3.3 Logistics Capability Assistance Tool Structure
The source of the workshop is a survey-style question set, comprised of questions grouped by core competencies and further broken down according to the functional capabilities detailed in the following subsections. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 6-7 |
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3.3.1 Logistics Planning
Questions were developed to consider demand recognition, sourcing, acquisition, transportation, warehousing requirements, and distribution and management of goods, people, and equipment during a disaster. The following functional categories within the logistics planning core competency are addressed:
Contingency planning Distribution planning Training and compliance Provider qualification Procurement procedures and protocols Solicitation Existing contracts
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 7 |
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3.3.2 Logistics Operations
These questions address logistics procedures. Logistics operations ensure that SOPs and processes support established action plans. The following functional categories within the logistics operations core competency are addressed:
Activate critical resource logistics and distribution Acquire resources Common operating picture Procurement Transportation |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 7 |
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3.3.3 Distribution Management
The end-to-end movement of people, commodities, and equipment is critical to any disaster response. Response includes communications with other stakeholders, ordering, order processing, transportation asset identification and dispatch, delivery receipt, and delivery confirmation. The following functional categories within distribution management are addressed: Order
tracking |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 7-8 |
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3.3.4 Organizational Functions
Disaster response logistics is a key component of emergency management and considers training, credentialing, logistics resource acquisition, general administration, and quality management. The following functional categories within the organizational functions core competency are addressed:
Credentialing and cross functional team structure Logistics quality management Logistics knowledge, skills, and training Administrative burden State legal constraints |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 8 |
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3.3.5 Property Management
Property management includes the inventory management processes, in-transit visibility activities, and capital asset and commodity maintenance. The following functional categories within the property management core competency are addressed:
Warehouse and facility management Logistics equipment management and maintenance Commodity Inventory Management Process and enablers |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 8 |
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3.4 Logistics Capability Assistance Tool Benefits
Following are several benefits that can be derived from the LCAT process. They should help you stay fully engaged. The benefits are: Increased transparency, collaboration, and partnership throughout state, territorial, tribal, local, and federal governments;
Improved
state
relationships
with private
partners;
LCAT analysis reports feed into incident action plans and after-action reports (AAR)—ultimately improving plans and mitigating risks; Enhanced state and regional common operating picture; Increased understanding of the logistics mission and best practices for end-to-end supply chain stakeholders; and By identifying capability gaps and maturity levels, states can improve overall logistics capabilities. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 9 |
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4.0 LOGISTICS CAPABILITY ASSISTANCE TOOL WORKSHOP
If you are participating in an LCAT workshop, you will be part of a team of stakeholders from various functional backgrounds. As a team, you will work together to assess the level of your state’s response capabilities.
A facilitator will guide you through several sessions grouped by core competencies.
The workshop will begin with an introductory presentation that will outline the workshop process and the workshop agenda.
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 9 |
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4.1 Workshop Conduct Suggestions
Throughout the workshop, keep the following tips and workshop conduct suggestions in mind. The only right answer is the honest answer.
All attendees are encouraged to participate. Everyone invited to attend the workshop should have valid opinions and insights. The group benefits from dialogue and discourse, as it tends to illustrate some of the nuances of disaster response logistics processes.
Keep conversations focused on the topic of discussion and save cross talk discussions for more appropriate times.
To help you focus your thoughts, you will be asked leading questions rather than questions that can be answered with ―yes‖ or ―no.‖
In the event that consensus is not reached in a reasonable amount of time, unresolved issues will be set aside to the ―parking lot,‖ to be addressed later. Using any remaining time to continue discussions, parking lot issues can be addressed after all of the other questions have been answered.
As you conduct the workshop, make sure that everyone fully understands commonly used terms. For example, the term ―collaborative planning team‖ could mean different things to different people. Providing the definition at the beginning of and throughout the workshop will help avoid confusion.
During the hot wash at the end of the workshop, a summary of discussions, responses, action items, and parking lot issues will be reviewed.
Keep track of and note potential improvements to LCAT from your point of view and suggestions from the audience. The FEMA LMD team is very interested in your input and/or suggestions for improving the workshop process.
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 9-10 |
In order to achieve optimal collaboration, FEMA recommends that the states conduct a two-day workshop to perform the initial assessment. Recommended meeting participants are as follows:
The more decision-makers who are in attendance at the forum the better, as one of the most beneficial aspects of the LCAT is the inherent educational nature of the tool. The meeting doubles as both an assessment and a training session. |
4.2 Recommended Participants Participants that should attend the workshop include state emergency management officials, FEMA Regional representatives, local emergency managers, National Guard representatives, and private sector partners. Bringing together all partners involved in disaster logistics planning and response ensures more complete and accurate responses to LCAT and promotes discussion, awareness, and information sharing between the various agencies. The following individuals and organizations are highly recommended to participate in the workshop.
FEMA Regional Logistics Chief State Emergency Management Director State logistics chief and support staff State operations chief and support staff State planning chief and support staff State mass care and sheltering support staff Other key emergency management agency staff State procurement officer(s) State finance and accounting officer(s) National Guard personnel Major private sector contractors Key state nongovernment organizations County emergency management officials City emergency management officials
The outcome from an LCAT workshop or self assessment will be greatly improved by having more decision makers participating in the process. One of the most beneficial aspects of LCAT is the inherent educational nature of the tool.
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The questions in the LCAT may be spread across the two day session should the coordinating team desire. However, the implementation team recommends a forum agenda similar to the following example. The questions will likely generate significant discussion and will require ample time. It is important for the moderator to be diligent about managing time. Furthermore, ample break time should be built in to the agenda.
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
G. LCAT Instructions
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5.0 LOGISTICS CAPABILITY ASSISTANCE TOOL USER INSTRUCTION
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
Overview This user guide details the capabilities and instructions for FEMA’s Logistics Capability Assessment Tool. The tool consists of a series of multiple-choice questions designed to survey each area of state logistics readiness. After all the questions have been answered, the tool will provide an output of graphs (to provide a visualization of the evaluation), as well as a results pane with numeric scores per area, and an overall capability score. How to Begin How to install the LCAT to Your Computer
How to Begin a new LCAT Assessment
How to Save an LCAT Assessment
How to Open an Existing LCAT file
Navigation The LCAT features four tabs at the top of the screen: Assessment, Results, Graphs, and Participants. The following text summarizes usage of each. Assessment Tab Once the questionnaire file has been opened, the display presents sets of questions divided according to categories and sub-categories. The respondents choose the answer on a scale of 1 through 5 (1 being lowest and 5 being highest) that most closely captures the state’s process maturity. Respondents may select their answer in half-increment (.5) if their reply falls between two choices. Once each question is answered the respondent must click “next” on the screen until completed and then move on to the next subcategory. It is best to finish all questions in each category before moving on to the next however you can always return to modify your answer. Within each category a count is shown to indicate the number of questions answered (from the total number of questions). In order to correctly view results and the results graphs, all questions will need to be answered first. “Results” and “Graphs” are stored under separate tabs. These tabs will not be viewable until the application has confirmed that all questions have been answered. Each question consists of a set of multiple-choice answers, as well as a comment box that must be filled in if a state selects the not applicable box. Please note that the assessment cannot proceed unless a choice has been made or an explanation is given (if the answer is N/A). Each answer choice, when selected, displays a detailed description of the choice (Static to Synchronized). Read each answer carefully before selecting which answer most closely describes your organization.
Results Tab After all the questions have been answered, the Results tab becomes available for view. Each of the categories and sub-categories are processed and a score is derived for each section, with an overall capability score displayed in the top-right of the panel. For each section selected, the bottom pane displays the questions and answers provided for the section for easy viewing.
Graphs Tab LCA generates multiple graphs based on the answers provided; first, a graph illustrating overall readiness, and then graphs based on each category from the assessment. Each axis of a graph is plotted according to the score for each category; scores are shown from 0 to 5. Visually, each graph denotes readiness based on how filled-in each category is around the circumference of the chart.
Participants Tab Lastly, the Participants tab allows for a record of those involved in the assessment. This can be used to track contacts for obtaining additional information pertaining to an assessment. While many of the contact attributes are optional, a name is required in order to add a person as a participant. For easier tracking, the state/territory and assessment date should also be filled-in. |
5.1 Overview
This user guide details the capabilities and instructions for LCAT. The tool consists of a series of multiple choice questions designed to survey each area of jurisdictional logistics readiness. After all the questions have been answered, the tool will provide an output of graphs (to provide a visualization of the evaluation), as well as a results pane with numeric valuations for each area and an overall capability valuation.
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
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5.1.1 Features LCAT is a Java-based program developed to operate on a desktop or laptop computer. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
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5.1.2 Interface Menus, submenus, and dialog boxes are organized by core competency with tabs for each functional capability. When the last question of a functional capability is answered it automatically starts the next functional capability. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
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5.1.3 Computer Requirements The size of your screen display will determine the level of screen resolution. The more screen resolution available, the more information will be displayed on the screen. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
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5.1.4 Installing the Logistics Capability Assistance Tool
To install LCAT on your computer insert the LCAT disk in the CD/DVD drive. Go to Locate the file named ―New Questionnaire <mmddyy>.xml‖ from the CD provided.
Save the "New Questionnaire <mmddyy>.xml" to your main My Documents folder or your desktop.
Double select the LCAT.msi file. This will begin the install Wizard. Follow the Wizard instructions and select Finish when complete.
Go to your computer's desktop. There will be a new icon called LCAT. Double select the icon to start the program. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 11 |
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5.1.5 Uninstalling the Logistics Capability Assistance Tool To uninstall LCAT from your computer, insert the LCAT disk in the CD/DVD drive. Double select the LCAT.msi file. This will begin the install Wizard. Select the Remove icon. Follow the Wizard instructions and select Finish when complete. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 12-13 |
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5.2.1 Accessing the Questionnaire Once inside the application, go to File > Open in the top left corner as shown in Figure 3. This will prompt the My Documents folder to open.
Figure 3: Sample Initial Application Window
Double select the ―New Questionnaire (mmddyy)‖ file inside your My Documents folder or any other place that you may have saved it, and the questionnaire is ready to begin as shown in Figure 4
Figure 4: Sample New Questionnaire Window
If, after loading the CD-ROM, you receive the error message "LCAT Tool cannot be installed on systems with JRE Version smaller than 1.5," go to the java.com Website and select the "Free Java Download" button, which will update your existing Java software. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 13 |
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5.3 Saving an Assessment When the application opens, navigate back up to the File menu. Select Save As. Name the file using the following standard nomenclature: "<Your jurisdiction name> - Assessment (#) - <mmddyy>.xml" (Example – ―Oklahoma – Assessment 1 – 033009.xml‖). Next, save the LCAT file to your My Documents folder. NOTE: As you work through LCAT, it is advisable to periodically save your work. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 13 |
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5.4 Opening an Existing Logistics Capability Assistance Tool File Double select the LCAT icon on your desktop. When the application opens, navigate to File > Open. Select the .xml file that you want to open. If any changes are made to the file, re-save. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 14-15 |
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5.5 Navigation
LCAT features four tabs at the top left of the screen: Assessment, Results, Graphs, and Participants. Instructions for each tab follow.
Though the Participants tab, as shown in Figure 5, is listed last, it may be more practical to capture the participant information first and make any changes after the questions are completed. Changes can be made at any time. Therefore, before the workshop or self assessment begins select the Participants tab to capture the contact information for each of the participants. If State/Territory is annotated, the name and other contact information is required. After a person’s contact information has been loaded select Add User. To delete the input select Clear. This action will move the person’s name to the dialog box at the right and clear the Name section so that another participant can be annotated. To remove a name that has been saved to the dialog box select the Remove button in the bottom right of the screen.
Figure 5: Sample Participants Tab Window
As already noted, upon opening the questionnaire file there will be four navigation tabs (Assessment, Results, Graphs, and Participants) displayed on the left side of the screen as shown in Figure 6.
Figure 6: Sample Navigation Tabs Window
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 16-24 |
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5.5.1 Assessment Tab
In parentheses after the title ―Assessment‖ and each core competency, will be the total number of questions answered and asked for that area ―(0/49).‖ The first number indicates the number of questions answered and the second number is the total number of questions to be asked. Beneath ―Assessment‖ will be tabs for each of the five core competencies (Logistics Planning, Logistics Operations, Distribution Management, Organizational Functions, and Property Management). After each title the total number of questions for that area will be listed.
Select the desired core competency and a dialogue box will open to the right. The Assessment tab will remain to the left of the screen. Each core competency will be listed, with tabs for each functional capability within the core competency as shown in Figure 7.
Figure 7: Sample Assessment Tab Window
Each of the core competencies is further decremented by functional capabilities and associated questions as shown in Figure 8. Beneath the functional capability tabs is a question related to the highlighted functional capability listed above it. Each question consists of a set of multiple choice answers, as well as a comment box that must be filled in if a participant selects the not applicable (N/A) box. NOTE: The workshop or self assessment cannot proceed unless a choice has been made or an explanation is given if the answer is N/A. Each capability level, when selected, displays a description of the choice (static to synchronized).
Figure 8: Sample Assessment Window Depicting Core Competencies and Functional Capabilities
On the left side of the core competency dialogue box is a list of five capability level symbols that correspond to descriptions noted in text to the right of the capability level symbol as shown in Figure 9. LCAT will assign values to responses that will be used in analysis results and graphs.
Respondents choose the level of maturity by selecting the arrow and dragging it up or down to indicate the emblem that corresponds with the definition that most closely captures the jurisdiction’s process maturity. Release the mouse. Respondents may select a response in half- increments if their reply falls between two choices. The arrow can also be moved by selecting anywhere in the capability level box. Read each answer carefully before selecting which answer most closely describes your organization.
Figure 9: Sample Assessment Window Depicting Capability Levels
If N/A is selected as the maturity level, comments are required to advance to the next question. At the bottom of the dialogue box there is a block for comments. This block can also be used to capture comments made by the respondents.
As shown in Figure 10, there is a Previous button in the lower left corner of the screen. Select this button to return to questions that have been previously answered.
Figure 10: Sample Assessment Window Depicting Previous Button
In the lower right corner of the screen there is an Update Comment and Next button as shown in Figure 11. Data is automatically saved as it is input in the Comments block so you can select the Update Comment button to save changes in the Comments section should you return to make changes to a comment. Select the Next button to move forward to the next question. Once each question in a functional capability is answered the respondent must select Next at the bottom right of the screen. This process is repeated for each question until the functional capability is completed.
References for each question will be listed in the area beneath the Comments box.
Figure 11: Sample Assessment Window Depicting Update Comment and Next Buttons
After the last question in a functional capability has been answered there will be a Next Section button to the right of the Update Comment button. Select the Next Section button to advance to the next functional capability as shown in Figure 12.
Figure 12: Sample Assessment Window Depicting Next Section Button
When the last question of the last functional capability has been answered only the Update Comment button in the bottom right corner will be visible as shown in Figure 13.
Figure 13: Sample Assessment Window Depicting Update Comment Button
Select the next core competency at the left of the screen to continue the workshop or self assessment. Repeat the process listed above to respond to remaining questions. Figure 14 shows a screen with the logistics planning core competency selected.
Figure 14: Sample Assessment Window Depicting Selected Core Competency
It is best to finish all questions in each functional capability before moving on to the next. However, answers can be modified by selecting a functional capability and advancing through the question set. Within each functional capability a count is shown to indicate the number of questions answered (as related to the total number of questions asked).
Results and Graphs are stored under separate tabs as shown in Figure 15. These tabs will not be viewable until the application has confirmed that all questions have been answered. As a reminder, the workshop or self assessment cannot proceed unless a choice has been made for each question or an explanation is given if the answer is N/A.
Figure 15: Sample Results Tab Window
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 25-30 |
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5.5.2 Results Tab After all the questions have been answered, the Results tab becomes available for viewing. Each of the five core competencies will be listed to the left of the screen and each is preceded by an expandable icon (the box with a plus sign in it). By selecting on this box each of the functional capabilities will be listed with a bar graph indicating the numerical capability level as shown in Figure 16. The level will also be annotated in parentheses to the right of the bar chart. The functional capability is listed to the right. As you select a functional capability the title will become italicized.
Figure 16: Sample Results Window
Each of the functional capabilities and questions is automatically processed and a valuation is derived for each section, with an overall capability valuation displayed in the top right of the panel. For each section selected, the bottom pane displays the questions and answers provided for the section for easy viewing. Only the questions for that core competency will be listed. Selecting a functional capability will result in the first question of that functional capability being visible in the question box at the bottom of the page as shown in Figure 17. The remaining questions are listed numerically and can be viewed by toggling up and down from the bar at the right
Figure 17: Sample Results Window Depicting a Functional Capability with Question Displayed
To export the results, select the Export Results button shown in the bottom center of the screen. An Excel spreadsheet of the numerical valuation will be saved to a location designated by the user.
If the points of contact have not been input prior to this point, a Confirm Export screen will appear, notifying you that a point of contact has not been provided and asking if you still want to export the results without the point of contact as shown in Figure 18. It is highly recommended that you include a point of contact. If you want to include point of contact information select No and the Confirm Export box will be removed.
Figure 18: Sample Confirm Export Verification Window
At this time you can go to the Participants tab and input participant information. However, if you select Yes the screen shown in Figure 19 will appear.
Select Yes to save the file to your computer and the Save As box, as shown in Figure 19, prompts for a file name under which to save the file and a location in which the file will be saved. Once entered, select the Save As button.
Figure 19: Sample Save As Window
An Excel spreadsheet of the numerical valuation, point of contact information, and date will be saved to a location designated by the user. Figure 20 depicts a sample spreadsheet. After it is saved you can use the data for further analysis purposes.
Figure 20: Sample Excel Spreadsheet as Saved by the System
Only the LCAT administrator has the authority to add special assessment categories. As an example, a group for the State Homeland Security Grant Program (SHSGP) Critical Emergency Supplies Grant could be developed, as shown below. These special assessment valuations will be visible as shown in Figure 21, but the functional capabilities will not be decremented to show individual valuations, neither will interview questions be listed in the question box at the bottom of the page.
Figure 21: Sample Results Window Depicting a Special Assessment Category |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 31-36 |
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5.5.3 Graphs Tab
LCAT generates multiple graphs based on the responses to LCAT questionnaires. Tabs are listed for a consolidated assessment, for each of the core competencies, and for any special assessment such as the SHSGP Critical Emergency Supplies Grant tab. Each axis of a graph is plotted according to the results for each functional capability; valuations are shown with a numerical depiction from 0 to 5. Visually, the graphs denote a level of readiness with a color coding for each functional capability being mapped to the circumference of the chart as shown in Figure 22. The legend for the corresponding colors is listed at the bottom of the screen.
Figure 22: Sample Graphs Window Depicting Executive Dashboard Summary
An assessment breakdown is available for each core competency as shown in Figure 23.
Figure 23: Sample Graphs Window Depicting Core Competency Assessment Breakdown
By selecting on the View Data button shown in the bottom center of Figure 24, a chart will appear that lists the results by functional capability and core competencies as shown in Figure 24. Close the box by selecting the X in the upper right corner.
Figure 24: Sample Graphs Window Depicting Assessment Results Chart
Select the Export Graph button shown at the bottom of Figure 24 to save the graph to your computer and the Save box is displayed as shown in Figure 25. The Save box prompts for a file name under which to save the graph and a location in which the graph will be saved. Once entered, select the Save button.
Figure 25: Sample Save Box Window
In the case of this example, the SHSGP Critical Emergency Supplies Grant tab is a functional capability within a core competency. Therefore, the pre-identified questions were pulled from the specific core competencies. The results are listed in a bar graph as depicted in Figure 26.
Figure 26: Sample Core Competency Bar Graph |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 36-43 |
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5.5.4 Participants Tab Lastly, the Participants tab provides a record of those involved in the workshop. This can be used to track contacts for obtaining additional information pertaining to a workshop. While many of the contact attributes are optional, a name is required in order to add a person as a participant. For easier tracking, the state or territory and date should also be filled in.
To end your LCAT session and save the file, select the Save or Save As option as shown in Figure 27.
Figure 27: Sample Save and Save As Options
Once the Save or Save As option is selected the Save or Save As box is displayed as shown in Figure 28. Follow the directions to name and save the LCAT XML file to a location of your choice.
Figure 28: Sample Save Box Window
To export an HTML file of the complete assessment, as shown in Figure 29, select File and Export. When the Export window opens, select Export in the lower right portion of the window. Name and save the LCAT XML file to a location of your choice.
Figure 29: Sample Export Option
To export an HTML file of an assessment group, such as the SHSGP Critical Emergency Supplies Grant tab shown in Figure 30, select File and Export Group. When the Export window opens, select Export in the lower right portion of the window. Name and save the LCAT XML file to a location of your choice.
Figure 30: Sample Groups Assessment Window
To close the program, select File and Exit, as shown in Figure 31.
Figure 31: Sample FEMA Logistics Capability Assessment Window Depicting the Process of Exiting the Program
To learn about LCAT and request assistance select Help as shown in Figure 32.
Figure 32: Sample FEMA Logistics Capability Assessment Window Depicting the Help Button
Select About Logistics Capability Assessment for copyright information and the version of LCAT that you are using. The About information is displayed as shown in Figure 33.
Figure 33: Sample About Information Window
Select Keyboard Navigation Help for information on keyboard features that can be used with LCAT, such as function and direction keys. A screen is displayed as shown in Figure 34.
Figure 34: Sample Keyboard Navigation Help Window
Select Log to see the Java log statements as shown in Figure 35.
Figure 35: Sample Java Log Statements Window
If you have questions about how to use LCAT, please contact the appropriate state or regional LCAT manager for your organization. |
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Logistics Capability Assessment Tool (LCAT) Federal Emergency Management Agency Logistics Management 500 C ST, SW Washington, D.C. 20472 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 44 |
FEMA Logistics Capability Assessment Questionnaire
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6.0 LOGISTICS CAPABILITY ASSISTANCE TOOL QUESTIONNAIRE
This section addresses each of the questions posed in LCAT. After each question there is an ―intent‖ section that provides background on the question and its context to the relevant logistics core competency. The next section is listed as ―approach‖ and provides suggestions and helpful advice that you can consider when answering the question. Lastly, the ―Reference‖ lists topics or areas where you may find other information that relates to the question. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 44-45 |
1 Logistics Planning
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6.1 Logistics Planning Questions
The following section is comprised of questions taken directly from the Logistics Planning section of the LCAT questionnaire. They are numbered to correlate to the numbering in the questionnaire.
1. Logistics Planning
1.1 Plans Development
1.1.1 (Q1) What has your state identified as the most likely catastrophic disaster scenario and what are the impacts?
Intent: Identifying impacts of catastrophic disasters helps define resource and commodity requirements for specific hazards as well as identify those resources that are common to all hazards.
Capability:
Approach: It is recommended that you collect historical data, current incidents, and hazardous analysis for different Local Emergency Planning Committees (LEPC) within the state. From this data call, you should be able to perform a risk assessment for your state. However, remember the unexpected. Logistics planning must consider all hazards and threats. The threats may vary, but many of the effects are similar. Logistics planners should plan for commodities and equipment that is common to all and then look at resources needed to address specific hazards.
The planning process should identify resource needs based on the threats to and vulnerabilities of the state and develop standard and redundant strategies to obtain the needed resources. There are a number of methodologies that can be used for identifying your risks, but all methodologies should:
threats, risks, or consequences. (What might happen?)
Quantify the likelihood that an incident will occur. (How likely is it to happen?) Assess the most likely magnitude of any given incident. (How bad is it likely to be?) Assess the percent of the population at risk from any given incident. (How many people might be injured or killed?)
Assess the severity of impact or likely consequences of any given incident. (How much damage is there likely to be?)
A comprehensive risk assessment will provide a picture of the most likely incidents, their potential consequences, and needed resources.
Resources you identify should fall into seven general categories:
Personnel: Incident Command System (ICS) overhead or management staff, technical specialists, Emergency Operations Center (EOC) staff, operations staff, etc.
Facilities: Office space, shelters, warehouses, etc.
Equipment: Equipment, with or without the personnel needed to operate them. Vehicles: Automobiles, buses, etc.
Teams: Groups of specially trained and equipped personnel.
Aircraft: Surveillance platforms, medical evacuation, or cargo configurations.
Supplies: Wide range of items, from potable water to plywood. It may not be possible to develop and maintain complete lists but specific items you identify can facilitate the planning and response processes.
Reference: National Incident Management System (NIMS), 2008, p. 35; National Preparedness Goal, 1st ed., 2011, p. 9; National Preparedness Guidelines (NPG), 2007, pp. 2, 21 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 45-46 |
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1.1.2 (Q2) Does your state have a current formal logistics plan?
Intent: The state logistics plan should be uniform, consistent, and understood by partners throughout the state and the FEMA Region. This can be accomplished when the state reviews and exercises the plan.
Capability:
Approach: It is recommended that your logistics plan systematically identify pre-emergency resource requirements, shortfalls, and inventories consistent with a hazard identification risk assessment (HIRA).
Your logistics plan should include objectives and implementing procedures that address how to identify, locate, acquire, store, maintain, text, distribute, and account for services and materials needed to address the hazards identified by your state.
Objectives should be established by conducting periodic gap analyses and exercises. Your logistics plan should be exercised to identify shortfalls or changes within various agencies responsible for responding to situations requiring the plan be activated.
After the plan has been exercised or activated for an actual incident, all participants should provide after action input to be reviewed and used to update and improve your plan.
Resource requirements can be prioritized and addressed through a variety of initiatives that include budgeting, buy-in from senior leaders, mutual aid agreements, memorandums of understanding (MOU), contractual service agreements, or business partnerships and steps necessary to overcome any shortfalls.
The logistics plan includes procedures that address the following: Activating appropriate processes prior to and during an emergency.
Dispatching resources prior to and during an emergency, including plans for logistics staging areas (LSA), warehouses, and points of distribution (POD) for commodities. Deactivating or recalling resources during or after an emergency.
Maintaining a system and a plan for obtaining internal and external resources (mutual aid, federal assistance, contractual, and donations)
Logistics plans should also include donations management and address accepting, managing, and distributing solicited or unsolicited donated goods, materials, services, personnel, financial resources, and facilities.
Following plan reviews and exercise, changes to correct problems and shortfalls, plans should be formally approved by an appropriate level of jurisdiction emergency management leadership.
Reference: Planning, Donations and Volunteers, LSA, PODs, 1.1.1 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 47 |
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1.1.3 (Q3) How does the state use modeling and/or geographic information system (GIS) analysis to determine logistics support requirements?
Intent: You should determine the amount of commodities (i.e., water and shelf stable meals), supporting staff, and equipment required to meet affected population needs. FEMA does not endorse a specific model to determine how many LSAs should be established during an incident. However, the Logistics section should plan for LSAs to support each area of operation.
Capability:
Approach: To assess whether the state can adequately determine the amount of commodities and support required to meet affected population needs consider the following: Determine what resources, such as bottled water or shelf stable meals, are required.
These requirements should be based on current and/or historical data.
Determine which modeling source you should use to determine the amount of commodities that may be required during a disaster response.
The modeling source should allow you to determine support requirements, such as the number of LSAs and PODs that may need to be established and the support personnel and equipment required to operate them.
Reference: Developing and Maintaining Emergency Operations Plans: Comprehensive Preparedness Guide (CPG) 101, 2009, p. 3-11 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 48 |
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1.1.4 (Q4) Does your state logistics plan support an all-hazards EOP that addresses the eight key scenarios described in National Response Framework (NRF)? The eight key scenarios are explosive attack, nuclear attack, radiological attack, biological attack, chemical attack, natural disaster, cyber attack and pandemic influenza.
Intent: Using the eight key scenarios as a basis for planning should help identify and define resource and commodity requirements and identify resources that are common to all scenarios.
Capability:
Approach: The state should conduct various levels of exercises to determine the comprehensiveness of the plan. These exercises should include the assigned staff, required resources, and concepts for deployment, sustainment, and demobilization. The exercises should also address timelines and criteria for achieving state objectives.
Utilizing participant feedback, the state should update and improve the overall plan by developing training based on lessons learned. The training should result in improved response consistency, interoperability, and collaboration for all partners involved.
It is not necessary to have multiple plans specific to each scenario; your logistics plan should be comprehensive enough to address unique and basic aspects of the planning scenarios. The result should be an all-hazards plan.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2009; NPG, 2007, Annex B, item 2; National Response Framework, 2008, pp. 74-75; |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 48-49 |
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1.1.5 (Q5) How is (are) your state logistics plan(s) reviewed?
Intent: Logistics plans should be reviewed and updated annually and following any incidents for which the plans apply.
Capability:
Approach: It is recommended that you review your logistics plans to ensure that they are current and feasible and that they meet the needs of all internal and external stakeholders.
In conjunction with scheduled reviews, training and exercises should be conducted to evaluate the plans. After an incident, AARs should be developed based on feedback from incident participants. AARs should identify areas of strength and areas for improvement and include recommendations based on the identified areas.
Reference: National Preparedness Goal, 1st ed., 2011, p. 10 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 49-50 |
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1.1.6 (Q6) How does the state exercise your logistics support plan?
Intent: States conduct exercises to determine operational knowledge, expertise, and experience levels. The state is responsible for determining whether or not it has adequately assessed state logistics capabilities.
Capability:
Approach: Exercising the logistics support plan tests planning assumptions, processes and procedures, and provides practical experience required to support a disaster response operation without the consequences associated with a real incident.
The Homeland Security Exercise and Evaluation Program (HSEEP) model for conducting exercises should be beneficial. Conducting exercises can increase confidence and can be used as a basis to update and improve the logistics support plan.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2009, pp. 5- 12, C-4; NPG, 2007, pp. 5-6; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 50-51 |
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1.1.7 (Q7) How is your state logistics plan incorporated into the overall emergency operations plan? Is the plan feasible?
Intent: Incorporating logistics planning with operational planning ensures that operational end states are logistically feasible, supportable, and cost effective.
As an example, an operational objective may be to provide three hot meals per day. However, it may be feasible to provide two meals ready to eat (MRE) per day due to a lack of resources, such as kitchens and transportation.
Logistics feasibility has a direct impact on the how effective the state operations plan is. Therefore, the state logistics plan should be included in state exercises to determine the feasibility of the overall plan. This ensures that all participants understand logistics aspects and roles that local, tribal, private, and federal partners play.
Capability:
Approach: It is recommended that your logistics plan be evaluated in the context of operational plan objectives to determine the gap between what the plan requires and actual capabilities and resource availability. This review should be completed on a recurring basis.
You should identify requirements and shortfalls through a comprehensive assessment. As an example, requirements could include feeding the affected population and determining if the plan for providing food and water is feasible. If the objective is to feed an affected population, can you accomplish this goal by establishing an LSA and supporting local PODs with water and shelf-stable meals after the first 24 hours?
Resource requirements and shortfalls should be prioritized, considering a variety of initiatives. Can you buy commodities ahead of time and store them for use? Can you get it through mutual aid such as the Emergency Management Assistance Compact (EMAC)? Can you contract for it or develop private partnerships?
Conduct various levels of exercises from tabletop to functional to full scale, and utilize the lessons learned and participant feedback to update and improve the plans to test the effectiveness of the overall EOP. It should also identify shortfalls and opportunities to correct problems or shortfalls.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2009, pp. 6- 5, C-11; Emergency Management Accreditation Program (EMAP), Emergency Management Standard (EMS), 2010, pp. 9-10 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 51-52 |
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1.1.8 (Q8) How does the state Emergency Operations Plan (EOP) meet requirements outlined in Comprehensive Preparedness Guidance (CPG) 101?
Intent: CPG 101 provides guidance for developing EOPs, to include resource management formats and annexes. It promotes a common understanding of risk, informed planning, and decision making fundamentals to help planners examine a hazard or threat and produce integrated, coordinated, and synchronized plans. CPG 101 standardizes the planning process across all phases of emergency management and homeland security mission areas to develop and maintain comprehensive all-hazards, all-threats emergency plans.
Capability:
Approach: CPG 101 integrates key concepts from national preparedness policies and doctrines, and lessons learned from disasters, major incidents, national assessments, and grant programs. The guidance emphasizes that the planning process is as important as the resulting document. Plans are not usually scripts to be followed to the letter, but should be flexible and adaptable to actual situations. Effective plans convey the goals and objectives of the intended operation and the actions needed to achieve them. Successful operations occur when organizations and individuals know their roles, understand how they fit into the overall plan, and are able to execute the plan.
During the planning process you should: Conduct community based planning that includes all internal and external stakeholders, community leaders and the private sector in the planning process.
Develop a state risk and hazard analysis.
Identify resource demands by evaluating operational assumptions.
Use a process that ensures the overall plan supports a seamless transition from the development phase to the execution phase for any threat or hazard.
Involve all levels of government to insure your plan is integrated and synchronized.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2009, pp. 5-1 through 5-14, pp. 6-1 through 6-11 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 52-53 |
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1.1.9 (Q9) How does your state capture logistics response requirements for a catastrophic disaster?
Intent: States should establish resource management procedures and policies that are applicable to all levels of emergencies, including routine emergencies, within their state. A catastrophic (worst case) incident does not mean just working faster and harder than your normal response. Catastrophic logistics planning incorporates support for joint, multi-jurisdictional, and regional operations.
To plan for and assess logistics support required to respond to a catastrophic incident, operational areas or ESFs should identify requirements to accomplish their missions during the incident or scenario. Logistics planners should ensure that to the greatest extent possible, the missions are logistically feasible. Exercises should include appropriate ESFs, nongovernment organizations, volunteer organizations active in disaster (VOAD), private vendors, and FEMA Region personnel.
Capability:
Approach: It is recommended that you evaluate resource requirements in the catastrophic scenarios based on your hazard analysis. The logistics planning staff should consider regional cooperation, regional and interstate mutual aid, federal support, pre-incident contracting, and private public partnerships to meet the catastrophic resource needs.
You could coordinate with external resource providers that include private, government and nongovernment partners, and the FEMA Region. Requirements and actions should be prioritized and time phased. Developing a time phased response plan identifies where and where resources are needed, and when to order resources to meet the requirements. The time phased response plan should be incorporated into your catastrophic plan. The logistics planning staff should participate in any regional or catastrophic planning efforts.
Logistics planning should encompass regional cooperation, regional and interstate mutual aid, federal support, pre-incident contracting, and private/public partnerships to meet catastrophic resource requirements.
Planning should be assessed at various levels of training and exercises, from tabletop to full scale exercises and include ESFs, regional partners, nongovernment organizations, VOADs, private sector, and FEMA Region personnel. Plans and roles and responsibilities should be updated using lessons learned during training or exercises.
Reference: NPG, 2007, p. 21 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 53-54 |
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1.1.10 (Q10) If your state has considered a catastrophic disaster scenario(s) and its impact, what type of catastrophic scenario response planning is accomplished?
Intent: Logistics support should be considered in catastrophic response planning. You should determine logistics requirements for catastrophic scenarios that affect your state. Determine support effectiveness by coordinating with adjacent states and regional partners and by conducting various levels of exercises. Lessons learned from exercises should be used to update and improve the plans.
Capability:
Approach: It is recommended that you evaluate resource requirements in the catastrophic scenarios based on your hazard analysis. The logistics planning staff should consider regional cooperation, regional and interstate mutual aid, federal support, pre-incident contracting, and private public partnerships to meet the catastrophic resource needs.
You could coordinate with external resource providers that include private, government and nongovernment partners, and the FEMA Region. Requirements and actions should be prioritized and time phased. Developing a time phased response plan identifies when and where resources are needed, and when to order resources to meet the requirements. The time phased response plan should be incorporated into your catastrophic plan. The logistics planning staff should participate in any regional or catastrophic planning efforts.
Logistics planning should encompass regional cooperation, regional and interstate mutual aid, federal support, pre-incident contracting, and private/public partnerships to meet catastrophic resource requirements.
Planning should be assessed at various levels of training and exercises, from tabletop to full scale exercises and include ESFs, regional partners, nongovernment organizations, VOADs, private sector, and FEMA Region personnel. Plans and roles and responsibilities should be updated using lessons learned during training or exercises.
Reference: National Preparedness Goal, 1st ed., 2011, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 54-55 |
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1.1.11 (Q11) How does your state prepare to provide commodities to affected populations in all-hazard situations?
Intent: Answering this question should prompt you to consider requirements for life sustaining commodities, such as water and shelf-stable meals, and supporting staff and equipment that could be required to meet the needs of affected populations.
Capability:
Approach: To determine whether or not the state has adequately addressed the resource procurement consider the following: Identify the likely hazards and threats facing the state.
Determine the populations that could be affected.
Determine requirements needed within the first 72 hours and longer term requirements. Determine the requirements for warehousing commodities.
Identify internal and external sources that could provide resource requirements.
You should be prepared to provide necessary commodities for all-hazard scenarios. It is recommended that you identify vendors for commodities designated as critical to disaster response and that you be capable of ordering and acquiring resources. You should pre-identify sources and address logistics staging and POD personnel and equipment requirements.
Reference: National Preparedness Goal, 1st ed., 2011, p. 10 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 55-56 |
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1.1.12 (Q12) How does the state determine the quantities and types of critical commodities needed to support affected populations during the first 72 hours of a likely or catastrophic scenario?
Intent: It can take days for the logistics supply chain to support forecasted resource requirements regardless of the type of incident, whether for no notice incidents such as earthquakes or incidents with level of lead time such as hurricanes. The logistician determines, through planning, how to support commodity requirements, especially those critical to the first hours of a response effort. There are various methods the logistician can use to meet initial requirements such as stockpiling specific commodities, mutual aid from neighboring states, vendor managed inventories, or coordination with FEMA logistics.
Capability:
Approach: It is recommended that you determine the state’s hazards and risks and use modeling, to determine how populations could be affected. Using USACE modeling, determine the resource requirements to support the first 72 hours. Consider the capability or ability to warehouse all or a portion of the initial requirement. Coordinate pre-incident contracts with commercial providers for requirements and shortfalls that your state cannot support.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 56 |
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1.1.13 (Q13) How does the state logistics plan address donated goods management? Intent: Managing unsolicited goods, services, and cash donations after a significant incident occurs is important. These unsolicited donations are resources that can be distributed or could overwhelm the state and cause storage problems. A detailed donations management plan is essential to the planning process.
Capability:
Approach: It is recommended that you allow volunteer organizations to manage their donations. Form a planning team that includes volunteer agencies, nongovernment organizations (NGO), and other stakeholders to develop a volunteer and donations management support annex to the logistics support plan. The annex should include how to facilitate collecting and tracking offers and how to handle matching offers.
It is recommended that your plan: Identify and describe actions to collect, sort, manage, and distribute in-kind contributions, including methods for disposing of or refusing unacceptable goods.
Identify and describe actions to coordinate donation management issues with neighboring districts and the state’s
donations
management
system.
Describe the process used to tell the general public about the donations program (e.g., instructions on items to bring and not bring, scheduled drop off sites and times, how to donate cash), including a process for issuing routine updates.
Identify and describe actions to handle a spontaneous influx of volunteers.
Identify and describe actions to receive, manage, and distribute cash contributions. Pre-identify sites that could be used to sort and manage in-kind contributions (e.g., private warehouses and government facilities).
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2009, p. C-200; EMAP, EMS, 2010, pp. 9-10 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 57 |
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1.1.14 (Q14) How does the state logistics plan address the use of volunteers?
Intent: As with unsolicited donations, spontaneous and unaffiliated volunteers can interfere with recovery if not properly managed and integrated into ongoing operations. Proper planning can be essential in managing unaffiliated and spontaneous volunteers.
Capability:
Approach: It is recommended that donations and volunteer plans are combined into one document. The state should have a method to manage unsolicited donations at all levels and use the national Aidmatrix system to manage unaffiliated volunteers and organizations and how to apply their resources to incident response and recovery activities. Identify and describe actions required to establish and manage volunteers to include setting up toll free hotlines, creating data bases, and appointing a liaison.
Identify and describe actions that could verify or vet individual volunteers and volunteer organizations (i.e., local churches and civic or social groups).
Having volunteers complete a detailed sign-in sheet listing their past disaster response experiences assists in identifying capabilities within the potential volunteer cadre. Assigning volunteers that have proven experience could be helpful in meeting additional staffing needs. However, volunteers should be monitored by trained staff.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2009, p. C-20 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 57-58 |
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1.1.15 (Q15) Have safety equipment and procedures been addressed in logistics plans and operational activities?
Intent: Maintain a safe work environment for staff and volunteers at the PODs and LSAs. Train a cadre of personnel to serve as safety officers. Review federal, state, and local Occupational Safety and Health Administration (OSHA) safety requirements and ensure that all safety requirements are met. Provide training and licensing renewal as recommended and required.
Capability:
Approach: It is recommended that you evaluate the risks associated with logistics facilities and determine the level of training needed for staff to safely operate equipment. Training can include printed equipment operating handouts to formal certification and licensing for certain types of equipment, such as, forklifts and certified personal protective equipment (PPE), self contained breathing apparatuses, and scanners.
The FEMA Independent Study (IS) Course, IS-26 FEMA/USACE Guide to Points of Distribution, provides instructions for POD operations. The free course is available through the Emergency Management Institute (EMI).
Reference: National Preparedness Goal, 1st ed., 2011, p. 13 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 58-59 |
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1.1.16 (Q16) What security provisions are made for distribution points?
Intent: PODs are established to provide immediate life sustaining commodities following an incident that leaves the infrastructure incapable of providing water or food to the affected population. The intent of this question is to determine if the state’s POD operations are safe and protected.
POD security should be a local responsibility and protecting POD facilities, assets, resources, and staff following an incident is important to the local jurisdiction. Some people may view the incident as an opportunity for personal gain or to profit from the misfortune of others. Commodities could be stolen, leading to more serious problems, such as panic, in a population that perceives supplies could be exhausted or that people are getting preferential treatment.
The disaster incident could also be severe enough that local law enforcement and security resources could be inadequate. Therefore, local jurisdictions should be prepared to request additional security when POD operations start if they are needed.
Capability:
Approach: It is recommended that the local jurisdiction address POD security and traffic concerns as evaluated by local law enforcement in logistics or operations plans. Shortfalls and work arounds should be identified. As the response progresses, security should be continually evaluated and security resources reassigned or additional security resources requested from the state.
Reference: National Preparedness Goal, 1st ed., 2011, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 59-60 |
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1.1.17 (Q17) How are logistics requirements identified for evacuating local residents and visitors and receiving evacuees from other jurisdictions or states?
Intent: The state should be prepared for logistical challenges associated with catastrophic mass evacuations including, but not limited to sheltering, mass feeding, and transportation. You should determine if your state has adequate processes and resources to evacuate individuals or to accept disaster survivors from other jurisdictions or states.
Capability:
Approach: There are two types of evacuees, self evacuees and government assisted evacuees. The state should be prepared to handle an influx of both. By working with local government, tribal agencies, the private sector, other government and nongovernment organizations, VOADs, and FEMA Regions, create a task force concept to identify and exercise a mass evacuation plan and include support requirements for the evacuees and survivors. Exercising the long term mass sheltering plan is a critical part of disaster response preparedness. One exercise scenario could be a response following a catastrophic incident within your state or another state, with your state acting as host for large numbers of evacuees. Identify the projected number of evacuees that you will expect to move and the number that will require care.
Identify the projected number of evacuees from other states that could be expected to arrive in your state and the number that will require care.
Pre-identify locations to stage required resources to support the evacuees and survivors. Conduct route planning.
Identify staging and mobilization areas and determine how to inform the public of these locations.
Identify transportation requirements and providers. Identify fuel requirements.
Identify feeding resources (food service or supplies), shelter supplies (cots, blankets, etc.), and equipment.
Identify staff and support requirements.
Reference: National Preparedness Goal, 1st ed., 2011, pp. 12, 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 60 |
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1.2 Contingency Planning |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 60-61 |
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1.2.1 (Q18) How are risks associated with logistics plans addressed?
Intent: States should address the risks associated with executing logistics plans. Some examples of risks are contractor non-performance, warehouses in the impacted area, critical infrastructure failure, inaccessible pre-identified POD locations, and communication challenges. States should identify and evaluate similar potential risks prior to an incident and base plans on credible threats, hazards, vulnerabilities, and consequences. States should use risk reduction strategies to minimize exposure to risks.
Capability:
Approach: The DHS Lessons Learned Information Sharing Website provides information about best practices and lessons learned. It is recommended that you work with subject-matter experts for each risk scenario, consider alternate and backup actions, and address those actions in your logistics plans. Actions to mitigate risk could be used as interim solutions until primary capability shortfalls or limiting factors are resolved.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 4- 7, 4-11; NPG, 2007, p. 6 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 61 |
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1.2.2 (Q19) How does your state identify logistics contingency response resource shortfalls?
Intent: Few, if any, states can afford to acquire every piece of equipment or commodity needed for all incidents. Evaluate resource requirements that might be needed for the hazards recognized in the HIRA, Comprehensive Emergency Management Plan (CEMP) EOP and the eight key scenarios outlined in the NRF.
Capability:
Approach: It is recommended that logisticians identify the state capabilities using mutual aid and pre-incident contractors, identify required resources, and determine if there will be shortfalls. Using this information, logisticians could request resources from federal agencies, mutual aid, volunteer agencies, or the private sector.
Reference: Local Multi-hazard Mitigation Planning Guidance, 2008, pp. 3-5; EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 61 |
1.3 PLANNING - Distribution Planning |
1.3 Distribution Planning |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 61-62 |
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1.3.1 (Q20) What access to information on post-disaster damage to transportation infrastructure does your state logistics team have?
Intent: A degraded transportation infrastructure can impact your state’s ability to get resources to where they are most needed. To obtain required resources and commodities logisticians should be aware of the effect on transportation and distribution infrastructure, such as, roads, rail, ports, and air facilities. A COP offers a standard overview of an incident, providing incident information that enables logisticians to make effective, consistent, and timely decisions. This information also allows logisticians to forecast delays, communicate with incoming vendors, and establish alternative delivery or transportation modes. Working with other ESFs can help set priorities for clearing roads and restoring other transportation infrastructure.
Capability:
Approach: State logistics staff should have access to the COP and should train and conduct exercises to ensure that they understand how it operates.
The planning section is typically responsible for ensuring that appropriate information is presented to EOC leadership, so the best decisions can be made regarding post-incident transportation and distribution infrastructure reconnaissance and assessment.
Overlaying road hazards on GIS technology and data could be helpful. Additionally, you can coordinate with the state Department of Transportation (DOT) or Port Authority, which often have live cameras or other technology that can view damage or flow impediments and monitor congestion. DOT crews in the field can physically assess the transportation infrastructure, determine what is safe, and report accordingly. Incorporating this data, as well as any data gathered from sensors and other reported status of roads or facilities should provide a more accurate COP.
Traditionally, the plans section prepares maps with various symbols to show resource locations and other relevant information. The COP should be an electronic information management technology system.
Reference: National Preparedness Goal, 1st ed., 2011, p. 13 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 62-63 |
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1.3.2 (Q21) How are state staging areas addressed in plans?
Intent: Finding open ground areas with prepared surfaces for storing material, warehousing, administration, and transportation infrastructure that can support the affected areas in the state can be difficult after an incident has occurred.
Capability:
Approach: Pre-identifying staging areas enables logisticians to plan for site support requirements, establish local contacts and contracts to equip and staff staging areas, establish communications plans, determine types of hazards, and develop facility use agreements with owners. Other actions to consider are: Identify possible areas of operation.
Identify possible staging areas within the area of operation.
Conduct site surveys to determine suitability.
Prepare memorandums of agreement (MOA) with property owners.
Develop site plans that include possible staffing and equipment requirements. Identify responsible agencies and providers.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C- 19; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 63-64 |
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1.3.3 (Q22) How are operational requirements used to determine state staging area locations?
Intent: Staging areas should be selected based on operational requirements and located where they can do the most good. Historical records should also be considered for determining suitability and vulnerability.
Capability:
Approach: It is recommended that you consider selecting a staging area site based on proximity to historically affected areas. Consider the following: Staging area footprint, Quantity of trucks and commodities needed to support the expected affected population, amount of site prep required (electric, phone, fencing, toilet facilities, etc.), and
Road network capacity to facilitate flow and anticipated volume.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 64-65 |
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1.3.4 (Q23) How are staff and material requirements for state staging area operations identified?
Intent: Identify who will staff the staging area, equipment required to operate it, and operations shortfalls so they can be mitigated prior to an incident.
Capability:
Approach: It is recommended that you assign responsibility for LSA operations to an agency and identify the resources and services required to conduct LSA operations.
Establish MOUs and pre-incident contracts as needed. Where shortfalls exist identify additional resource requirements, such as mutual aid with local and tribal jurisdictions, the private sector, other government and nongovernment organizations, VOADs, identified trained volunteers, or Community Emergency Response Team (CERT) members.
Reference: EMAP, EMS, 2010, p. 9 |
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1.3.5 (Q24) To what extent have minimum buffer (safety) stock levels and restock protocols been established for commodities at state and local staging areas?
Intent: Establishing stocking levels provides planning data that can be used to economically order resources at appropriate levels to support the affected population. Excess ordering is avoided which lessens the burden on the supply chain and decreases chances of ordering too many commodities. Stocking levels also provide a reasonable buffer inventory for resupplying or establishing PODs without delays.
Capability:
Approach: Using data from state hazard analysis and the eight key scenarios develop a stocking level for initial requirements for the first 72 hours. USACE modeling can provide this data. Next, determine how much buffer to establish based on modeling, historical data, situation analysis, or potential for change. An example would be, having 20 Type III PODs operating. That means that in the first 72 hours you should need 60 trailers of water and 30 trailers of shelf stable meals. Each day after that, you would likely need 20 trailers of water and 10 trailers of shelf stable meals. However, opening another POD or other requirements could change requirements so you should have some resources on hand to meet that need. Use historical data to determine how many additional resources are required. For example, would a two POD buffer of 10% be sufficient? Requirements are reduced or increased based on how incidents progress.
Reference: NIMS, 2008, pp. 32-33 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 65-66 |
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1.3.6 (Q25) How are PODs addressed in state's logistics plans?
Intent: PODs are established to provide immediate life sustaining commodities following an incident that leaves the infrastructure incapable of providing water and/or food to the affected population. The intent of this question is to determine the level of POD planning throughout the state. At a minimum, the need for PODs is acknowledged and incorporated into plans. At the highest level PODs are not only identified and typed, but they are fully integrated, detailed planning is conducted, on site planning is completed, and the plan is exercised and/or planners have gone through a physical site setup.
Capability:
Approach: To determine whether or not you have adequately addressed PODs in your state, consider the following questions: Have you identified PODs in your plan? How detailed is the planning? Is it in an annex to the EOP or a separate plan?
Does your plan acknowledge all hazards or only the highest probable threat? Have you typed your PODs as Type I, II, or III using the USACE model? Have you made modifications to the standard PODs?
Are POD sites identified throughout your state and are they typed as Type I, II, and III? Have you coordinated your identified PODs with external agencies, such as law enforcement and voluntary agencies (VOADs)?
Have you incorporated the ―Adopt a POD‖ program?
Have you provided the state with a copy of your resource management plan?
From the state level, have jurisdictions in your state identified their PODs for your plan? Have planners conducted detailed planning for PODs such as: o Developing site sketches of the layout? o Identifying the staff and equipment requirements for the site? o Identifying the organization that could be providing the leadership and staffing of each site? o Identifying the source of material handling equipment (MHE) and other support resources?
Are they reliant on requesting state resources?
Have you conducted POD exercises or incorporated POD operations into other exercises?
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C- 19; IS-26 U.S. Army Corps of Engineers Guide to Points of Distribution, 2008 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 66-68 |
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1.3.7 (Q26) What is the state methodology for identifying POD locations?
Intent: Ensure that POD sites are established where they will best meet the needs of the impacted population. Ensure the POD types and locations are functional and can be operated in a safe manner. Through POD exercises, the state should be able to identify and correct shortfalls and reduce the possibility of operational conflicts.
Capability:
Approach: Estimate the number of people to be served by a POD and the number of POD sites needed. This can be accomplished mathematically using any of several models that can calculate the number of PODs required based on the total number of people without commercial power.
As an example, you can use the USACE model to identify the number of persons potentially affected by a catastrophic incident and the number of Type III PODs needed to support that population where 5,000 is the number of people served by a Type III POD.
(approximate affected population) / 5,000 = (number of PODs needed)
Identify general locations for PODs. POD models can predict the number of people in need. This fact is very important for determining the amount of commodities that may be required; however, this fact is useless if commodities cannot be provided to survivors in a timely manner. The general locations of PODs can be determined by population density and how commodities should be distributed in the state. You can use GIS to produce a dot density map that provides a visual dot for a selected density of population. A dot density map should be produced based on a density of 1 dot for every 12,500 people (40 percent of 12,500 = 5,000 – the number of people served by a Type III POD).
Consider the need for additional PODs if required. It is important to consider factors such as tribal communities, isolated rural communities, and population concentration (for example, high rise apartments and apartment complexes) that might require additional PODs.
Identify potential POD sites within each general location. Once the general location is identified through GIS mapping, the POD planning team should identify and review potential sites for the POD within that general location. Use state parcel-level maps and neighborhood planning details to identify sites within each of the identified general locations.
Coordinating with local and tribal contacts and sharing the proposed locations of PODs reduces the possibility of a site being selected that could become problematic during a live incident.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C-19 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 68 |
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.3.8 (Q27) How has the state captured the POD concept of support in plans?
Intent: The concept of support should not be established ad hoc during an incident. Concepts of support to PODs should be established in plans so that agencies can identify and coordinate staffing and equipment requirements and exercise the plan. Counties and the FEMA Region should be included in coordination to ensure all POD concept of operation planning is supported.
Capability:
Approach: It is recommended that you: Identify POD requirements.
Identify support requirements that will be fulfilled by the local jurisdiction. Identify shortfalls.
Address shortfall requirements that must be filled from state resources or contracts. Develop POD reporting and coordination protocols.
The state should exercise the POD plan by conducting various types of exercises, from tabletop to full scale operational exercises in order to identify possible shortfalls, potential problems with equipment, site locations, staffing or partners, and vendors.
The exercise can be used to support and train staff responsible for POD operations during a live incident. Creating staff and partner familiarization of each other’s capabilities, needs, and requirements assists in establishing workable partnership relationships. Relationships are further assisted by defining processes and providing required training through different workshops and exercises.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C-19 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 69 |
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1.3.9 (Q28) How has the state identified staff and material requirements for POD operations?
Intent: Staffing and equipment requirements can be intensive for incidents that would require the use of PODs. Those who could actually staff the PODs need to understand the concept and be trained in conducting operations. Sourcing equipment could also be intensive.
Capability:
Approach: POD sites are a local requirement. The following steps are recommended: Identify POD sites in your jurisdiction(s). Type the POD as Type I, II, or III.
Using USACE modeling, identify the staffing and equipment requirements. Identify an agency and coordinate an MOU to provide staffing to each POD site. Consider city or county agencies, voluntary agencies, ―Adopt a POD‖ program, and the state National Guard to determine availability.
Identify the provider of MHE and establish a pre-incident contract or MOU with that provider.
Provide or procure POD kit(s) in accordance with IS-26.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 69-70 |
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1.3.10 (Q29) How has the state worked with jurisdictions (county, local, tribal, etc.) to identify or determine capabilities of other agencies or the private sector to support food distribution?
Intent: There are agencies that maintain food stocks on a daily basis that could be utilized in disasters to provide feeding support. School meal programs under the USDA are one of the sources. Access to these stocks could support shelter operations. Voluntary agencies such as food banks regularly provide food to those in need, which is the population that is more likely to be impacted by the incident. The food bank could be utilized as a source to provide food to others affected by the incident. Grocery chains and large retail stores have established transportation and distribution capabilities that provide food and other commodities daily to the stores and operations they support. Work with them to either get them back in business (relieving your burden) or request that they work with the jurisdiction in supporting your operation.
Capability:
Approach: The following steps are recommended: Coordinate with volunteer organizations to work with local food banks and bulk commodity suppliers to support food distribution.
Develop food bank protocols for the plan.
Develop private public partnerships with local grocery and retail stores to provide resources or work to get them back into business.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 70-71 |
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1.3.11 (Q30) How extensive is transportation planning for commodities and assets during an incident?
Intent: Visibility of commodities is important. Lost, delayed, and misdirected shipments are costly and can add to the impacted population’s suffering. Knowing where the commodities are en route from distribution or mobilization through to staging and delivery provides accountability and saves money in the long run. Transportation planning should include sources to track asset movement, movement command and control, and receipt by the end user. You should ensure that the proper MHE is available to load and off-load shipments when they arrive at their destinations. Having the correct type MHE for off-loading shipments can reduce transportation vehicle down time and overall cost.
Capability:
Approach: The following steps are recommended: Develop reporting protocols.
Require contracting-vendor reporting.
Consider utilizing a transportation vendor to conduct shipment tracking.
Consider providing radio frequency identification (RFID) or satellite tracking.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C-19 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 71-72 |
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1.3.12 (Q31) How do state plans address transporting materials through restricted areas? Intent: Commodities move from their points of origin, through the state to the LSA, to the end user, which can be an agency or POD. When infrastructure is disrupted or congested, roads closed due to flooding or damage, traffic signals out, etc., the resource flow can be disrupted or delayed. In turn, response and recovery efforts may also be delayed. Plans should address prioritizing transportation assets flow into the area and developing a concept for convoys and escorts through restricted areas. Some restrictions may be geographical or related to physical limitations or restrictions such as local road or bridge restriction associated with the weight, height, or width of the transport vehicles. Local or state laws require specific markings for certain size conveys and have established escort requirements. This should not be limited to state and federal resources, but include resources of the private sector, such as grocery stores and home improvements stores, to help them get operational, relieve some of the pressure on the jurisdiction, and get back to normal operations as soon as possible.
Capability:
Approach: The following steps are recommended: Develop a concept to transport materials through restricted areas, to include quarantine lines and law enforcement checkpoints, as well as primary and alternate routing. Develop priority protocols to get most needed resources in first.
Coordinate this plan with affected agencies and transportation providers. Develop communication protocols.
Develop escort protocols and identify escort resources.
Coordinate with private businesses to include them into the priority queue, so they can begin to get back to normal and relieve some of your burden.
Coordinate with jurisdictional law enforcement and transportation compliance officials to ensure that local and state restrictions are considered when issuing a Governor’s
Declaration of Emergency and to allow certain restrictions to be temporarily lifted or suspended following an incident.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C- 20; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 72 |
1.4 PLANNING - Training and Compliance |
1.4 Training and Compliance |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 72-73 |
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1.4.1 (Q32) How does the state participate in the Emergency Management Accreditation Program (EMAP)?
Intent: The EMAP Emergency Management Standard (EMS) is a tool for continuous improvement as part of a voluntary accreditation process for state and local EM programs. The EMAP process can be used by emergency response stakeholders and is a means for strategic improvement to EM program, culminating in accreditation.
Capability:
Approach: It is recommended that you get the executive branch of government (i.e., the governor) to agree to the EMAP accreditation. This level of support is critical because the EMAP process is resource (personnel and time) intensive and requires participation from all agencies. The process requires executive prioritization. It is suggested that you: Appoint an accreditation team to oversee the process.
Provide training and resource support for the EMAP process.
Gather and review pertinent documentation.
Reference: EMAP, EMS, 2010, pp. 1, 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 73 |
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1.4.2 (Q33) Have state logistics planners completed NIMS Incident Command System (ICS) training?
Intent: Logistics partners should have a basic understanding of NIMS ICS operations and procedures, and managers should have completed the Independent Study Program (ISP) Professional Development Series (PDS) and should be certified in ICS management.
Capability:
Approach: You should use the NIMS training program to identify job specific logistics and resources management training. Providing in-house training enables the agency to verify that participants receive the proper levels of training and understand ICS. Providing this training opportunity to outside partners helps to improve working relationships between agencies, provides additional training to outside agencies, and increases the pool of trained additional staff that could be available in a disaster response incident. It is recommended that you: Determine ICS levels for each position; and
Provide ICS training, as determined for the logistics staff and partners.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 2- 1, 2-2; National Preparedness Goal, 1st ed., 2011, p. 14; NIMS Training Program, 2011, pp. 11- 16, 51-52 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 73-74 |
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1.4.3 (Q34) How does the state sponsor or provide staging area and/or POD training?
Intent: Determine the levels of required training for staff to safely and efficiently operate LSA and PODs and make training available to all staff and other government agencies.
Capability:
Approach: By providing in-house training the agency could verify that participants and partners have a consistency of training information, have received the proper levels, and have an overall understanding of LSA and POD operations. Providing this training opportunity to outside partners helps improve working relationships between agencies, provides additional nonstandard training to outside agencies, and increases the available additional staff in a disaster response incident.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 74-75 |
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1.4.4 (Q35) How does the state plan for exercises?
Intent: Develop a strategy and a schedule of various types of exercises over a multi-year plan. Pre-scheduling these various exercises enables the state to provide additional training and reduce the operational costs for exercises and live incidents. They could identify possible shortfalls in the plans and make corrections to preclude delivery delays for critically needed materials.
Capability:
Approach: It is recommended that the state have a focused, long-term exercise program and ensure they are HSEEP-compliant with practices for exercise program management, design, development, conduct, evaluation, and improvement planning. Various types of exercises should be held within a three year timeframe and include multiple tabletop exercises that address appropriate aspects of the overall plans for each section and agency.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 4-25, 4-26, C-4; National Preparedness Goal, 1st ed., 2011, p. 7 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 75 |
1.5 PLANNING - Provider Qualification |
1.5 Provider Qualifications |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 75 |
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1.5.1 (Q36) What standard operating procedures (SOP) are in place for vetting potential commodity and service providers in the state?
Intent: A vetting process for potential vendors and service providers helps to determine their capacity or capability to meet disaster response needs and schedule. What is their past performance and can they perform as called for in the contract?
Capability:
Approach: All contracts should include a noncompliance clause with detailed steps to track and notify vendors when their performance does not meet requirements. Following all incidents and exercises, a detailed report of the vendor’s performance is maintained, providing a means to track vendors that do not perform as required.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14; Universal Task List (UTL), 2007
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 75-76 |
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1.5.2 (Q37) Do state logistics plans include public-private engagement?
Intent: It is unlikely that states can afford to provide all resources and services needed in a disaster. Logisticians should include private-sector resources and services by establishing MOUs and contracts, if legally authorized, before an incident. Involving the private-sector providers in planning and exercises enhances the overall response and cost effectiveness.
Capability:
Approach: If pre-disaster contracts are legal in your state, they should be used as much as possible. These contracts can be written so that exercises are included in the deliverables ensuring that the contractors are updated on changes to plans or procedures. The logistics section should keep these vendors informed of pending exercises and include them in training, planning, and exercises that could involve their services.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. C-11
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 76-77 |
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1.5.3 (Q38) How has the state identified potential providers for commodities, trucking, and evacuee transport?
Intent: In widespread or catastrophic incidents, transportation requirements for commercial trucking and passenger transportation, such as buses, will be heavy. There may be multiple states or FEMA vying for the same resources. Waiting to order resources until they are needed could result in not having resources to meet requirements. Pre-planning can deconflict providers and prioritize who needs what and when.
Capability:
Approach: It is recommended that you complete the following actions: Identify resources needed to conduct response operation, such as bus transportation, commodities, and commercial trucking.
Vet contractors for capability and capacity and have them identify conflicting or competing commitments. In some cases, vendors have contracted with multiple jurisdictions assuming that their resources would not be called upon by these jurisdictions at the same time, only to be caught shorthanded.
Deconflict vendors with other jurisdictions.
Coordinate priorities with FEMA and other jurisdictions.
Exercise your plan with outside jurisdictions, sharing information about possible vendors and identifying possible shortfalls of deliverables from vendors.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 77 |
1.6 PLANNING - Procurement Procedures & Protocols |
1.6 Procurement Procedures and Protocols |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 77-78 |
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1.6.1 (Q39) How does the state disaster logistics organization minimize risk of nonperformance by vendors and service providers?
Intent: To avoid contracts with underperforming vendors, vendors should be vetted and there should be multiple vendors that provide similar services and commodities, if possible. Procedures to eliminate or mitigate underperforming or nonperforming vendors should be established. This saves time and money in the long run.
Capability:
Approach: The following guidelines are recommended when identifying and selecting vendors: Do not rely on a single provider. Establish redundant vendors to provide greater assurance of being able to obtain the goods and services required.
Review past performance. The vendors should have a proven history of providing requested goods and services and have a good plan for ensuring that they will be able to meet contract requirements. By conferring with other states and jurisdictions you can develop a vendor historical profile.
Review vendors’ contingency plans and continuity of operations plans, which should demonstrate how the vendors will ensure resource availability to fulfill the contract and have appropriate redundancy. Note that even with a pre-incident contract, unless there is a full guarantee, states may still have to act quickly or risk losing the resource. The state should review and fully understand assumptions or constraints the vendor includes in the contract. The vendor should also be able to explain how they will address deployment, order receipt, and requests for services.
Use NIMS resource typing where available. NIMS-typed resources ensure that there is no miscommunication about what is being requested.
Consider adding a contract clause allowing other authorized users. Adding a clause that allows other jurisdictional entities to access the provided goods and services may mean there are fewer burdens on EM to procure goods and services on behalf of these organizations.
Use local vendors and service providers, which can help to stimulate the local economy after a disaster, encourage people to return, and reduce overall costs by reducing contractor per diem and travel costs. Consider whether a clause requiring the use of local hires is feasible.
Use turnkey systems where possible. Turnkey systems provide comprehensive solutions with one vendor and include the actual equipment, personnel, assembly, maintenance, disassembly, and transportation of the resources and equipment. A one stop solution is easier and possibly more cost effective.
Reference: Interagency Incident Business Management Handbook 2, 2009 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 78-79
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1.6.2 (Q40) What standard operating procedures (SOP) are in place for ordering and acquiring resources and services?
Intent: Assigned staff may have little experience in emergency purchasing and any repetitive action to be performed by personnel with varying levels of experience and training during disaster incidents should benefit from having SOPs. This is particularly true in purchasing where normal daily ordering and acquisition, including purchasing procedures can be complex. Disasters or emergencies usually require procedures different from the day to day operations.
Capability:
Approach: The following guidelines are recommended when creating SOPs for resources and services acquisition: Appoint a SOP writing team to include ordering and acquiring of resources, purchasing, logistics, and public assistance specialists.
Develop a comprehensive purchasing SOP that includes day-to-day and emergency ordering, acquisition, and purchasing procedures.
Develop job aids to include position descriptions, forms, and procedures for information management technology systems (i.e., WebEOC).
Conduct training on the SOP and include the various personnel assigned to the purchasing section in the state’s training and exercises program.
Reduce the possibility of major errors occurring during disasters or emergency operations.
Use SOPs to ensure that duplication of services is reduced, tracking of expenditures is better maintained, and overall cost is reduced.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 79-80 |
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1.6.3 (Q41) How are state sourcing decisions tied to a critical resource management plan? Intent: Pre-disaster sourcing decisions should identify resource requirements, shortfalls, and inventories to meet objectives; to provide the most cost effective, closest, and most readily attainable resources; and to utilize standing contracts, emergency purchasing procedures for quick access, and known pricing.
Capability:
Approach: The following guidelines are recommended for establishing a critical resource management plan: Integrate it with the overall emergency management organization.
Develop standing contracts and emergency purchase mechanisms (e.g. debit and credit cards).
Coordinate and share the plan with local and state partners, the FEMA Region, and FEMA Headquarters.
Use and include modeling, historical burn rates, known delivery lead times, and emergency purchasing powers.
Update guidelines regularly, at least annually and after incidents, including lessons learned.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 80-81 |
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1.6.4 (Q42) How are contracts and emergency purchase procedures linked to state accounting practices and procedures?
Intent: You should not form an ad hoc accounting practice for disasters. Linking approval, ordering, receipt, and integration with accounting or contracts and emergency purchases to standard accounting and audit practices from the beginning of an incident helps in recovery and reimbursement from FEMA, the state, and other agency audits.
Capability:
Approach: The following actions are recommended: Develop procedures that incorporate state purchasing practices and procedures with emergency contracts and purchase procedures.
Include the procedures in your purchasing SOP.
Conduct training on the procedures.
Include the procedures in exercises.
Reference: NIMS, 2008, pp. 113-114 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 81-82 |
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1.6.5 (Q43) If applicable, how does the state utilize General Services Administration (GSA) sourcing and contracts with the private sector?
Intent: GSA provides government pricing for certain resources. These prices are negotiated as the best price for the government. However, when using a GSA schedule if the service or commodities are over $1,000,000 or for an extended period of time for services the price is negotiable.
Capability:
Approach: If you cannot use the GSA schedule, you can still utilize GSA scheduling as a guide for establishing pricing with contractors or in the long term can you work to get the law in your state changed.
What products and services do you require under the GSA schedule? It is recommended that you develop pre-incident contracts for those services with approved GSA providers.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 82 |
1.7 PLANNING - Solicitation |
1.7 Solicitation |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 82-83 |
1.7.1 What is your state's process for issuing tenders for pre-incident contracts? 1 - No formal solicitation process & protocol 2 - Statements of work developed and sole source solicitations developed on an ad hoc basis 3 - Limited Request For Proposal (RFP) issuance for pre-incident contracts; largely ad hoc negotiation and contracting 4 - Standardized Request For Information (RFI) and RFP process for pre-incident contracts, including detailed statements of work, bid evaluaton, and pricing 5 - RFI and RFP processes for pre-incident contracts are standardized and (if not proprietary) information is shared with FEMA Regions and FEMA HQ
________________________________________ ________________________________________ ________________________________________ |
1.7.1 (Q44) What is the state process for issuing requests for proposals (RFP) or other offers for pre-incident contracts?
Intent: Competition between suppliers offers a simple and effective opportunity for savings by allowing a number of suppliers to compete for a given range of equipment and commodities. Issues can arise if there are not clear processes or information on how to issue RFPs.
Capability:
Approach: The state should issue a RFI for supplies in advance of an incident, if possible. The process should include supplier selection. This enables the state to assess the market place and invite potential candidates to apply before measuring key supplier requirements such as capability, quality, and process. This state should require a questionnaire be sent to suppliers before qualification. The questionnaire should be targeted, concise, and relevant to the requirement being tendered.
Tenders often hinge on disaster requirements, so it is crucial that requirements are clear and precise. Ambiguity can result in different interpretations making the evaluation and award far more complicated than it should be. Provide feedback and create a list of frequently asked questions (FAQ). Ensure that the state has suitable points of contact available for questions and issues that might arise. Ensuring that the state has the correct support structure in place to clarify any details is vital to the RFP success.
Selection criteria should be considered at the beginning of the process – ideally, ensure that suppliers complete their proposals in a standard format that can be easily scored and compared. Requirements should be broken down into appropriate sections (e.g. materials and services) so that they can be considered and weighted appropriately.
Reference: EMAP, EMS, 2010, p. 5 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 83 |
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1.7.2 (Q45) How does the state balance its portfolio of vendor contracts, to include local, regional, and national/enterprise level providers?
Intent: Having a balance of local, regional, and national suppliers provides options. For instance, in a small incident local vendors may provide a quicker response, less transportation costs, and a boost to the local economy. In a larger incident the number of vendors should be greater as requirements grow and supersede local vendor capabilities. In catastrophic incidents the pool of vendors grows even larger as federal government and multiple states compete for more and more resources.
Capability:
Approach: When extending RFPs for commodities and equipment, it is recommended that the state include local, regional, and national providers.
It is also advisable to establish priority lists with a goal to utilize the closest and most cost effective resource provider first, the objective being to work outward from local, to regional, and then national. The further away a resource is the more expensive the cost.
Reference: EMAP, EMS, 2010, p. 5 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 83 |
1.8 PLANNING - Existing Contracts |
1.8 Existing Contracts |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 83-84 |
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1.8.1 (Q46) What process is used to make private sector liaisons easily accessible to state logistics personnel?
Intent: The logistician can acquire a more accurate assessment of private resource availability from = the private sector. This could save money, time, and perhaps reduce or eliminate wasted resources.
Capability:
Approach: Identify a private sector ESF or liaison(s) with business and industry. Include contracted vendors in the logistics section (if not physically in the EOC) and establish 24/7 communications. Ready access to public sector representatives with knowledge of business activities e.g., local store hours, can help the logistician decide if PODs are warranted or if it is time to demobilize them, and facilitates detailed planning and coordinating.
Reference: EMAP, EMS, 2010, p. 5 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 84-85 |
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1.8.2 (Q47) How does the state use performance-based contracting (PBC) for goods and services?
Intent: Performance-based contracts identify expected deliverables, performance measures or outcomes, and payment is contingent on successful delivery. Performance-based contracts may include consequences and/or incentives to ensure that agreed upon value to the state is received.
Capability:
Approach: PBC has been identified as an effective means to acquire goods and services; is contracting for results, not best efforts; and involves structuring aspects of an acquisition around the purpose of the work to be performed. The essential elements of PBC include: developing effective work statements, performance standards, and quality assurance plans, as well as, Describing the task to be performed in terms of measurable outcomes rather than by prescriptive actions to be performed, expressed in either a performance work statement (PWS) or statement of objective (SOO).
Developing measures of performance and defining acceptable performance.
Developing processes for handling performance that exceeds or fails to meet acceptable performance standards.
Defining how the contractor’s performance should be measured and assessed against the performance standards (consider a Quality Assurance Plan or Quality Assurance Surveillance Plan).
Reference: EMAP, EMS, 2010, p. 5 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 85 |
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1.8.3 (Q48) How are existing trucking contracts linked to a forecasted distribution model and/or do the contracts have provisions for demand scalability throughout the state?
Intent: Trucking contracts should be scalable. Truck requirements can be intense in the first hours of an incident, decrease as the incident proceeds, and then increase when recovering supplies. It may not be cost effective to order a set number of assets for a fixed period of time because you will have to pay for idle assets. Coordinating truck requirements with the distribution model gives the logistician a picture of what trucking assets may be needed over different periods of time.
Capability:
Approach: Perform the following steps: Develop contracts that are aligned with your commodity distribution model. Include contract provisions for scalable requirements.
Include provisions for the trucking contractor to provide a liaison to work with the logistics section.
Coordinate requirements for trucking assets.
Coordinate this plan with local, regional, tribal and state agencies, and the FEMA Region.
Reference: UTL, 2007 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 86 |
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1.8.4 (Q49) How are contracts evaluated in conjunction with periodic logistics plans reviews?
Intent: Vendor contracts should be evaluated periodically – after they are implemented and at least annually. They should be evaluated for their capability and ability to perform, but also pricing. Vendor contracts should be reviewed and included in exercises that the state conducts to ensure that vendors are aware of changes in procedures or policies and to verify that the vendors are capable of fulfilling contract requirements.
Capability:
Approach: At a minimum, perform annual contract reviews and validate current capability or changes with the vendors. Be sure to include pricing changes. Include private vendors in the various levels of exercises conducted by the state including the tabletop conducted internally by the agency.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 86 |
2 Logistics Operations |
6.2 Logistics Operations Questions
The following section is comprised of questions taken directly from the Logistics Operations section of the LCAT questionnaire. They are numbered to correlate to the numbering in the questionnaire. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 86 |
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2. Logistics Operations |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 86 |
2.1 EXECUTION - Identify Requirements |
2.1 Identify Requirements |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 86-88 |
2.1.1 Are your State's requirements generated through an ad hoc or formalized process based on established and accepted planning factors? Src: NIMS Dec 08 p 35-36, para 1 of Identify Requirements. TCL Sep 07 p 225 Res.B1d 3.1.2 and 5.1 1 - Ad hoc requirements generation 2 - Use generic USACE population planning factors 3 - Utilize population based planning factors such USACE adjusted by historical data 4 - Use current commodity burn rates to determine requirements 5 - Use USACE adjusted by historical data initially, and later current burn rates synched to distribution throughput to determine final requirements
________________________________________ ________________________________________ ________________________________________ |
2.1.1 (Q50) How are state requirements generated through an ad hoc or formal process based on established and accepted planning factors?
Intent: The need to pre-identify requirements ensures the logistics section can respond to the incident requirements. Using formal planning factors, such as the USACE model and historical and U.S. Department of Commerce census data, assists in avoiding over ordering to a point that valuable commodities that cannot be distributed are wasted or not available to other jurisdictions that need them.
Capability:
Approach: Estimate the number of people to be served by a POD and the number of POD sites needed. This can be accomplished mathematically using any of several models that can calculate the number of PODs required when the total number of people without commercial power is entered.
Use the USACE model to identify the number of persons potentially affected by a catastrophic incident and the number of Type III PODs needed to support that population where 5,000 is the number of people served by a Type III POD.
(approximate affected population) / 5,000 = (number of PODs needed)
Identify the general locations of PODs. POD models predict the number of people in need. This fact is very important for determining the amount of commodities that may be required; however, this fact is useless if commodities cannot be provided to survivors in a timely manner. The general locations of PODs can be determined by population density and how commodities should be distributed in the state. Use GIS to produce a dot density map that provides a visual dot for a selected density of population. A dot density map should be produced based on a density of 1 dot for every 12,500 people (40 percent of 12,500 = 5,000 – the number of people served by a Type III POD).
Consider adding additional POD general locations. It is also important to consider factors such as tribal communities, isolated rural communities, and concentrations of population (for example, high rise apartments and apartment complexes) that might require additional PODs.
Identify potential POD sites within each general location. Once the general location is identified through GIS mapping, the POD planning team should identify and review potential sites for the POD within that general location. Use state parcel-level maps and neighborhood planning details to identify sites within each of the identified general locations.
Coordinating with local and tribal contacts and sharing the proposed locations of PODs reduces the possibility of a site being selected that could become problematic during a live incident.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14; NIMS, 2008, pp. 35-36 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 88 |
2.1.2 Does your State have a structured logistics situation reporting process? Src: TCL Sep 07 Res.B1d 8.1.1, 4.3 and 6.3.4 1 - Ad hoc reporting 2 - Standardized report formats and time 3 - Logistics reports are shared with State partners 4 - Logistics status reporting integrated with FEMA logistics operations. Local and State authorities provide status reports and requirements to FEMA 24-48 hours prior to required delivery date 5 - Data collected in the logistics situation reports are used to determine requirements and make distribution and/or logistics decisions
________________________________________ ________________________________________ ________________________________________ |
2.1.2 (Q51) What is the state logistics situation reporting process?
Intent: Logistics status and situation reporting is important to providing overall logistics situational awareness. Using standardized forms provides data in a consistent format which can be helpful for developing requirements and making distribution and logistics decisions. Providing a regularly scheduled reporting time assists logistics planners in establishing timetables to complete the logistics functions, such as ordering, distribution, and meeting the reporting requirements of FEMA as well.
Capability:
Approach: The following are general recommendations for logistics situation reporting:
Determine the kinds of information that are needed to manage logistics. Determine reporting times or frequency. Develop forms and formats that meet these information needs. Develop data bases and procedures in an information technology (IT) management system, such as WebEOC. Develop SOPs. Conduct training. Exercise procedures. Update procedures, policies, and training utilizing lessons learned from incidents and exercises.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 88-89 |
2.1.3 Are your State's commodity requirements adjusted to reflect post-evacuation population? 1 - Commodity requirements not adjusted for post-evacuation population 2 - State has scenario-based methodology to determine post-evacuation population 3 - State has scenario-based methodology to determine post-evacuation population and has exercised capability 4 - State has scenario-based methodology to determine post-evacuation populations and has identified external commodity requirements 5 - State has scenario-based methodology to determine post-evacuation population and has adjusted PODs and distribution outlets accordingly
________________________________________ ________________________________________ ________________________________________ |
.1.3 (Q52) How are commodity requirements adjusted to reflect post-evacuation population?
Intent: If the population is expected to evacuate before or because of an incident, then the initial requirement for commodities in that area may be considerably less. Also, consider the tourist population, if applicable.
Capability:
Approach: In addition to the standard POD planning steps, determine the transient population, tourists, and commuters in addition to residents. Determine scenarios that would change the population.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 89 |
2.1.4 Are your State's commodity requirements adjusted to reflect first responder/base camp populations? 1 - Commodity requirements not adjusted for first responder/base camp operations and support 2 - State has scenario-based methodology to determine first responder/base camp population 3 - State has scenario-based methodology to determine first responder/base camp population and has exercised capability 4 - State has scenario-based methodology to determine first responder/base camp populations and has identified external commodity requirements 5 - State has scenario-based methodology to determine first responder/base camp population and has adjusted PODs and distribution outlets accordingly
________________________________________ ________________________________________ ________________________________________ |
2.1.4 (Q53) How are the state's commodity requirements adjusted to reflect first responder and base camp populations?
Intent: Additional resources should be factored in to account for the influx of first responders and mutual aid resources. Commercial providers for responder support camps (RSCs), if contracted, should provide bottled water to support meal service and the lunch meal (which is usually a shelf-stable meal or bag lunch issued with the breakfast meal).
Capability:
Approach: Based on the numbers of reported, expected, or fielded first responders, adjust commodity ordering appropriately. Plan to distribute commodities to first responders, by pickup by a first responder or by delivery to RSC or other locations.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 90 |
2.1.5 Are your State's commodity requirements adjusted to reflect potential requirements to support shelters? Src: EMAP Standard, pg 9-10, dated September 2007 1 - Commodity requirements not adjusted to support shelters 2 - State, in conjunction with ESF 6 representatives, has scenario-based methodology to determine shelter population commodity requirements 3 - State has scenario-based methodology to determine shelter population and has exercised capability 4 - State has scenario-based methodology to determine shelter populations and has identified external commodity requirements 5 - State has scenario-based methodology to determine shelter population and has adjusted commodity requirements and distribution outlets accordingly. State also adheres to resource management and logistics standards 4.8.2 and 4.8.3 of the Emergency Management Accreditation Program
________________________________________ ________________________________________ ________________________________________ |
2.1.5 (Q54) How are estimated shelter support requirements included in the state's overall commodity requirements?
Intent: In conjunction with the state agency responsible for ESF-6 operations, the American Red Cross with other partners provides statewide shelter locations and coordinates with the logistics section. ESF-6 agencies and partners are included in the EOP and participate in local and statewide exercises and training.
Capability:
Approach: Adjust commodity ordering based on the number of reported, expected, or open shelter residents and staff. Plan for distributing commodities to shelters, whether it is a pickup by shelter operators or delivery to the shelter locations. Have disaster contracts in place to assist ESF-6 personnel and partners with resources (i.e., cots, bulk food, blankets, laundry, etc.) that may be needed to operate shelters during and following major incidents.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 90-91 |
2.1.6 Have power generation (e.g. generators) requirements been determined by your State? 1 - Ad hoc requirements generation 2 - Use USACE/HAZUS modeling to determine power requirements, and identify key infrastructure (e.g. hospitals) that will require generators 3 - All key infrastructure and requirements for power during response phase identified. Coordination with USACE for survey to determine exact requirements 4 - Generator requirements thoroughly assessed and locations verified for sufficient pads, hook-ups, exact specifications and maintenance 5 - Generators are tested periodically and proper connections to critical infrastructure are ensured. In addition, generator requirements are addressed through State level contracts and/or coordination with FEMA through a formal method
________________________________________ ________________________________________ ________________________________________ |
2.1.6 (Q55) How are generator requirements determined by your state?
Intent: Generators are critical requirements in almost any significant incident. However, generators require significant preliminary work before they can be installed. Key critical facilities that may require generators have to be assessed prior to their installation. Assessing facilities for the proper power requirements and establishing hook ups is time consuming and should be accomplished prior to an incident.
Capability:
Approach: In the long term, it is advisable to consider laws requiring identified critical facilities to have generators installed as part of any facility improvement or new constructions. Pre- identify critical infrastructure that may require generators and survey those locations for required size and hook ups. Include commercial generator providers in determining power assessments. Facility managers may look to have contracts in place with commercial providers. The survey should also determine power and hook up requirements. You may also need to establish turnkey contracts which include installation, maintenance, fueling, and demobilization procedures. States attempting to acquire generators following a major incident should expect delays in locating, delivering, and installing the generators and increased costs. Identifying contract support requirements before an incident could alleviate these problems.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 91 |
2.2 EXECUTION - Activate Critical Resource Logistics and Distribution |
2.2 Activate Critical Resource Logistics and Distribution |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 91-92 |
2.2.1 Does your State have documented standard operating procedures for state staging area operations? Src: TCL Sep 07 Res.B1d 4.2 and 6.3.4; EMAP Standard, pg 9-10, Sept 2007 Label: State Staging Area Operations 1 - No policies or procedures for state staging area operations 2 - Written policies and procedures for state staging area operations 3 - State has state staging area policies and procedures developed in cooperation with partners (e.g. National Guard) 4 - State staging area polices and procedures part of ongoing process improvement effort and done in conjunction with FEMA Region/U.S. Army Corps of Engineers (USACE) 5 - State staging area policies and procedures designed to maximize receiving and distribution operations and has been accomplished in conjunction with FEMA Region/USACE Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________ |
2.2.1 (Q56) What documented standard operating procedures does the state have for state staging area operations?
Intent: The LSA SOP or standard operating guide (SOG) should be a complete reference document that provides the purpose, authorities, duration, and details of the preferred method for uniformly performing a number of staging area operations. LSA SOPs and SOGs may include: set up, concept of operations, demobilization, equipment and staffing requirements, roles and responsibilities, position descriptions, job aids, checklists, forms, call-down rosters, safety, resource listings, maps, and charts.
Capability:
Approach: Develop state staging area SOPs or SOGs that: Designate the agency or organization responsible for the command and control structure that oversees receiving, accounting for, securing, storing, and distributing supplies, equipment, and commodities and include procedures to distribute emergency relief supplies at the local level to disaster survivors.
Describe roles and responsibilities. Include job aids to receive, inventory, store, and dispatch commodities and equipment, which were developed for each position within the LSA.
Integrate the state stakeholder (including vendors) capabilities into procedures.
Include demobilization procedures for reducing or ending LSA operations when they are no longer needed. These demobilization procedures should address unused supplies, surplus commodities, and the return of accountable property.
Procedures should be the basis for annual review and maintenance.
Reference: EMAP, EMS, 2010, p. 9; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 92-93 |
2.2.2 Does your State have documented standard operating procedures for POD operations? Src: TCL Sep 07 Res.B1d 4.2 and 6.3.4; EMAP Standard, pg 9-10, Sept 2007 Label: Point of Distribution (POD) Operations 1 - No policies or procedures for POD operations 2 - Written policies and procedures for POD operations 3 - State has POD policies and procedures developed in cooperation with partners (e.g. National Guard) 4 - POD polices and procedures part of ongoing process improvement effort and done in conjunction with FEMA Region/U.S. Army Corps of Engineers (USACE) 5 - POD policies and procedures designed to maximize receiving and distribution operations and has been accomplished in conjunction with FEMA Region/USACE Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________ |
2.2.2 (Q57) What does your state have as documented standard operating procedures for POD operations?
Intent: The POD SOP should be a complete reference document that provides the purpose, authorities, duration, and details of the preferred method for uniformly performing POD functions. LSA SOPs and/or SOGs may include: set up, concept of operations, demobilization, equipment and staffing requirements, roles and responsibilities, position descriptions, job aids, checklists, forms, call-down rosters, safety, resource listings, maps, and charts.
Capability:
Approach: The following is suggested: SOPs for state POD operations should be developed, utilizing IS-26 as a guide. These SOPs should provide a command and control structure to oversee receiving, accounting for, securing, storing, and distributing supplies, equipment, and commodities and include procedures to distribute emergency relief supplies to disaster survivors at the local level.
Include job aids, to receive, inventory, store, and dispatch commodities and equipment, which were developed for each position within the LSA.
Integrate the jurisdictional agencies stakeholders (including vendors) capabilities into these procedures.
Include demobilization procedures for reducing or ending LSA operations when nolonger needed. These demobilization procedures should address unused supplies, surplus commodities, and the return of accountable property.
Procedures should provide for an annual review and maintenance.
Reference: EMAP, EMS, 2010, p. 9; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 93-94 |
2.2.3 How does your State ramp down PODs as they are no longer needed? Src: From CPG 101 (Interim) pg D-10; TCL Sep 07 pg 226; EMAP Standard, pg 9-10, Sept 2007 1 - State has no method to determine when PODs are no longer needed 2 - State continues to push commodities to PODs until commodities are no longer needed 3 - State receives forecast input from POD manager to determine need 4 - State works with local POD manager to determine POD need and commodity forecast and informs outside support agencies (Red Cross, Salvation Army, etc) of decreasing POD need 5 - State forecasts POD demand based on information and usage data from POD manager and works to cross level remaining POD assets. State works with FEMA Region to ensure inbound commodities reflect POD need. State adheres to standard 4.8.4 of the Emergency Management Accreditation Program
________________________________________ ________________________________________ ________________________________________ |
2.2.3 (Q58) How does your state demobilize PODs?
Intent: POD demobilization planning assists in effectively managing resources. As power is restored stores begin to open and drinking water becomes available, then POD operations should be reduced and incidentally brought to a close. Remaining commodities should be returned to local warehouses and/or restaged for redistribution to remaining open PODs or distributed to voluntary agencies.
Capability:
Approach: Ensure a demobilized plan or annex is incorporated into the LSA and POD SOPs.
Coordinate with voluntary agencies. Develop a detailed checklist to follow when demobilizing to ensure all aspects of the operation are covered, it should include, but not be limited to: Who needs to be notified, When do they need to be notified,
To where is equipment returned,
Who is responsible for non-utilized commodities, Where do they go, and When to release staff.
Reference: EMAP, EMS, 2010, p. 9; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 94 |
2.3 EXECUTION - Acquire Resources |
2.3 Acquire Resources |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 94-95 |
2.3.1 Has your State pre-identified mission requirements? Src: TCL Sep 07 Res.B1d 7.6; EMAP Standard, pg 9-10, Sept 2007 1 - No pre-identification of mission requirements 2 - Shortfall analysis completed 3 - Pre-identified mission requirements being developed 4 - Pre-identified mission requirements complete 5 - Pre-identified mission requirements completed and vetted with assigned agencies and State adheres to resource management and logistics standards 4.8.2, 4.8.3, and 4.8.4 of the Emergency Management Accreditation Program
________________________________________ ________________________________________ ________________________________________ |
2.3.1 (Q59) How does the state pre-identify mission requirements?
Intent: The state should look at likely missions that may come up during incidents and identify logistical requirements to accomplish those missions, such as establishing a forward command post, establishing an LSA, conducting evacuation operations or flood fight. By identifying possible mission resources during planning you can save time and develop rapid responses to facilitate and standardize the approach.
Capability:
Approach: You should identify the likely missions that have a logistical impact requiring personnel, vehicles, other equipment and supplies. Be sure to: Identify requirements for the number and type of resources. Identify internal resources from state agencies that can fulfill requirements. Identify shortfalls that can be filled with mutual aid or commercial resources. Identify costs involved with deploying your own resources and bringing in commercial resources for that mission.
Maintain a system and a plan for obtaining internal and external resources. To manage resources effectively your system should include procedures that address:
Activating those processes prior to and during a disaster; Dispatching resources prior to and during a disaster; Deactivating or recalling resources during or after a disaster; Establishing predetermined deployment costs, thereby allowing you to estimate possible initial response expenditures for a disaster; and You could geocode your available inventory, thus ensuring the response and resource adequacy and built-in efficiency for deployment operations.
To assist in this process the Mission Ready Packages (MRP) developed by EMAC could be used to develop the state’s requirements, as well as, develop packages to be used in interstate and intra-state mutual aid. States should identify mission requirements and develop the EMAC resource-typed MRPs as an established method for building capacity.
MRPs are specific response and recovery resource capabilities that are organized, developed, trained, and exercised prior to an emergency or disaster. They are based on known facts and historical data, and represent the next logical step after NIMS resource typing. NIMS resource typing has been developed in cooperation with numerous resource providers and coordinated with other state emergency management agencies and FEMA.
MRP components are: A NIMS-typed resource (if applicable)
Pre-scripted mission statement(s) (What is the scope of the mission that is to be accomplished?)
Limitations (What can the resource not do or a time limitation, etc.?)
Required support (Does this resource require refueling capability or feeding, etc.?) Footprint needed (For instance what kind of space would they need to conduct their mission at the LSA?)
Time to readiness (How long does it take to get this resource? Mobilization, travel, etc.) Estimated cost (A good cost estimate results in a good reimbursement package. Also one can make an informed decision if the resource is cost effective to the real mission for which it is requested.)
Detailed information is available at the EMAC Website. http://www.emacweb.org
Reference: EMAP, EMS, 2010, p. 9; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 95-96 |
2.3.2 Does your State employ standard typing measures to identify required logistics resources (e.g. material handling equipment) by capability? Src: NIMS Dec 08 p41-42, para b. TCL Sep 07 Res.B1d 5.2 1 - No typing or identifying by capability of required logistics resources 2 - Some typing by capability of critical resources but not standardized 3 - Standardized typing or identifying by capability of critical resources only 4 - Standardized typing and identifying of all logistics resources required 5 - Typing facilitates streamlined request procedures (e.g. "force packages" to man PODs or state staging areas)
________________________________________ ________________________________________ ________________________________________ |
2.3.2 (Q60) What standard typing protocols does your state use to identify required logistics resources by capability?
Intent: Resource typing enhances emergency readiness and response at all levels of government through a system that allows an overwhelmed state to augment its response resources during an incident. Standard resource typing definitions help responders request and deploy the resources they need through the use of common terminology. They allow emergency management personnel to identify, locate, request, order, and track outside resources quickly and effectively, and facilitate the movement of these resources to the jurisdiction that needs them.
Capability:
Approach: Designate a committee or team to type resources in accordance with widely accepted standards. Those resources that were previously typed should be evaluated, and, if required, flagged for future typing. Resource typing is categorizing and describing response resources that are commonly exchanged in disasters through mutual aid agreements. The National Integration Center (NIC) has developed and published over 120 resource typing definitions. Utilize these definitions as much as possible when requesting resources. Avoid developing your own typing system for continuity and conducting mutual aid coordination with other states. If you have a unique piece of equipment or capability then the state should work with the NIC to develop a standard.
Reference: NIMS, 2008, pp. 41-42; National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 96-97 |
2.3.3 Does your State have documented in-state (municipality or county level) mutual aid agreement request policies, procedures and information technology tools? Src: TCL Sep 07 p.225 1 - No policies or procedures for in-state mutual aid agreement requests 2 - Clearly defined policies, procedures, roles and responsibilities for in-state mutual aid agreement requests 3 - Clearly defined policies, procedures roles and responsibilities for in-state mutual aid agreement requests with some information management technology tools 4 - Clearly defined policies, procedures roles and responsibilities for in-state mutual aid agreement requests fully enabled by information management technology (e.g. WebEOC or similar application) 5 - In-state mutual aid agreement procedures and tools have been optimized to ensure the fast flow of requests, tracking of requests and real time updating of status
________________________________________ ________________________________________ ________________________________________ |
2.3.3 (Q61) What documented in-state (municipality or county level) mutual aid agreement request policies, procedures and information technology tools does your state have?
Intent: NEMA developed Model Intrastate Mutual Aid Legislation that allows states, counties, and municipalities to assist one another in responding to natural and man-made disasters. Each state should clearly define policies and procedures to utilize intrastate mutual aid and incorporate information management technology tools to facilitate timely requests, tracking, and updates.
Capability:
Approach: The Model Intrastate Mutual Aid Legislation was produced by NEMA in concert with the DHS and FEMA and a cross section of emergency response disciplines to facilitate intrastate mutual aid among participating political subdivisions in a state. Areas that should be addressed are: Preamble; Emergency responders defined; Participating political subdivisions’ responsibilities; Implementation; Limitations; License, certificate, and permit portability; Reimbursement, disputes regarding reimbursement; Development of guidelines and procedures; Workers’ compensation; Immunity; and Severability.
Keys to developing mutual aid agreements: Closely tie legislation and agreement to EMAC member states’ legislation and SOPs for seamless escalation of disaster response and execution of mutual aid.
Encourage participation by a broad range of emergency responders. Include other definitions as appropriate. Consider global perspective, e.g., public works, private entities, medical personnel, public transportation, and others.
Make legislation opt out. Most states have several hundred municipalities and other jurisdictions within their borders. To attempt to get everyone on board on an opt in agreement could take years and never achieve a plurality of participation. By making legislation opt out, everyone is a part of the system the day it becomes law.
Develop forms to facilitate requests for aid, recordkeeping regarding movement of equipment and personnel, and reimbursement.
Require use of a standardized incident command and management system consistent with that used by the state.
In addition to not affecting any existing agreements, also allow for supplemental agreements between participants.
For full information on the Model Intrastate Mutual Aid Legislation go to: http://www.emacweb.org
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 98 |
2.3.4 Does your State have documented inter-state (State to State level) Emergency Management Assistance Compact (EMAC) request policies, procedures and information technology tools? Src: TCL Sep 07 p.225 1 - No policies or procedures for EMAC requests 2 - Clearly defined policies, procedures, roles and responsibilities for EMAC requests 3 - Clearly defined policies, procedures roles and responsibilities for EMAC requests with some information management technology tools 4 - Clearly defined policies, procedures roles and responsibilities for EMAC requests fully enabled by information management technology (e.g. WebEOC or similar application) 5 - EMAC procedures and tools have been optimized to ensure the fast flow of requests, tracking of requests and real time updating of EMAC status
________________________________________ ________________________________________ ________________________________________ |
2.3.4 (Q62) What documented interstate (state-to-state level) Emergency Management Assistance Compact (EMAC) request policies, procedures, and information technology tools does your state have?
Intent: EMAC is an interstate mutual aid agreement that allows states to assist one another in responding to natural and manmade disasters. Clearly define policies and procedures to utilize EMAC and incorporate those procedures into your information management technology tools to facilitate the flow of requests, tracking, and updating requests in real time.
Capability:
Approach: EMAC procedures and policies are well documented on the EMAC Website. It is suggested that you use the standards to incorporate them into SOPs, plans, and information technology management. Ensure that all partners within the jurisdiction include the various ESFs, nongovernment organizations, and VOADs, which should have at least a basic understanding of EMAC and its procedures.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 98-99 |
2.3.5 Does your State have a clearly defined lead agency coordinator for logistics? 1 - Logistics coordinator not identified 2 - Logistics coordinator and backup identified and State logistics needs are defined 3 - Logistics coordinator has clearly defined assets and procedures to coordinate State logistics requirements during a disaster response 4 - During a disaster response, logistics coordinator directs and controls all State logistics requirements 5 - Logistics coordinator has worked with external partners and private vendors to meet State requirements during a disaster response
________________________________________ ________________________________________ ________________________________________ |
2.3.5 (Q63) What organization is defined as the state’s lead agency coordinator for logistics?
Intent: Logistics is not something that should be arbitrarily assigned to an agency or an individual during a disaster. Even the most detailed plans cannot replace the experience and knowledge of an assigned and dedicated Logistics Chief and agency.
Capability:
Approach: Assign an agency to be the state logistics lead. If not the emergency management agency, then an agency responsible for logistics or procurement.
Assign a dedicated logistics chief. At the state level the true time commitment of developing logistics SOPs, pre-incident contracts, and resources, and working with private vendors and external partners, etc. is most likely a full time responsibility, not just a disaster requirement.
Additional staff could be required for any incident having a dedicated agency or agencies to fulfill that requirement.
Reference: Task Book for the Position of Logistics Section Chief Type 1 and Type 2, 1993 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 99 |
2.3.6 Does your State have documented policies, procedures and automation tools for Action Request Form (ARF) submissions to FEMA? Src: TCL Sep 07 Res.B1d 7.6 1 - No policies, procedures or tools for ARF requests to FEMA 2 - Clearly defined policies, procedures, and tools for ARF submissions 3 - Clearly defined policies, procedures, and responsibilities for ARF requests with some information management technology enablers 4 - Clearly defined policies, procedures roles and responsibilities for ARF submissions fully enabled by information management technology 5 - Policies, procedures and tools have been optimized to provide clear, detailed and justified ARFs in a timely fashion. ARF submissions are tracked and status updates provided to federal, state and local officials
________________________________________ ________________________________________ ________________________________________ |
2.3.6 (Q64) What documented policies, procedures, and automation tools does your state have for Action Request Form (ARF) submissions to FEMA?
Intent: The Action Request Form (FF 90-13) is used to request federal assistance and should be the next step in acquiring resources after exhausting state and mutual aid capabilities. Your clearly defined policies and procedures should integrate the FEMA ARF process and procedures with the state’s processes and procedures and you should incorporate those procedures in your information management technology tools to facilitate the flow of requests, tracking, and status update requests in real time.
Capability:
Approach: Having predesigned and partially completed ARFs for those items that normally are requested from the federal government could reduce the time lag in acquiring approval. Having staff that is thoroughly trained and familiar with the procedures for requesting federal assistance with ARFs, could also reduce costs and possible miscommunications in identifying the required resources during the response.
Reference: National Preparedness Goal, 1st ed., 2011, p. 6 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 100 |
2.3.7 Does your State have personnel trained to prepare and track ARFs? Src: TCL Sep 07 p.224 1 - State does not have primaries and backups sufficient for 24 hour operations designated for ARF preparation and tracking 2 - State has identified primaries and backups for ARF preparation and tracking 3 - State personnel designated to prepare ARFs are familiar with policies, procedures and tools for ARF preparation 4 - Those responsible for ARF preparations have trained with FEMA Region staff on ARF preparation 5 - ARFs prepared by the State are clear, detailed and justified and submitted in a timely fashion. Adequate staffing to track and provide updates on ARF status to federal, state and local officials
________________________________________ ________________________________________ ________________________________________ |
2.3.7 (Q65) How does your state train personnel to prepare and track ARFs?
Intent: Develop a trained staff that can specialize in the preparing and tracking ARFs requested by a state during an incident, thus reducing the possibility of duplication of requests, incorrect routing, and increased costs.
Capability:
Approach: Develop procedures for preparing and tracking ARFs. Train and certify staff in ARF procedures, preparations, and tracking. Consider just-in-time training for additional staff, such as financial officers from other states that have been deployed as part of an EMAC mission or personnel from other agencies utilized as additional staff during the incident.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 100-101 |
2.3.8 Does your State have processes and procedures for commodity (supply) management in place? Src: NIMS Dec 08 pgs 33-34, para 1 1 - No commodity management processes, procedures or personnel identified 2 - Logistics action officers identified, and familiar with commodity management processes, and procedures 3 - Identified logistics action officers familiar with State procurement procedures, commodity management procedures and sources of supply 4 - Logistics action officers have established working relationships with key stakeholders in the State and Federal disaster logistics community, suppliers and other key partners 5 - Management by exception (e.g. check on only purchase orders that have not been closed out within a predetermined period such as 48 hours)
________________________________________ ________________________________________ ________________________________________ |
2.3.8 (Q66) What are the state’s resource management processes and procedures? Intent: You should have SOPs and/or SOGs in place and personnel identified and trained to carry out the logistics function, particularly commodity management.
Capability:
Approach: It is suggested that you:
Develop supply management as part of overall logistics procedures. Develop procedures, job aids, forms, and job descriptions. Identify personnel to fill logistics action officer positions. Train identified personnel in supply management procedures. Exercise with other state and federal partners, as well as vendors and other key stakeholders to develop working relationships.
Reference: NIMS, 2008, pp. 33-34 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 101 |
2.3.9 Which of the following best describes your State's documentation process for commodity or equipment orders? 1 - Orders are typically not formally documented throughout the end-to-end process 2 - Orders require an initial order form but shipment legs are not documented through formal approvals, orders processes, receiving, invoicing, and payment 3 - Orders for key resources and equipment are usually documented manually end to end, but neither the documents nor the processes are standardized 4 - Orders are documented end to end and integrated with external stakeholders processes and/or systems 5 - All orders follow a standard set of processes for completion and submission of standard forms. Some or all forms are submitted and/or received electronically
________________________________________ ________________________________________ ________________________________________ |
2.3.9 (Q67) How does the state document commodity or equipment orders?
Intent: Use manual or automated standard documentation, processes, standard forms, and formats.
Capability:
Approach: Ensure that staff is familiar with procedures for ordering key resources and equipment. Purchase orders should be documented manually and/or electronically end-to-end and the processes should be standardized. Ordering procedures are integrated with external stakeholder’s processes and/or systems. As many forms as practicable should be submitted and/or received electronically and integrated into information management technology systems.
Reference: EMAP, EMS, 2010, p. 9
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 101-102 |
2.3.10 Does your State have automated information technologies (e.g. RFID or satellite) in place to facilitate order status updates? 1 - No automated information technology (AIT) utilized 2 - Some AIT utilized for tracking of State logistics assets 3 - AIT utilized for tracking of all-State logistics assets 4 - AIT requirements written into contracts with private sector suppliers 5 - AIT technologies provide real time status updates that are used in logistics decision making during a disaster response
________________________________________ ________________________________________ ________________________________________ |
2.3.10 (Q68) What automated information technology does your state use to facilitate order status updates?
Intent: Ensure that you have highly trained personnel familiar with automated informational technologies and be able to track resource orders and updates in real time. They should be knowledgeable of written contracts with private sector vendors, thereby reducing possible shortfalls during an incident.
Capability:
Approach: Develop training policies and maintain a trained staff familiar with automated technologies for placing vender orders and tracking delivery of those orders. Exercise this training during local and statewide exercise(s) to identify and correct any shortfalls prior to an incident.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 102-103 |
2.3.11 Absent automated information technologies, (e.g. RFID or satellite) does your State utilize information management to facilitate order status updates? 1 - No management processes exist for order status updates 2 - Some management processes exist for order status updates 3 - State logistics personnel maintain tools such as order logs to maintain and update status of orders and shipments 4 - Order status notification requirements written into contracts with private sector suppliers 5 - All parties involved in the disaster logistics supply chain provide near real time status updates that are used in logistics decision making during a disaster response
________________________________________ ________________________________________ ________________________________________ |
2.3.11 (Q69) If the state does not use automated information technologies, (e.g., RFID or satellite), how is information management used to facilitate order status updates?
Intent: To have highly trained personnel familiar with non-automated, informational technologies and who are able to track resource orders and updates in real time. This same group is extremely knowledgeable with written contracts with private-sector vendors, therefore reducing possible shortfalls during an incident.
Capability:
Approach: Develop a knowledgeable and trained staff familiar with written contracts for placing vender orders and tracking delivery of those orders. This staff should be able to track expenditures by agency during an incident and be able to manage those expenditures. Exercise this training during local and statewide exercise(s) to identify any shortfall in the system and correct those identified prior to an incident.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 103 |
2.4 EXECUTION - Common Operating Picture |
2.4 Common Operating Picture |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 103 |
2.4.1 Are your State's logistics personnel provided access to the common operational picture so they can have appropriate situational awareness? Src: NIMS Dec 08 p 23, para 1 1 - No situational awareness 2 - Situational awareness obtained on a mission-by-mission basis 3 - Partial situational awareness (e.g. Road closures only) 4 - Full situational awareness for all distribution nodes 5 - Situation awareness is integrated into logistics decision making in real time
________________________________________ ________________________________________ ________________________________________ |
2.4.1 (Q70) What is the process for ensuring that state logistics personnel have access to the common operational picture (COP) so that they have appropriate situational awareness?
Intent: A COP offers a standard overview of an incident, thereby providing incident information that enables the Incident Commander or Unified Command and any supporting agencies and organizations to make effective, consistent, and timely decisions. Compiling data from multiple sources and disseminating the collaborative information facilitates situational awareness. Situational awareness gained through a COP ensures that responding entities have the same understanding and awareness. WebEOC and other methods can be used to build the information base needed for a COP. The logistics staff should train and conduct exercises to ensure that they understand and are familiar with COP. State logistics personnel should have access to the COP to facilitate logistics operations situational awareness on distribution nodes such as rail, air, and ground transportation that may affect resupply. They should also have visibility of commodity inventory on-hand and in warehouses and LSAs to assist with real time decision making.
Capability:
Approach: A COP is a single display of relevant (operational) information (e.g., position of staff and facilities, such as PODs; LSA, and single resources; position and status of important infrastructure, such as bridges, roads, etc.) shared by the state EOC, FEMA, and local EOCs. A COP facilitates collaborative planning and assists all levels to achieve situational awareness.
The planning section is typically responsible for ensuring that the appropriate information is presented to the EOC leadership. Traditionally, the plans section prepares maps with various symbols to show the locations of resources, and other relevant information with the logistics sections input. The COP should be an electronic system maintained by the state’s information technology organization.
Reference: NIMS, 2008, p. 23 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 104 |
2.4.2 Is purchasing information integrated into the logistics common operating picture in your State? 1 - No visibility over ordered materials or services 2 - Some visibility of ordered materials or services manually maintained 3 - State logistics personnel have visibility of critical commodities on hand, due-in via procurement and available to promise balances 4 - State logistics personnel have visibility of all commodities on hand, due-in via procurement and available to promise balances 5 - State maintains a database with real time information of on hand, due-in via procurement and available to promise balances
________________________________________ ________________________________________ ________________________________________ |
2.4.2 (Q71) How does the state integrate purchasing information into the logistics common operating picture?
Intent: Purchasing information should be integrated into the logistics COP. This should provide visibility over materials and services ordered, visibility of critical commodities on-hand, due-in via procurement, and available for use. Visibility of commodities, services, and resource status are features of a logistics COP.
Capability:
Approach: Conduct a needs assessment to determine visibility requirements. Analyze requirements and create goals and objectives to meet the data and user requirements. Develop a business case with process steps to accomplish collective requirements. Validate the business case through workshops and tabletop exercises. Establish a pilot program, train stakeholders, and run a functional exercise to validate assumptions and processes. Implement corrective actions and lessons learned. Conduct a full scale exercise to assess the status of the program. Incorporate lessons learned and complete a corrective action implementation plan.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 104 |
2.5 EXECUTION - Procurement |
2.5 Procurement |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 104-105 |
2.5.1 Is purchasing training incorporated into your State's disaster logistics? 1 - No purchasing training required for logistics personnel 2 - Purchasing overview incorporated into other logistics training 3 - Training on purchasing SOPs for vendor identification and resource acquisition is required for key resources 4 - Does not apply 5 - Training on purchasing SOPs for vendor identification and resource acquisition is required for all logistics resources involved in the procurement process
________________________________________ ________________________________________ ________________________________________ |
2.5.1 (Q72) How is purchasing training incorporated into the state disaster logistics process?
Intent: To incorporate best purchase ideas when training logistical staff on locating and securing resources during an incident, develop SOPs and/or SOGs to pre-identify vendors and maintain an up-to-date listing of possible vendors and materials available. Purchasing training should be incorporated into the state’s disaster logistics program. Training in the purchasing SOP and understanding of purchasing procedures during disasters, as well as day-to-day, for vendor identification and resource acquisition of key resources is advised.
Capability:
Approach: Identify possible and potential vendors and their resources. Survey these identified stakeholders for training needs at various credentialing and qualification levels. Develop the training curricula in cooperation with stakeholder groups. Conduct and evaluate training for stakeholders on how to identify these resources by kind and type and maintain a current listing of materials, possible equipment, and reliability. Exercise resources during the scheduled statewide and local exercises.
Reference: EMAP, EMS, 2010, p. 11 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 105-106 |
2.5.2 Does your State have lead time standards for mission assignments? 1 - No lead time standards for completion of mission assignments 2 - Generally accepted standards for mission assignment completion, but not written into contract SOPs 3 - Mission assignment lead time standards in place and documented for organic and sourced commodities 4 - Mission assignment lead time standards in place and documented for organic and sourced commodities and written in to performace requirements for vendor contracts 5 - Lead time SOPs incorporated into logistics management decision-making
________________________________________ ________________________________________ ________________________________________ |
2.5.2 (Q73) How do lead time standards affect the state mission assignments process? Intent: States should incorporate lead time standards for mission assignments and include these standards in vendor contracts. Lead time standards give the logistics staff and customers realistic expectations of when supplies and resources can be delivered to points throughout the supply chain.
Capability:
Approach: Consider working closely with logistics partners at all levels to develop lead time standards for different types of missions your state may experience. Vendors and other supply chain partners should be able to provide standard delivery times based on the required time needed to mobilize, deploy, travel, and setup for a mission. These time lines should be incorporated into performance requirements for vendor contracts (i.e., when ordering a RSC you cannot expect it to be operational 24 hours after being ordered). The vendor will require time to mobilize, deploy, and travel to the site and set up, and depending on the size of the camp additional setup time may be required. The same can be said for buses, commodities, staff, etc.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 106 |
2.5.3 Does your State employ a first-in, first-out (FIFO) commodity sharing and visibility structure with neighboring counties and neighboring states? 1 - No FIFO inventory management 2 - State maintains FIFO inventory system at state-run facilities (state staging areas) 3 - State encourages counties to maintain visibility into on-hand inventories 4 - State has agreements in place with neighboring states to ensure visibility of existing inventories and employ FIFO paradigm 5 - Real-time visibility into county, State, and inter-state systems
________________________________________ ________________________________________ ________________________________________ |
2.5.3 (Q74) What first in, first out (FIFO) commodity sharing and visibility structure does your state use with neighboring counties and states?
Intent: Is for the state to employ a FIFO commodity sharing and visibility structure with neighboring counties and states to ensure that commodities that have been in the inventory the longest are the first to be consumed.
Capability:
Approach: It is important to use FIFO or some other standardized process for minimizing loss through expiration thus insuring that consumable supplies are used before they lose their value. Using FIFO in mutual aid with other states is a technique where states or counties that maintain stocks of consumable supplies provide those supplies to each other with the agreement that the first in will be sent to the state or county they are assisting and they will in turn replenish the providing state with a new inventory. This process ensures that a fresh inventory is maintained. The key to FIFO is maintaining visibility of existing inventories. Maintaining visibility in real time for county, state, and interstate systems should be the ultimate goal.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 106-107 |
2.5.4 Do key State logistics personnel understand the Federal procurement reimbursement program? 1 - State does not have a strong understanding of Federal procurement reimbursement program 2 - State logistics and procurement mechanisms are informally linked 3 - State logistics maintains close coordination with procurement and accounting to ensure a clear audit trail for all disaster purchases 4 - State logistics and procurement departments keep a detailed audit trail and document file for all purchases and has open lines of communication with FEMA reimbursement personnel 5 - State has SOPs in place to maintain manual or electronic audit trails for all disaster purchases, to vet with accounting/procurement, and to ensure proper steps are taken for reimbursement, where applicable
________________________________________ ________________________________________ ________________________________________ |
2.5.4 (Q75) How does the state ensure that key state logistics personnel understand the Federal procurement reimbursement program?
Intent: Each state agency should have staff trained in federal reimbursement procedures and policies that can process expenditures during an incident.
Capability:
Approach: Ensure that all agencies have individuals assigned with knowledge of the federal procurement reimbursement program and its policies and procedures; this should ensure that the proper documentation and receipts can be maintained during an incident resulting in faster reimbursement.
Key state logistics personnel should understand the federal procurement reimbursement program. Logistics and procurement should be formally linked with a strong understanding of the federal procurement reimbursement program. SOPs and/or SOGs are used to maintain manual or electronic audit trails for all disaster purchases to vet with accounting and/or procurement, and ensure proper steps are taken for reimbursement. This understanding should help avoid procurement mistakes, such as purchasing an item that the federal system will only reimburse at the rental rate. The close coordination with procurement and accounting and maintaining a detailed document file for all purchases ensures a clear audit trail.
These individuals should work closely with other state and federal finance officers to ensure that proper documentation and receipts are maintained and submitted for reimbursement. Also these staff members should work closely with other agencies during exercises to identify and correct misconceptions and shortfalls in the process.
Reference: EMAP, EMS, 2010, p. 5
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 107 |
2.6 EXECUTION - Transportation |
2.6 Transportation |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 107-108 |
2.6.1 Has your State established its transportation requirements for commodity distribution? Src: EMAP Standard, pg 9-10, dated September 2007 Label: Transportation Requirements Identification 1 - State has not determined requirements 2 - State has completed an analysis of transportation requirements 3 - State has enough transportation assets identified to accomplish delivery of critical commodities in initial response (first 72 hours) 4 - State has enough transportation assets identified to accomplish delivery of all commodities beyond first 72 hours 5 - State has clearly identified all required transportation assets to support response mission with additional contracts in place to meet additional surge requirements Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________ |
2.6.1 (Q76) To what extent has the state determined transportation requirements for commodity distribution?
Intent: The state should conduct an analysis of transportation requirements to deliver critical commodities during the initial response phase (first 72 hours) and beyond. The analysis should ensure enough government or contractual transportation assets have been identified to accomplish delivery of all state support and meet additional surge requirements.
Capability:
Approach: It is suggested that you: Determine the number of internal assets available.
Use USACE modeling to determine transportation requirements.
Evaluate other trucking and transportation needs, such as smaller trucks (26 ft.) and vans. Prepare pre-incident contracts to meet unmet transportation requirements.
Continually evaluate transportation requirements during an incident.
Reference: EMAP, EMS, 2010, pp. 9-10 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 108 |
2.6.2 Has your State established its ground evacuation transportation requirements? 1 - Requirements not determined 2 - A shortfall analysis of transportation requirements completed 3 - Enough transportation assets (e.g. buses) identified to accomplish evacuation of critical care and special needs populations 4 - Enough transportation assets identified to evacuate all impacted population unable to self-evacuate 5 - All required transportation assets identified to support evacuation mission with additional contracts in place to meet unexpected surge requirements
________________________________________ ________________________________________ ________________________________________ |
2.6.2 (Q77) To what extent has the state determined ground evacuation transportation requirements?
Intent: By identifying at risk populations the state should be able to estimate the required transportation needs to evacuate an effected population prior to a real incident.
Capability:
Approach: Determine whether your state has adequate means of transporting an impacted population from a threatened area within the state to a safe location and to determine what internal transportation resources you can utilize. Develop pre-disaster contracts with transportation and special transportation (i.e., medical) vendors to meet unmet requirements. Conduct exercises with local and state government agencies to identify potential and possible shortfalls prior to a real incident. Coordinate requirements with other states and your FEMA Region to establish priorities and deconflict resources.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 4- 19 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 109 |
2.6.3 Has your State established its logistics support requirements for the ground evacuation mission? 1 - Requirements not determined 2 - Preliminary survey completed of available staging areas for buses, fueling sites along evacuation route and facilities for processing of evacuees 3 - State has thoroughly assessed available staging areas for buses, and developed detailed equipment and personnel requirements for fueling sites along evacuation route, facilities for processing of evacuees and the provision of water and meals to evacuees 4 - State has identified all logistics requirements and coordinated with appropriate agencies for staffing and equipment to support ground evacuation mission 5 - State has shared all relevant requirements/plans with all the appropriate agencies providing air assets and has pre-existing contracts in place for use of facilities, ground transportation, fuel, meals and water to support the ground evacuation mission
________________________________________ ________________________________________ ________________________________________ |
2.6.3 (Q78) To what extent have logistics support requirements for the ground evacuation mission been established?
Intent: An analysis of transportation requirements is conducted in order to determine ground support requirements such as fuel, evacuee processing facilities, and other support required to accomplish the ground evacuation mission.
Capability:
Approach: Support requirements could include:
Fuel, Staging areas for buses, Debarkation sites, Reception and processing facilities, and Support services such as feeding, drinking water, portable toilets, first aid, etc.
Determine staffing requirements and:
Assign responsibilities to agencies. Establish pre-incident contracts as required. Establish MOUs with facility owners.
Conduct operational exercises for the proposed locations to be used to process evacuees, identify shortfalls or potential hazards associated with mass evacuation, ensure that pre-disaster contracts are in place, and that location(s) are adequate for safe operations. Ensure that the vendors can provide the required ground transportation, fuel, meals, water, and other requirements to support the operations.
Reference: National Preparedness Goal, 1st ed., 2011, p. 12 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 110 |
2.6.4 Has your State established its air evacuation transportation requirements? 1 - Requirements not determined 2 - A shortfall analysis of air transportation requirements completed. Efforts made to maximize the use of ground transportation and minimize the use of air assets for evacuation. Preliminary census of those populations requiring air evacuation and the identification of staging areas for them completed 3 - Initial coordination completed with applicable agencies (Air National Guard, Coast Guard, NORTHCOM, USTRANSCOM) for provision of both fixed and rotary wing air assets and associated command and control elements 4 - Enough transportation assets identified to evacuate all impacted population unable to self-evacuate 5 - All required transportation assets identified to support evacuation mission with additional contracts in place to meet unexpected surge requirements
________________________________________ ________________________________________ ________________________________________ |
2.6.4 (Q79) To what extent has the air evacuation transportation requirements for your state been established?
Intent: It is important for the state to conduct an analysis of air transportation requirements to be able to accomplish the air evacuation mission.
Capability:
Approach: It is important to determine how many persons may have to be evacuated by air. Consider conducting an analysis to ensure enough government air assets, including EMAC or contractual transportation assets have been identified to accomplish the air evacuation requirements.
After the completion of the analysis, determine if air evacuation is a viable option. It is helpful to become familiar with neighboring states that may have aviation assets that can be deployed to your state when needed. Developing disaster MOUs with these states should expedite getting support.
It will probably be cost prohibitive to have air assets participate in a full scale exercise. However, by analyzing and identifying possible impacted populations that may be unable to self evacuate, state and local logistics planners should be able to estimate air resources needed to safely and effectively conduct an air evacuation.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 110-111 |
2.6.5 Has your State established its logistics support requirements for the air evacuation mission? 1 - Requirements not determined 2 - Preliminary survey completed of available air fields and their maximum on ground (MOG) capability, fuel bunkering, and facilities for processing of evacuees 3 - State has identified ground transportation needs to move evacuees to their aerial port of embarkation (APOE), fuel requirements for the ground transportation, meals/water requirements for evacuees at the APOE, personnel requirements for the processing and manifesting of evacuees at both the APOE and aerial port of debarkation (APOD), and air asset fuel requirements at both APOE and APOD 4 - State has identified all logistics requirements and coordinated with appropriate agencies for staffing and equipment to support air evacuation mission 5 - State has shared all relevant requirements/plans with all the appropriate agencies providing air assets and has pre-existing contracts in place for use of facilities, ground transportation, fuel, meals and water to support the air evacuation mission
________________________________________ ________________________________________ ________________________________________ |
2.6.5 (Q80) What logistics support requirements for the air evacuation mission has your state identified?
Intent: An analysis of air transportation requirements is conducted to determine air support requirements such as fuel, evacuee processing facilities, and other support to accomplish the air evacuation mission.
Capability:
Approach: Consider conducting an analysis of air transportation support requirements to be able to accomplish the air evacuation mission.
The analysis should identify:
Available air fields and their MOG capability, fuel bunkering, and facilities for processing of evacuees; Ground transportation needs to move evacuees to their APOE, Fuel requirements for the ground transportation, meals and/or water requirements for evacuees at the APOE; Personnel requirements for the processing and manifesting of evacuees at both the APOE and APOD; and Air asset fuel requirements at both APOE and APOD.
Conduct operational exercises of the proposed locations for processing air evacuees to identify any shortfalls or potential hazards associated with mass evacuation, ensuring that pre-disaster contracts are in place and adequate for safe operations, and that vendors are able to provide the required air transportation support and other requirements to support the operations.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 111-112 |
2.6.6 Does your State measure transportation utilization? 1 - Utilization not tracked 2 - Rudimentary utilization statistics measured (e.g. number of deliveries made) 3 - Planning and operations conducted in a manner to facilitate high utilization 4 - High utilization an organizational priority 5 - Utilization drives operational decisions
________________________________________ ________________________________________ ________________________________________ |
2.6.6 (Q81) How does your state measure transportation utilization?
Intent: Measuring transportation usage is recommended to save money. Often trucks sit idle for long periods of time or are deployed with partial loads. This wastes money and ties up resources that could be utilized elsewhere.
Capability:
Approach: The following steps are recommended:
Develop tracking procedures, Maintain check-in and departure logs, Quantify deliveries made, and Look into using the systems to track use of vehicles and assignments.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 112 |
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6.3 Distribution Management Questions
The following section is comprised of questions taken directly from the Distribution Management section of the LCAT questionnaire. They are numbered to correlate to the numbering in the questionnaire. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 112 |
3 Distribution Management |
3. Distribution |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 112-113 |
3.1.1 Does your State have an order/commodity tracking system in place? Src: NIMS Dec 08 p 37 paras 2 and 4, TCL Sep 07 Res.B1d 4.3 1 - No tracking system for on-hand stocks, due-in quantities, due-out quantities and available to promise stocks 2 - Data tracked manually 3 - Data tracked with some technology enablers (e.g. Excel spreadsheet of on-hand, due-in, due-outs) 4 - Near real time tracking information is shared by external partners (e.g. local government, private suppliers) and State logistics personnel 5 - Real-time tracking of commodity and order data across the State supply chain
________________________________________ ________________________________________ ________________________________________ |
3.1.1 (Q82) What order/commodity tracking system does your state have in place? Intent: Resource tracking is a standardized, integrated process conducted throughout the life cycle of an incident. It provides a clear picture of where resources are located and helps staff prepare to receive them. Procedures to track resources continuously from mobilization through demobilization should be established, and real time information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: The following methods and systems can be used to collect, update, and process data, track resources, and display the readiness status of resources: Any requirements for en route check-in (by time, by location, etc.), GIS, Resource tracking systems, Transportation tracking systems, Inventory management systems, and Reporting systems.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14; NIMS, 2008, pp. 37-38 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 113 |
3.1.2 Does your State receive order status updates? Src: TCL Sep 07 Res.B1d 6.3.4 1 - No updates on order status 2 - Manual updates on order status 3 - Semi-automated (spreadsheet) updates on order status available to State logistics personnel 4 - Some suppliers provide real-time updates on order status, and information is shared with local authorities as well 5 - Real-time order status tracking informs logistics management decisions
________________________________________ ________________________________________ ________________________________________ |
3.1.2 (Q83) How does your state receive order status updates?
Intent: Part of the resource tracking process is to receive order status updates. It helps provide a picture of where resources are located in the pipeline, prepare staff to receive them, and facilitates other decision-making requirements. Real time information could be displayed in a central data base allowing total asset visibility.
Capability:
Approach: Pre-incident contracts could include status updating requirements and require provider points of contact to call in status updates.
Develop tracking spreadsheets or automated formats for use in the LSA to manage order status.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 114 |
3.1.3 Are orders closed out upon delivery in your State? Src: TCL Sep 07 Res.B1d 6.3.4 1 - Delivery confirmation not available 2 - Some PODs or state staging areas can provide notice of delivery available on request 3 - All PODs and state staging areas can provide notice of delivery on request 4 - Delivery confirmations are routinely provided to the state logistics manager 5 - Delivery confirmations are provided by all locations and actions are closed out. Confirmation information is integrated with inventory systems to inform on-hand, due-in and available-to-promise balances as well as upcoming orders
________________________________________ ________________________________________ ________________________________________ |
3.1.3 (Q84) How are orders closed out upon delivery in your state?
Intent: Closing out delivery is key to resource management and can affect ordering, purchasing, and accountability, wherever the final delivery is accomplished, at the LSA, POD, or for another end user.
Capability:
Approach: Reporting protocols are developed to ensure that all end users report delivery, sign for, and secure invoices, bills of lading, and other documentation indicating delivery. The documentation should be provided to the purchasing and contracting unit.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 114-115 |
3.1.4 Is transportation scheduling push (a fixed delivery schedule of a set quantity to a set location) driven, pull (demand) driven, or a combination of both in your State? Src: TCL Sep 07 Res.B1d 7.2 1 - Scheduling is conducted on an ad hoc basis 2 - Schedules are routine varying little from day to day 3 - Schedules will begin to vary based upon daily volumes 4 - Schedules are dynamic and vary based upon daily volumes and demand requirements 5 - Schedules are push driven early on in a disaster but later demand driven, based on POD current on-hand inventory and projected demand balancing
________________________________________ ________________________________________ ________________________________________ |
3.1.4 (Q85) What transportation scheduling system does the state use; push driven (a fixed delivery schedule of a set quantity to a set location), pull driven (demand), or a combination of both?
Intent: Push is defined as a fixed delivery scheduled for a set quantity to a set location as determined by the supplier, while pull is providing support based on the schedule provided by the end user. A push schedule can get resources into the disaster area quickly. As requirements change, a pull demand driven schedule can be utilized.
Capability:
Approach: Working with local partners enables you to identify those items most commonly needed following the first 72 hours after an incident. By having these items pre-identified you should be able to order, stage, and push them into an effected area quicker. It is easier to return unneeded items than it is to locate, order, and deploy them.
After initial response is accomplished and the situation has begun to stabilize or as PODs have developed burn rates, scheduling can revert to demand driven or pull requests.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 115 |
3.2.1 Are transportation providers (carriers) chosen using multi-factor criteria in your State? 1 - Carrier selection is ad hoc with no documented criteria for selection 2 - Selection is one factor (availability) and a database of carriers exists 3 - Carrier selection criteria are defined and an attempt is made to apply them 4 - Carrier selection criteria are defined and applied in a systematic and routine fashion 5 - Carrier selection criteria and data drive carrier selection
________________________________________ ________________________________________ ________________________________________ |
3.2.1 (Q86) How are multi-factor criteria used to select transportation providers (carriers) in your state?
Intent: Transportation providers (carriers) could be selected using multi-factor criteria such as capability, availability, types of trailers, tractors, buses, etc.
Capability:
Approach: You could consider having multiple pre-incident transportation carrier contracts available to increase the available transportation capabilities (i.e., a trusted and proven primary carrier that is utilized immediately following an incident with a secondary carrier on standby in case the primary becomes overloaded).
Reference: EMAP, EMS, 2010, section 4.8.1, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 115-116 |
3.2.2 Is there a clearly defined lead agency/coordinator for transportation in your State? 1 - Transportation coordinator not identified (movement control cell) 2 - Transportation coordinator and backup identified and state transportation needs are defined 3 - Transportation coordinator has clearly defined assets and procedures to coordinate State movement requirements during a disaster response 4 - Transportation coordinator has worked with external partners, private vendors to meet State requirements during a disaster response 5 - During a disaster response, transportation coordinator directs and controls all State movement requirements
________________________________________ ________________________________________ ________________________________________ |
3.2.2 (Q87) What organization is defined as the state’s lead agency coordinator for transportation?
Intent: Transportation is a complicated profession where experience is valuable. A clearly defined lead agency and/or coordinator for transportation should be identified and the transportation coordinator’s role defined.
Capability:
Approach: Having one person or one agency representative as lead reduces confusion, standardizes operations, and follows the NIMS objectives for managing large or small incidents.
Assign a lead agency such as the emergency management agency or an agency with a mission to manage transportation such as the state DOT, a National Guard transportation unit, or a commercial carrier. Also assign a dedicated transportation coordinator. Additional staff could be required for a dedicated agency or agencies to fulfill that requirement. Consider conducting training and providing opportunities for professional development for all staff.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010 pp. 2-4 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 116 |
3.2.3 What function best describes the role of your transportation coordinator? Src: TCL Sep 07 Res.B1d 7.3 1 - Shipment monitoring and control do not exist 2 - Shipment monitoring and control are fully reactive 3 - Some ability to conduct anticipatory planning 4 - Anticipatory planning over only a 6 to 24 hour time horizon 5 - Dynamic planning over 24 to 48 hour time horizon
________________________________________ ________________________________________ ________________________________________ |
3.2.3 (Q88) What function best describes the role of the transportation coordinator? Intent: The transportation coordinator monitors shipments and looks at the immediate transportation needs during the first 72 hours and the long term needs during later phases of the incident.
Capability:
Approach: It is important to establish roles and responsibilities for the transportation coordinator who as a minimum:
Monitors and controls transportation. Conducts tactical transportation planning for the first 72 hour period and incident action planning for later response phases as required.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 117 |
3.2.4 Has State established contracts/agreements with transportation providers? Public or Private Src: TCL Sep 07 Res.B1d 7.1.4 Label: Transportation Vendor Contracts 1 - State has not conducted an analysis of its potential requirements for transportation, Public (i.e. National Guard or Private Sector) 2 - State has no pre-existing contracts/agreements with transportation providers 3 - State has some pre-existing contracts/agreements with transportation vendors 4 - State has pre-existing contracts/agreements for all anticipated transportation needs 5 - State has additional contingency contracts in place to account for major disaster surge requirements Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________ |
3.2.4 (Q89) How does the state establish contracts or agreements with transportation providers, public or private?
Intent: Establish state contracts or agreements with public or private transportation providers, if legally permissible.
Capability:
Approach: It is recommend that you establish pre-incident contracts with transportation providers.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 117-118 |
3.2.5 When do your transportation assets provide you a status/location update? Src: TCL Sep 07 Res.B1d 7.3 1 - Status updates are not provided 2 - Dispatch only 3 - Dispatch and delivery notification 4 - Dispatch, in route and delivery notification 5 - Status/location updates inform ongoing decision-making and enhance anticipatory planning
________________________________________ ________________________________________ ________________________________________ |
3.2.5 (Q90) How do transportation carriers provide status/location updates?
Intent: Determine when transportation assets should provide a status and location update.
Capability:
Approach: As a minimum, transportation carriers should provide you with real time dispatch and delivery notifications. They could call in to your transportation coordinator or at check-in at the POD or LSA site.
Additionally, you could require them to provide status and location or delay updates and notification on arrival at the end point. This would provide the flexibility to redirect shipments en-route to alternate or priority locations.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 118 |
3.2.6 How does your State manage the assignment of loads to carriers? Src: TCL Sep 07 Res.B1d 7.3 1 - Loads are assigned manually by phone with no documentation 2 - Loads assigned via fax/phone with some limited documentation 3 - Load tendering via email with complete documentation 4 - Private vendor systems are updated with load requirements and electronically assigned 5 - Real-time, shared information and data capture for load assignments with logistics partners
________________________________________ ________________________________________ ________________________________________ |
3.2.6 (Q91) How does your state manage and assign loads to carriers?
Intent: It is important to determine how carrier load assignments should be managed.
Capability:
Approach: You could develop either a manual system to assign loads to assigned vehicles or develop and use an automated system. The LSA manager or the warehouse manager should be responsible for assigning loads. Here is an example of an assignment flow: EOC personnel assign the mission.
Warehouse personnel assign the load and prepare the pickers list.
Pickers select the products.
Dispatch assigns an appropriate vehicle and the vehicle is loaded.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 118-119 |
3.2.7 Does your State have in-transit visibility capability? Src: TCL Sep 07 Res.B1d 7.3 1 - No in-transit positional monitoring or reporting requirements 2 - Carrier provides position report on request 3 - Most loads are tracked 4 - All loads are tracked 5 - In-transit visibility allows for rescheduling or diversion based on operational priorities
________________________________________ ________________________________________ ________________________________________ |
3.2.7 (Q92) How does your state gain in-transit visibility capability?
Intent: The state should have in-transit visibility capability and consider, when required, whether or not security escorts should be utilized for critical loads.
Capability:
Approach: You could either develop a manual system to track in-transit loads by having drivers and/or dispatchers report in periodically or develop and use an automated system using positional monitoring technology.
Many transport companies have owner-operated global positioning system (GPS)/RFID systems that track vehicle locations during movement. When utilizing these companies consider requesting access to their systems. One strategy for gaining access could be to invite them to designate a representative to be part of your logistics function.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 119 |
3.2.8 When required, can security escorts be utilized for critical loads? 1 - No provisions for shipment/convoy security 2 - Security decision included in transportation planning and dispatches 3 - State law enforcement representative assigned to Logistics and accessible in the EOC 4 - State law enforcement and security planning integrated with distribution planning 5 - Does not apply
________________________________________ ________________________________________ ________________________________________ |
3.2.8 (Q93) How does the state determine when security escorts will be used to protect critical loads?
Intent: Commodities have value and should not be wasted. If the situation warrants, shipments should be escorted to mitigate loss and misdirection.
Capability:
Approach: It is possible to work with multiple laws enforcement agencies within the ESF system to call upon numerous nonstandard security escort personnel when needed (i.e., Corrections, Public Service Commission, Forestry, Local Sheriff Offices, available City Police Departments, or EMAC resources).
Conducting tabletop exercises with an ever-increasing level of critical loads enables the agency to determine a saturation point and plan accordingly to increase that point and determine how to support the situations with additional resources from outside agencies.
Reference: National Preparedness Goal, 1st ed., 2011 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 119 |
3.3 Inbound Shipment Management |
3.3 Inbound Shipments |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 120 |
3.3.1 Is there a measure of coordination between inbound and outbound shipment scheduling at a majority of your distribution locations? 1 - No visibility of reverse logistics opportunities and no attempt to balance inbound and outbound shipment scheduling 2 - Limited visibility to reverse logistics opportunities, inbound and outbound shipments scheduled independently 3 - Some balancing of inbound and outbound 4 - Add inbound/ reverse logistics to outbound planning 5 - Synchronization of inbound and outbound planning (Ex: loads in, backhaul of empties)
________________________________________ ________________________________________ ________________________________________ |
3.3.1 (Q94) How are distribution location inbound and outbound shipment schedules coordinated?
Intent: There should be a measure of coordination between inbound and outbound shipment scheduling to take advantage of transportation assets at a majority of the distribution locations. Inbound shipments could be scheduled or managed to control the flow into distribution points to prevent queues and backlogs.
Capability:
Approach: Consider developing a process to maximize outbound transportation (such as returning bad products or pallets to the shipper) or to transfer commodities from their current location to where they are needed. If a truck arrives and the commodity or part of a shipment is not needed, have the material sent to where it is needed rather than allowing the driver to return to dispatch.
Reference: National Preparedness Goal, 1st ed., 2011, p. 12 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 120-121 |
3.3.2 Are inbound shipments to your State scheduled or managed to control the flow into distribution points to prevent queues and backlogs? 1 - No inbound scheduling (i.e. when the load arrives, it arrives) and no consideration of distribution point throughput considerations 2 - Some inbound loads scheduled, distribution point throughput capability is known 3 - Most major inbound shipments scheduled 4 - All inbound shipments are scheduled 5 - Inbound shipments are scheduled based on throughput capacity of individual distribution point to prevent queues and backlogs
________________________________________ ________________________________________ ________________________________________ |
3.3.2 (Q95) How are inbound shipments to your state scheduled or managed to control distribution flow into distribution points?
Intent: To manage amounts of loads arriving at the LSA, warehouse, or POD and to ensure that multiple loads of material do not exceed the location’s capability, causing excessive processing and unloading backlogs and delays.
Capability:
Approach: It is important to coordinate with carriers to have loads arrive spaced over a period of time or to arrive at designated times.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 121 |
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6.4 Organizational Functions Questions |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 121 |
4.1.1 How are disaster logistics aligned with disaster planning, response, and recovery functions in your State? 1 - No linkage between logistics and other disaster planning, response, and recovery functions 2 - Informal linkage between logistics and other disaster response functions 3 - Coordination between logistics and other disaster response functions through exercises and cross-functional training 4 - Coordination between internal disaster response functions, as well as external entities, including local, county, tribal, other states and/or federal disaster authorities 5 - Logistics fully integrated into overall internal concept of support/operations and with all relevant external authorities
________________________________________ ________________________________________ ________________________________________ |
4.1.1 (Q96) How is disaster logistics aligned with disaster planning, response, and recovery functions in your state?
Intent: Ensure that the logistics department is aligned with all aspects of state emergency management functions.
Capability:
Approach: In your planning efforts you are advised to integrate logistics preparedness, response, and recovery functions into all aspects of the EOP, coordinating logistics at all levels and with external agencies.
You should conduct various levels of exercises, such as response and recovery phases, to identify any shortfalls in those areas.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 122 |
4.1.2 Which of the following best describes the condition of your State's disaster logistics personnel staffing? 1 - Logistics functions assigned as ad hoc duty 2 - Dedicated resources, but understaffed to fulfill all anticipated needs; no staffing plan in place 3 - Staffing diagram based on scale of events 4 - Trained and dedicated logistics cadre with staffing schedule; State plan to bring in logistics personnel from other State agencies 5 - Staffing schedule and requirements integrated with FEMA and National Guard
________________________________________ ________________________________________ ________________________________________ |
4.1.2 (Q97) What is the status of state disaster logistics personnel staffing?
Intent: A well developed and staffed logistics section facilitates the agency’s ability to conduct day-to-day and emergency logistics operations.
Capability:
Approach: It is suggested that you: Assign staff to the logistics section based on your intended level of operations. Assign external staff to positions that cannot be filled by agency staff.
Train logistics personnel in all aspects of logistics operations, to include, purchasing, resources tracking, and mission assignment.
Do not limit yourself to those people within logistics – look to other agencies to expand staffing resources, such as, procurement, personnel, and facility management departments and the National Guard. Offer nontraditional training to staff that may not normally work in the logistics environment.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 4-25 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 122-123 |
4.1.3 Overall, how is disaster logistics strategically positioned within your State's Emergency Management organization? 1 - Logistics and supply chain management not addressed at State level 2 - Modest recognition of logistics within the EM structure 3 - State is beginning to recognize emergency logistics and supply chain management in a strategic view 4 - State has a recognized and dedicated disaster logistics staff 5 - State disaster logistics has a strategic role in overall State EM planning and execution
________________________________________ ________________________________________ ________________________________________ |
4.1.3 (Q98) Overall, how is disaster logistics positioned within your state's emergency management organization?
Intent: An experienced and comprehensive logistics staff will increase the agency’s ability to respond to incidents and disasters within the state.
Capability:
Approach: Executive approval and support is required to establish and maintain a logistics section. An effective logistics section is comprised of people that are fully trained and established as a team. Logistics teams should understand the multiple responsibilities necessary for successful disaster support through exercise and training as a cohesive unit. The more training the logistics section or group has the better they should be able to work together as a team towards a common goal. The logistics team should depend on each other and understand how multiple responsibilities interact to successfully support disaster response. The team concept can be codified by training, working together, and exercising to form a team.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 123-124 |
4.1.4 Does your State logistics have a communications plan in place that ensures effective reporting horizontally and vertically (State, local, and federal)? 1 - State has no communication plan in place for reporting at all levels 2 - State EOC has ad-hoc communication plan with JFO; state staging areas receive ad hoc requests from PODs, and communicate requirements up the logistics chain in an unsynchronized, as needed basis 3 - SOPs in place and implemented for communications between state EOC and JFO as well as with state staging areas and PODs 4 - SOPs in place and implemented for communications between state EOC and JFO as well as with state staging areas and PODs and integrated into overall communications plan with FEMA, private sector, and other external agencies 5 - SOPs in place and implemented for communications between state EOC and JFO as well as with state staging areas and PODs and integrated into overall communications plan with FEMA, private sector, and other external agencies and vendors
________________________________________ ________________________________________ ________________________________________ |
4.1.4 (Q99) What is the status of the state logistics system communications plan and does it include horizontal and vertical reporting (state, local, and federal)?
Intent: You should communicate vertically with counties, cities, and FEMA, and horizontally with adjacent and nonadjacent states, as with EMAC. You can promote this level of communications with a written plan and redundant communications systems.
Capability:
Approach: It is advised to develop a communication plan that allows the logistics staff to communicate down to counties and cities and up to FEMA, as well as with adjacent jurisdictions.
The plan is the main guide for establishing communications from field operations (LSA) to PODs to the state operations center. Constant communication ensures that everyone is knowledgeable of current incidents and facilitates managing expectations (no surprises). The plan should address a primary means of communications, a secondary backup system, and in an ideal situation, a tertiary system.
During disasters cell phone systems can fail early. Be prepared by having multiple systems available for field staff and ensure that deployed staffs are familiar with the equipment with which they deploy.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 124 |
4.2.1 Have clearly defined roles been established for your State's logistics personnel, which include standard processes and procedures? 1 - No standards in place for logistics roles 2 - State has identified roles for critical logistics personnel 3 - State has identified roles and associated processes and procedures for all logistics personnel 4 - State has training requirements and "job book" assigned to each role and resources identified to meet those requirements 5 - All logistics personnel must complete some training/certification programs as part of role prerequisites
________________________________________ ________________________________________ ________________________________________ |
4.2.1 (Q100) What roles and standard processes and procedures are established for state logistics personnel?
Intent: An experienced, comprehensive, and well trained logistics staff increases a state’s ability to respond to disasters. Providing in-house training to assigned staff (internal and external), SOPs, and guides ensure consistency and interoperability with partners.
Capability:
Approach: It is suggested that you: Develop logistics SOPs or SOGs, job books, and job aids.
Develop roles and responsibilities.
Provide training for new staff and recurring training as new procedures are provided. Participate in exercises to increase experience and identify shortfalls.
Reference: NIMS, 2008, pp. 19-20 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 124-125 |
4.2.2 How does your state logistics organization generate requirements for staffing (roles and number of personnel)? Src: Refer to TCL Sep 07 1 - No standard process for generating personnel requirements 2 - Personnel requirements are notional and not based on real-world events 3 - Personnel requirements and responsibilities based on historic events, state modeling, and exercises 4 - Does not apply 5 - Personnel requirements based on DHS Target Capabilities List and lessons learned from state historical events, modeling, exercises, and best practices from other states
________________________________________ ________________________________________ ________________________________________ |
4.2.2 (Q101) How does your state logistics organization generate requirements for staffing (roles and number of personnel)?
Intent: Ensure that your agency has the appropriate level of staff to meet logistics staffing requirements for an incident.
Capability:
Approach: You should consider the following: Consider historical requirements for personnel and modify accordingly.
Validate staffing requirements using various levels of exercises from tabletop to full scale, to test and verify staffing requirements.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 125-126 |
4.3.1 In order to ensure continuous improvement and education, does your State have routine measures to assess the training levels of log personnel? Src: Refer to TCL Sep 07 p.224; UTL 2.1 # ResBl 2.1.1 1 - No methodology in place to measure the level of personnel training 2 - State occasionally tests personnel logistics skill sets such as demand forecasting, ordering, tracking, recording, inventory management, warehouse management, distribution planning, etc. 3 - State routinely tests logistics personnel on job functions associated with their role(s) 4 - Minimum training assessments are required for State, local, tribal and other external personnel 5 - Comprehensive testing of training levels for all roles and responsibilities of personnel. Testing and continuing education administered at least every 18 months
________________________________________ ________________________________________ ________________________________________ |
4.3.1 (Q102) What routine measures does your state have to assess the training levels of logistics personnel to drive continuous improvement and education?
Intent: Ensure logistics personnel are trained and able to complete their assignments.
Capability:
Approach: Following all incidents and exercises, it is important for participants and partners to provide critiques, lessons learned comments, and AARs, and to participate in hot washes. By compiling and analyzing this feedback the state should be able to identify areas for improvement, staff training requirements, and to update parts of the plans that did not yield the expected results.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14; UTL, 2007 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 126 |
4.3.2 How does your State assess its disaster logistics preparedness/ capabilities? 1 - Limited ability to assess logistics preparedness levels through self assessment, outside review, compliance monitoring, or actual major events 2 - Occasional assessment though self evaluation, but no formalized methodology 3 - Self-assessment conducted on relatively regular basis to evaluate logistics preparedness level 4 - Self-assessment and other State or FEMA peer reviews conducted on a regular basis to assess logistics preparedness levels 5 - State has combined internal and external preparedness assessments with risk assessment and resource prioritization in order to best suit the needs of the State
________________________________________ ________________________________________ ________________________________________ |
4.3.2 (Q103) How does your state assess disaster logistics preparedness and capabilities? Intent: Assess capabilities to ensure that logistics personnel can accomplish their logistics mission.
Capability:
Approach: It is suggested that you conduct a self assessment of your capabilities and take advantage of assessment opportunities that the LCAT and EMAP processes provide. Additionally, by conducting various levels of exercises throughout the year and one major exercise at least annually, the state should be able to gauge staff readiness and preparedness levels. Invite other agencies to participate as evaluators during exercises. In particular, FEMA’s regional preparedness officers have access to an array of assessment tools that may be helpful. Also, identify areas of concern, which could indicate that additional training is needed and schedule needed training to improve those areas. This should be an ongoing process.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 126-127 |
4.3.3 How does your State capture logistics best practices and lessons learned? 1 - No monitoring or implementation of state emergency logistics management best practices 2 - Occasional monitoring of recent historical events and utilization of lessons learned by other similar events profiled as high-risk to the State 3 - Periodic monitoring of recent historical events and utilization of lessons learned by other similar events profiled as high-risk to the State, attending of hot washes, and after-action reviews 4 - Continuous monitoring of recent historical events, utilization of lessons learned by other similar high-risk-level events, attending of hot washes, and after-action reviews 5 - Lessons learned captured and integrated into logistics and overall state emergency management planning and operations functions. FEMA facilitates sharing of logistics best practices amongst states
________________________________________ ________________________________________ ________________________________________ |
4.3.3 (Q104) How does your state capture logistics best practices and lessons learned? Intent: Assess your capabilities by using lessons learned and AARs to determine where to focus improvement efforts.
Capability:
Approach: All participants and observers should provide feedback on exercises or assessments that they participate in or observe. Feedback can be in the form of critiques, AARs, participate in hot washes, and complete lessons learned statements following incidents and exercises. The state should establish a process or program to capture the feedback, determine appropriate actions to take based on the feedback, implement appropriate changes, and provide feedback to those that submitted input. Documenting, analyzing, and distributing results and statistics from the lessons learned and AARs allows you, your partners, and FEMA to make improvements to the plans and procedures utilized during disasters. The Department of Homeland Security FEMA also provides tools such as Lessons Learned Information Sharing (http://www.llis.gov) to facilitate this process.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. 1-3 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 127-128 |
4.3.4 Does your State have institutional procedures in place to incorporate lessons learned and shortfalls into logistics planning? 1 - No formalized continuous improvement plan in place 2 - Informal evaluation of past performance and best practices captured from past events and exercises 3 - Utilize lessons learned, evaluation, and exercises conducted in-state to identify areas needing improvement 4 - Utilize lessons learned, evaluation, and exercises conducted in-state and externally in other states to identify areas needing improvement 5 - Utilize lessons learned, best practices, self- and peer-evaluations, continuous training, credentialing, exercises, to identify and take corrective actions on areas of improvement. Capability for real time adjustments to plans during actual event response
________________________________________ ________________________________________ ________________________________________ |
4.3.4 (Q105) What institutional procedures does your state have in place to incorporate lessons learned and shortfalls into logistics planning?
Intent: Assess your capabilities by using lessons learned and AARs to determine where to focus improvement efforts.
Capability:
Approach: All participants and observers should provide feedback on exercises or assessments that they participate in or observe. Feedback can be in the form of critiques, AARs, participate in hot washes, and complete lessons learned statements following incidents and exercises. Documenting, analyzing, and distributing results and statistics from the lessons learned and AARs allows you, your partners, and FEMA to make improvements to the plans and procedures utilized during disasters.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, p. 4-25 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 128 |
4.4.1 Does your State have an ongoing logistics training and exercise plan in place? Src: Refer to TCL Sep 07 p. 15 1 - No training and exercise plan in place to build and assess logistics capabilities 2 - Cursory training and exercise program with some emphasis on rudimentary logistics functions 3 - Established training and exercise plan specifically designed for building and assessing logistics capabilities 4 - Does not apply 5 - Established and implemented training and exercise plan for building and assessing log capabilities. Shortfalls are identified and incorporated into the State budget
________________________________________ ________________________________________ ________________________________________ |
Intent: Determine the level of logistics staff expertise and training needed.
Capability:
Approach: Having a skilled and comprehensive training and exercise section should increase the agency’s ability to conduct internal and external training. The section should identify shortfalls and provide information to the training section that could improve staff knowledge and capabilities during exercises. Utilizing HSEEP-mandated practices for exercise program management, design, development, conduct, evaluation, and improvement of planning should be a state standard.
Reference: National Preparedness Goal, 1st ed., 2011, p. 7 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 128-129 |
4.4.2 Does your State have standard methodology in place for collecting and storing real logistics data from past events and exercises? 1 - State has not yet begun to capture lessons learned from real-world events or exercises 2 - State key personnel have attended after action reviews and hot washes from past events and exercises and maintain documentation 3 - Meeting notes or briefs are created, collected, and journalized in a common, shared location accessible by other logistics personnel 4 - Knowledge capital (whether paper-based or electronic) is stored in a location easily accessible by all logistics and other department personnel and is shared with other federal, states, and local disaster agencies 5 - Electronic knowledge capital is stored in a location easily accessible by all logistics and other department personnel and is shared with other federal, states, and local disaster agencies
________________________________________ ________________________________________ ________________________________________ |
in place for collecting and storing real world logistics data from past incidents and exercises?
Intent: Collecting, storing, and analyzing data from previous exercises and real incidents prevents the agency from repeating mistakes and provides training materials for agency staff and partners. Storing and making this data available electronically allows for easier data access and sharing with partners, other states, and agencies.
Capability:
Approach: Developing the capacity and capability to electronically catalog and store documents gathered following exercises and real world incidents is recommended. This enables you to retrieve and disseminate information faster and easier, identify patterns in incidents, and effectively make changes resulting in improvements.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 4- 25, 4-26 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 129-130 |
4.4.3 What types of disaster logistics exercises does/has your State conducted? Src: UTL 2.1 ResBld 2.2.1 1 - No logistics exercises conducted 2 - Occasional planning and/or tabletop exercises of resource logistics and distribution plan 3 - Periodic tabletop and/or full-scale exercises of resource logistics and distribution plans 4 - Periodic tabletop and full-scale exercises of resource logistics and distribution plans include State personnel as well as local / other external disaster response personnel 5 - Validation of resource logistics, distribution plans, and training programs using both tabletop and full-scale exercises on at least an annual basis
________________________________________ ________________________________________ ________________________________________ |
4.4.3 (Q108) What types of disaster logistics exercises does your state conduct?
Intent: The agency should conduct a variety of exercises, from tabletop to full scale exercises. The exercises should include various ESF agencies, nongovernment organizations, VOADs, private vendors, and FEMA Region personnel.
Capability:
Approach: Conducting a wide range of exercises should test and improve logistics plans and staff performance. Different types of exercises should be conducted to train the staff on how to respond to different scenarios.
Reference: UTL, 2007 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 130 |
4.4.4 Which of the following statements best describes your State disaster logistics organization's familiarity and adoption of guidelines and principles set forth by DHS and FEMA in the following documents: - FEMA National Incident Management System - DHS National Response Framework - DHS National Preparedness Guidelines - DHS Target Capabilities List 1 - State disaster logistics not at all familiar with FEMA and DHS doctrinal documents 2 - State disaster logistics key planning and strategy personnel have a basic understanding of concepts and guidelines outlined in FEMA and DHS documents 3 - State disaster logistics have adopted FEMA and DHS doctrine, and key personnel are trained and educated on existing documents, updated versions of existing docs, and newly published documents 4 - Does not apply 5 - All logistics personnel have been trained on principles and guidelines
________________________________________ ________________________________________ ________________________________________ |
4.4.4 (Q109) How has your state logistics organization adopted the guidelines and principles communicated in the following documents?
- DHS National Preparedness Guidelines (NPG) - DHS National Response Framework (NRF) - FEMA National Incident Management System (NIMS)
Intent: Determine the state disaster logistics organization’s level of NPG, NRF, and NIMS familiarity, experience, and training.
Capability:
Approach: The logistics section staff, whether they are field, warehouse, or EOC staff, should understand principles and guidelines set forth in the NPG and NRF. They also should have an understanding of NIMS logistics operations. Consider opportunities for in-house and formal training and encourage the staff to take independent study courses offered by FEMA and other reputable providers.
Reference: Developing and Maintaining Emergency Operations Plans: CPG 101, 2010, pp. 4- 25, 4-26 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 130-131 |
4.5.1 Which of the following best describes the level of disaster logistics automation within your State? 1 - Extensive paper-based, manual processes for order, tracking, billing, reimbursement, etc 2 - Some automation of tasks, but in large part, heavy burden remains on manual workload 3 - Fewer paper processes, electronic exchange of information; some automation, but high degree of re-keying and redundancy 4 - External stakeholders integrated with State information systems 5 - Internal and external stakeholders highly integrated through automated, electronic information exchange with end-to-end shipment visibility and little redundancy
________________________________________ ________________________________________ ________________________________________ |
4.5.1 (Q110) What is the level of disaster logistics technology automation used in the state?
Intent: Ideally logistics information management would be automated with secondary and tertiary backup systems. However, in real life this may not be the case. Each state should improve and modernize computer and logistics systems and programs to the extent that it can. Exercises should test automated system effectiveness and how to respond if those systems fail.
Capability:
Approach: Depending on the level of automation, states should work toward implementing cost effective improvements and upgrades. With each new upgrade the agency should continue to emphasize basic manual order recording, processing, billing and tracking. In the event of a worst case scenario, the staff should be able to manually complete assigned tasks. Often new staff members are trained only on automated systems but are not trained to operate during power outages.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 131-132 |
4.5.2 Do your State's laws restrict pre-incident private vendor contracts for commodities and/or logistics services, early commodity acquisition, and warehousing? 1 - State laws prevent pre-incident private vendor contracts for commodities and/or logistics services, early commodity acquisition, and warehousing 2 - Does not apply 3 - State laws limit pre-incident private vendor contracts for commodities and/or logistics services, early commodity acquisition and warehousing 4 - Does not apply 5 - No laws constraining pre-incident private sector engagement or stockpiling commodities
________________________________________ ________________________________________ ________________________________________ |
4.5.2 (Q111) To what extent do state laws restrict pre-incident private vendor contracts for commodities and/or logistics services, early commodity acquisition, and warehousing?
Intent: Identify those laws that restrict pre-disaster contracting with vendors. Work with local and state officials to conduct market research and identify vendors and their capabilities. Additionally, it is important to develop timelines for vendor responses.
Capability:
Approach: Educate elected officials on the advantages of no cost pre-disaster contracting that can be activated immediately following a disaster, decreasing the time required to respond within the first 72 hours following an incident. Ensure that safety precautions are in place to prevent accidentally activating contracts that are not needed or ending contracts that are still needed.
Reference: EMAP, EMS, 2010, p. 5 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 132 |
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6.5 Property Management Questions
The following section is comprised of questions taken directly from the Property Management section of the LCAT questionnaire. They are numbered to correlate to the numbering in the questionnaire. |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 132-133 |
5.1.1 Does your State have the required manpower/staffing to warehouse and distribute commodities to impacted populations? Label: Commodity Management Personnel 1 - State does not have any warehouse personnel or capability 2 - State has limited warehouse capabilities to store/manage critical commodities and can tap into transportation contracts to move assets in the event of a disaster 3 - State has full-time staff of trained warehouse personnel that manage commodities. Between in-house state transportation and contracts, State can move commodities to impacted populations. State has visibility of load arrival to Points of Distribution (PODs)/ state staging areas 4 - State has full-time staff of trained warehouse personnel that manage commodities. Between in-house state transportation and contracts, State can move commodities to impacted populations to support likely scenarios. State has real-time, in-transit visibility and scalability of operations to support catastrophic events 5 - State has full-time staff of trained warehouse personnel that manage commodities. Between in-house state transportation and contracts, State can move commodities to impacted populations to support likely scenarios. State has real-time, in-transit visibility and scalability of operations to support catastrophic events and have coordinated with FEMA Region and HQ Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________
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5.1.1 (Q112) What is the state capability to warehouse and distribute commodities to impacted populations using vendor managed inventory (VMI) and/or jurisdiction- owned commodities?
Intent: Be prepared to distribute commodities during the first 72 hours after an incident. The state could consider using either a VMI stock of commodities or maintaining its own commodities. In this case a warehouse facility and operation should be considered.
Capability:
Approach: The goal is to have a staff experienced and trained in commodity warehousing and distribution. This staff can be from within the agency, from non-logistics sections, or from other agencies outside the emergency management community. MOUs would ensure that the staff could be deployed to assist with or run warehousing operations during an incident. However, many states cannot afford a full time staff to manage warehousing operations.
It is suggested that you: Determine warehouse requirements.
Select a location that supports the state or jurisdiction.
Determine if more than one is required and where it should be strategically located.
Develop a source of funding and staffing.
Look into sharing the facility with the private sector, other state agencies, or federal facilities.
Establish leases.
Identify and ensure proper training to internal and additional staff that could be available to operate warehousing and commodity distribution during an incident.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 133-134 |
5.1.2 Does your State have an Accountable Property Officer (APO), or an APO equivalent responsible for State owned commodities and equipment? Src: Chief Property Management Division Logistics Management Directorate 1 - No APO equivalent at State level 2 - No APO equivalent at State level but other State EM employee(s) has (have) received informal training on property procedures 3 - State has EM employee(s) who are trained to be APOs but are double hatted in competing functional areas 4 - State has trained APOs available during disaster time, but not part of regular logistics staff 5 - Full-time, dedicated APO in State logistics/emergency management
________________________________________ ________________________________________ ________________________________________
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5.1.2 (Q113) To what extent is the state’s Accountable Property Manager (APM) or equivalent responsible for state-owned commodities and equipment?
Intent: The accountability of non-consumable equipment, leased, rented, or state-owned property, vehicles, and generators is essential. Equipment that is not accounted for can be lost or misdirected and drives the costs of response and recovery up. Having a dedicated APM and procedures are key to maintaining accountability.
Capability:
Approach: It is suggested that you:
Determine which agency has either statutory responsibility or APM personnel as part of their organization and can provide the position. Task APM responsibilities to the appropriate agency. Develop emergency procedures or adapt daily property accountability procedures for disaster operations. Train personnel in property accountability. Incorporate property accountability in exercises.
Reference: Task Book for the Position of Logistics Section Chief Type 1 and Type 2, 1993 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 134-135 |
5.2.1 Has State determined warehousing requirements to support impacted population? Label: Warehousing 1 - State has not determined required warehouse needs, nor selected a location 2 - State has determined optimal locations for its warehouse but does not have a lease, or ownership, of the warehouse 3 - State has leased warehouse space available in a location that was selected based on operational requirements. Lease (or ownership) is funded through life-cycles of commodities 4 - State has leased (or owns) warehouse space available that can sufficiently store critical commodities. Lease is funded through the life-cycles of commodities. The site was selected based on ease of moving commodities to high risk/dense population density zones using available transportation assets 5 - State has sufficient warehouses to store required commodities. Warehouse(s) locations were selected based on high risk/ dense population, transportation modes, pop density, etc, as well as size needs and estimated costs. Lease(s) (or ownership) of facilities are periodically reviewed with FEMA Region and FEMA HQ and are funded through the life-cycle of commodities Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________ |
5.2.1 (Q114) What warehousing requirements has your state determined are needed to support impacted populations?
Intent: States should be prepared to distribute commodities in the first 72 hours, as well as maintain sustained commodity warehousing throughout response and recovery. The state should consider warehouse facilities and operations. One or more facilities should be established based on the critical commodity identification and prioritization modeling.
Capability:
Approach: Recommended actions: Determine warehouse requirements. Determine one or more locations that support the state or jurisdiction.
Determine whether more than one warehouse is required and the optimum strategic location.
Develop a source of funding and staffing.
Look into sharing a facility with private sector, other state agencies, or federal facilities. Establish leases.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 135-136 |
5.3.1 Does your State have the equipment necessary (including Material Handling Equipment) to warehouse commodities and deploy commodities to impacted populations during the first 72 hours post-event? Label: Equipment Management 1 - State does not own/lease any equipment or contracted capabilities 2 - State has equipment and/or contracted capabilities to support very limited warehousing/ distribution functions 3 - State has sufficient equipment and/or contracted capabilities to support warehousing/ distribution functions primarily for day-to-day operations but not sufficient for disaster distribution operations associated with a major event response. Contracts are in place to perform regular maintenance on equipment based on requirements to keep them operational 4 - State has sufficient equipment and/or contracted capabilities to support warehousing/ distribution functions for all levels of event/response. Contracts are in place to perform regular maintenance on equipment based on requirements to keep them operational. Any limitations have been addressed with FEMA Region 5 - State has sufficient equipment and/or contracted capabilities to support warehousing/ distribution functions. Contracts are in place to perform regular maintenance on equipment based on requirements to keep them operational. Capabilities are scalable and can support likely disaster scenarios. Capabilities have been shared with FEMA Region. There are no known limiting factors Groups: SHSGP Critical Emergency Supplies Grant ________________________________________ ________________________________________ ________________________________________
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5.3.1 (Q115) What equipment and material handling equipment capability does the state have to warehouse and distribute commodities to impacted populations during the first 72 hours after an incident?
Intent: The state should have the equipment necessary (including MHE) for day-to-day operations, as well as to manage warehouses and deploy commodities to impacted populations for the first 72 hours after an incident and to sustain operations throughout response and recovery. Consider using government-owned equipment or vendor-provided MHE in activated facilities.
Capability:
Approach: If the state does not have the necessary equipment on hand it could, if legally allowed, have pre-disaster contracts in place that could activate immediately after an incident, reducing the time normally associated with locating, contracting, and mobilizing equipment required to handle and deploy commodities.
It is suggested that you: Determine warehouse MHE and other distribution equipment requirements. Develop a source of funding.
Procure government property or establish leases and/or pre-incident contracts. Establish a maintenance program.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 136-137 |
5.3.2 What method best describes the level of visibility your State has over organic logistics equipment? Src: Chief Property Management Division Logistics Management Directorate 1 - No process to track state-owned equipment 2 - Equipment management is accomplished on an ad-hoc basis and is done using spreadsheets 3 - Either organically or through contractor support, equipment management processes are documented and standardized and provide the general location of state-owned equipment to state logistics personnel 4 - Either organically or through contractor support, equipment management processes are documented. A common operating picture is provided to all state personnel 5 - Either organically or through contractor support, equipment management processes are documented, standardized and provide specific location of state-owned equipment. A common operating picture is provided to all state personnel, FEMA Region, and FEMA HQ LMD
________________________________________ ________________________________________ ________________________________________ |
5.3.2 (Q116) What level of visibility does the state have of organic logistics equipment?
Intent: Equipment tracking needs to be a standardized, integrated process conducted on a daily basis and throughout the life cycle of an incident. It provides a clear picture of where resources are located, who is operating the equipment, and its usage. Procedures to track organic equipment continuously from mobilization through demobilization should be established and real time information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: The following methods and systems can be used to collect, update, and process data, track organic equipment, and display the readiness status of resources: Any requirements for check-in (by time, by location, etc.),
GIS,
Resource tracking systems,
RFID or GPS tracking systems, and
Reporting systems.
If the state does not have the necessary equipment on hand they can, if legally allowed, have pre- disaster contracts in place and ready to be activated immediately following an incident, reducing the time normally associated with locating, contracting, and mobilizing equipment required to handle and deploy commodities.
Reference: National Preparedness Goal, 1st ed., 2011, p. 14 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 137 |
5.3.3 Is State owned equipment (e.g. Material Handling Equipment) maintenance status and operational status actively documented and monitored in your State? 1 - No visibility over availability/status of State-owned equipment 2 - Status/availability of equipment is on a case by case basis 3 - Equipment status/availability is tracked in comprehensive system and is updated regularly 4 - Equipment status/availability is tracked in a comprehensive system and is shared with local, State and private partners 5 - Status/availability is documented for all equipment and is shared with local, State, private and federal partners including FEMA Region
________________________________________ ________________________________________ ________________________________________
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5.3.3 (Q117) How is state-owned equipment maintenance and operational status documented and monitored in your state?
Intent: MHE operational and maintenance status reporting needs to be a standardized, integrated process conducted on a daily basis and throughout the life cycle of an incident. It provides a clear picture of where resources are located, who is operating the equipment, and its usage. Procedures to monitor and track organic equipment continuously from mobilization through demobilization should be established, and real time information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: The following methods and systems can be used to collect, update, and process data, track organic equipment, and display the readiness status of resources: Any requirements for check in (by time, by location, etc.),
GIS,
Resource tracking systems,
RFID or GPS tracking systems, and
Reporting systems.
By documenting state-owned equipment operation you should be able to maintain the operational status and readiness of the equipment. Determine when maintenance is needed and required to maintain the equipment at peak performance levels. Track reoccurring problems to improve equipment maintenance and reduce life cycle costs.
Reference: NIMS: Incident Resource Inventory System (IRIS) User Guide, 2008, pp. 78-79 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 138 |
5.3.4 What method best describes the level of visibility your State has over leased (contracted) logistics equipment? 1 - No visibility over leased equipment 2 - Visibility of leased equipment is stovepiped and provided by vendors only when requested 3 - All leased equipment is visible to State personnel through a comprehensive system and vendor "pushes" changes to State 4 - Equipment visibility data is centralized and shared with local and State partners. A common operating picture is shared with all partners and FEMA Region 5 - Equipment visibility data is centralized and shared with local and State partners. A common operating picture is shared with all partners and FEMA Region and is updated in real-time
________________________________________ ________________________________________ ________________________________________
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5.3.4 (Q118) What level of visibility does your state have of leased (contracted) logistics equipment?
Intent: Develop a process that addresses an appropriate level of visibility over leased (contracted) logistics equipment. Leased and contracted logistics equipment operational and maintenance status should be a standardized, integrated process conducted on a daily basis and throughout the life cycle of an incident. It provides a clear picture of where resources are located, who is operating the equipment, and its usage. During a response, contractors should be required by contract or procedure to report required status information periodically, but at least daily. Procedures to monitor and track contracted equipment continuously from mobilization through demobilization should be established, and real time information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: The following methods and systems can be used to collect, update, and process data, track organic equipment, and display the readiness status of resources: Any requirements for check in (by time, by location, etc.),
GIS,
Resource tracking systems,
RFID or GPS tracking systems, and
Reporting systems.
Reference: NIMS: IRIS User Guide, 2008, pp. 78-79 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 138-139 |
5.3.5 What method best describes the State's maintenance requirements for leased (contracted) logistics equipment? 1 - No requirements 2 - Contracts require that equipment is operational upon receipt by the State 3 - Contracts require that the equipment be maintained periodically during post-event operations by the contractor 4 - Contracts require that the equipment be maintained periodically during post-event operations by the contractor with provisions made for emergency maintenance. Contracts specify the time period in which the contractor must reply on a service/maintenance call 5 - State has instituted performance based contracting in which the contractor is required to maintain a pre-negotiated level of operational availability for the equipment covered in the contract. (e.g. maintain 95% operational availability for all forklifts provided within the contract.)
________________________________________ ________________________________________ ________________________________________
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5.3.5 (Q119) What are the state’s maintenance requirements for leased (contracted) logistics equipment?
Intent: Equipment contracts should include provisions for equipment maintenance.
Capability:
Approach: It is recommended that you address the status of operational equipment, use a turnkey approach in pre-incident contracting, and require vendors to maintain contracted equipment through the life cycle of the lease. Areas to focus on are installation, maintenance, fueling, uninstalling, and removal of all equipment.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 139-140 |
5.3.6 How does your State track the scheduling, maintenance status, and operational status of organic (State-owned) fixed generators? Src: Chief Property Management Division Logistics Management Directorate 1 - No process or system to track regular or preventative maintenance of State-owned fixed generators 2 - Tracking occurs on a case by case basis, either organically or through contractor support, and is documented post-maintenance 3 - Maintenance is tracked for all State-owned fixed generators on a case by case basis organically or through contractor support, records are updated in real-time and can be viewed by all State personnel 4 - Maintenance is tracked for all State-owned fixed generators, either organically or through contractor support. Maintenance records are updated in real-time and can be viewed by all State and local personnel 5 - Maintenance is tracked for all State-owned fixed generators, either organically or through contractor support. Maintenance records are updated in real-time and can be viewed by all State, local, FEMA and OFA (e.g. USACE) personnel
________________________________________ ________________________________________ ________________________________________ |
5.3.6 (Q120) How does your state track organic (state owned) fixed generator scheduling and maintenance and operational status?
Intent: Fixed generators are essential to continuity of operations during power outages. Organic fixed generator scheduling, maintenance status, and operational status should be tracked. Preventative maintenance ensures equipment is ready and operational when needed.
Capability:
Approach: You could assign someone to be responsible for ensuring that generators are operational. Establish a schedule for load testing, maintenance, and refueling in accordance with equipment technical specifications.
Reference: NIMS: IRIS User Guide, 2008 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 140-141 |
5.3.7 How does your State track the scheduling, maintenance status, and operational status of organic (State-owned) portable generators? Src: Chief Property Management Division Logistics Management Directorate 1 - No process or system to track regular or preventive maintenance of State-owned portable generators 2 - Tracking occurs on a case by case basis, either organically or through contractor support, and is documented post-maintenance 3 - Maintenance is tracked for all State-owned portable generators on a case by case basis, either organically or through contractor support, records are updated in real-time and can be viewed by all State personnel 4 - Maintenance is tracked for all State-owned portable generators, either organically or through contractor support. Maintenance records are updated in real-time and can be viewed by all State and local personnel 5 - Maintenance is tracked for all State-owned portable generators, either organically or through contractor support. Maintenance records are updated in real-time and can be viewed by all State, local, FEMA and OFA (e.g. USACE) personnel
________________________________________ ________________________________________ ________________________________________
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5.3.7 (Q121) How does your state track scheduling and maintenance and operational status of organic (state owned) portable generators?
Intent: As with fixed generators, mobile generators are essential to restoring emergency power to identified facilities and critical infrastructure during power outages. Organic mobile generator scheduling, maintenance status, and operational status should be tracked. Preventative maintenance ensures equipment is ready and operational when needed. Mobile generator operational and maintenance status should be a standard, integrated process conducted on a daily basis while the equipment is in storage and throughout the life cycle of an incident. It provides a clear picture of where resources are located, who is operating the equipment, and its usage and availability. Procedures to monitor and track organic equipment continuously from mobilization through demobilization should be established, and real time information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: You could assign a responsible party to maintain mobile generators while they are in storage. Train personnel on how to maintain mobile generators. Assign accountability and maintenance responsibility to personnel that deploy, install, and operate mobile generators. Establish a schedule for load testing and maintaining generators while they are in storage. Establish a daily field schedule for maintenance and refueling in accordance with equipment technical specifications.
The following methods and systems can be used to collect, update, and process data, track organic equipment, and display the readiness status of resources: Any requirements for check in (by time, by location, etc.), GIS, Resource tracking systems, RFID or GPS tracking systems, and Reporting systems.
Reference: NIMS: IRIS User Guide, 2008 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 141 |
5.3.8 What method best describes the level of visibility your State has over leased (contracted) generators? 1 - No process or system to track regular or preventive maintenance of generators 2 - Tracking occurs on a case by case basis, either organically or through contractor support, and is documented post-maintenance 3 - Maintenance is tracked for all leased generators on a case by case basis either organically or through contractor support, records are updated in real-time and can be viewed by all State personnel 4 - Maintenance is tracked for all leased generators, either organically or through contractor support. Maintenance records are updated in real-time and can be viewed by all State and local personnel 5 - Maintenance is tracked for all leased generators, either organically or through contractor support. Maintenance records are updated in real-time and can be viewed by all State, local, FEMA, and OFA (e.g. USACE) personnel
________________________________________ ________________________________________ ________________________________________ |
5.3.8 (Q122) What level of visibility does your state have of leased (contracted) generators?
Intent: Develop a process that ensures an appropriate level of visibility over leased (contracted) generators. Maintaining leased and contracted generator operational and maintenance status should be a standard, integrated process conducted on a daily basis and throughout the life cycle of an incident. It provides a clear picture of where resources are located, who is operating the equipment, and its usage. Contractors could be required to report specified status information periodically, on a daily basis at a minimum during an incident. Procedures to monitor and track contract equipment continuously from mobilization through demobilization should be established and real time information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: Determine what contract requirements for maintenance are. Ensure there is a responsible party for maintaining mobile generators while in storage. The following methods and systems can be used to collect, update, and process data, track organic equipment, and display the readiness status of resources: Any requirements for check in (by time, by location, etc.),
GIS,
Resource tracking systems,
RFID or GPS tracking systems, and
Reporting systems.
Reference: NIMS: IRIS User Guide, 2008 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 142-143 |
5.3.9 What method best describes the maintenance requirements for leased (contracted) generators? 1 - No requirements 2 - Contracts require that generators are operational upon receipt by the State 3 - Contracts require that the equipment be maintained periodically during post-event operations by the contractor 4 - Contracts require that generators be maintained periodically during post-event operations by the contractor with provisions made for emergency maintenance. Contracts specify the time period in which the contractor must reply on a service/maintenance call 5 - State has instituted performance based contracting, in which the contractor is required to maintain a pre-negotiated level of operational availability for the generators covered in the contract. (e.g. maintain 95% operational availability for all generators provided within the contract)
________________________________________ ________________________________________ ________________________________________
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5.3.9 (Q123) What are the maintenance requirements for leased (contracted) generators?
Intent: Contracted generator scheduling, maintenance status, and operational status should be tracked by the contractor and reported to the logistics section. Contracted generator operational and maintenance status should be reported on a daily basis throughout the life cycle of an incident. It provides a clear picture of where resources are located, who is operating the equipment, and its usage and availability. Contractors should be required to monitor and track equipment continuously, from mobilization through demobilization, and provide real time information to the logistics section as required. This information should be displayed in a central data base allowing total asset visibility.
Capability:
Approach: It is suggested that you:
Require that equipment be operational upon receipt. Use a turnkey approach in pre-incident contracting to require vendors to maintain contracted equipment through the life cycle of the lease. Areas to consider for turnkey operations are installation, maintenance, fueling, uninstalling, and removing all equipment. Develop and require contractors to adhere to established reporting schedules. Relegate maintenance responsibility to the contractor that deploys, installs, and operates mobile generators. Require contractors to adhere to a daily field schedule for maintenance and refueling in accordance with equipment technical specifications.
The following methods and systems can be used to collect, update, and process data, track organic equipment, and display the readiness status of resources: Any requirements for check in (by time, by location, etc.),
GIS,
Resource tracking systems,
RFID or GPS tracking systems, and
Reporting systems.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 143 |
5.3.10 What statement best describes the scalability of your State equipment management and maintenance capabilities? 1 - Capabilities cannot be expanded (scaled) to meet post-event requirements 2 - Capabilities are sufficient to adequately manage and maintain equipment pre-event and post event for minor hazard responses 3 - Capabilities are sufficient to adequately manage and maintain equipment pre-event and post event for all but major hazard responses 4 - Capabilities are sufficient to adequately manage and maintain equipment pre-event and post event for all hazard responses with some degradation in the accuracy, reliability, and timeliness of data in the event of a major or catastrophic response 5 - Capabilities are fully scalable so that accurate, reliable, and timely data is available to decision makers post event for a major or catastrophic hazard response
________________________________________ ________________________________________ ________________________________________ |
5.3.10 (Q124) What level of scalability does the state have for equipment management and maintenance capabilities?
Intent: It is desirable to be able to transition from daily organic equipment management and maintenance to expanded capabilities during an incident and still maintain accurate, reliable, and timely data.
Capability:
Approach: It is important to develop plans and procedures and assign roles and responsibilities to internal and external agencies. Consider pre-incident maintenance and fuel service contracts and incorporate information technology management.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 143-144 |
5.4.1 What method best describes the level of visibility your State provides over organic commodity inventory? 1 - No visibility over inventory 2 - Visibility of inventory is stovepiped 3 - All state owned inventory is visible to State personnel through a comprehensive system 4 - Integrated inventory management is shared with local and State partners through a comprehensive system. A common operating picture is shared with all partners and FEMA Region 5 - Integrated inventory management is shared with local and State partners through a comprehensive system. A common operating picture is shared with all partners and FEMA Region and is updated in real-time
________________________________________ ________________________________________ ________________________________________
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5.4.1 (Q125) What level of visibility does the state have of organic commodity inventory?
Intent: Without knowing how many resources are readily available, particularly at facilities used for PODs and staging areas, emergency managers cannot accurately determine how much federal support, if any, is necessary. All resources available for deployment should be entered into a resource data base and the data should be made available to EOCs and multi-agency coordination entities.
Capability:
Approach: Commodity inventory information should be integrated into the logistics COP. It should provide visibility of critical commodities on-hand, due-in via procurement, and available- to-promise balances. Automation and data bases can provide real time information of on-hand, ordered, due-in via procurement, en-route, received, due-out, and available-to-promise balance, etc.
Reference: NIMS: IRIS User Guide, 2008 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 144-145 |
5.4.2 Is inventory availability reflected in your State's commodity inventory management database? Src: Chief Property Management Division Logistics Management Directorate 1 - No inventory database to capture on-hand, due-in, due-out and promised-out inventory 2 - Inventory database updated periodically with status of inventory 3 - On-hand inventory, due-out and some due-in data updated regularly and is visible/shared throughout State logistics community 4 - On-hand inventory, due-out and some due-in data updated regularly and is visible/shared with local, State and private partners 5 - On-hand inventory, due-out and some due-in data updated regularly and is visible/shared with local, State and private partners including FEMA Region and FEMA LMD
________________________________________ ________________________________________ ________________________________________
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5.4.2 (Q126) How is inventory availability reflected in your state's commodity inventory management data base?
Intent: When determining what resources should be kept on hand consider the urgency of need inherent with a disaster, whether the commodity can be produced quickly, and inventory shelf life or maintenance requirements. When storing resources, there should be sufficient funding in the budget for replenishments, preventive maintenance, and capital improvements. Property belonging to a specific agency should be accounted for during the inventory process in accordance with local property management regulations and policies.
Capability:
Approach: Commodity inventory information is integrated into the logistics COP. It should provide visibility of critical commodities on-hand, due-in via procurement, and available-to- promise balances. Automation and data bases can provide real time information of on-hand, ordered, due-in via procurement, en route, received, due-out, and available-to-promise balance, etc.
Reference: NIMS: IRIS User Guide, 2008 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 145 |
5.4.3 What method best describes the level of visibility your State has over vendor managed commodity inventory? Src: Chief Property Management Division Logistics Management Directorate 1 - No visibility over inventory 2 - Visibility of inventory is stovepiped 3 - All vendor managed inventory is visible to State personnel through a comprehensive system 4 - Integrated inventory management is shared with local and State partners through a comprehensive system. A common operating picture is shared with all partners and FEMA Region 5 - Integrated inventory management is shared with local and State partners through a comprehensive system. A common operating picture is shared with all partners and FEMA Region and is updated in real-time
________________________________________ ________________________________________ ________________________________________
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5.4.3 (Q127) What level of visibility does your state have of vendor managed commodity inventory?
Intent: Commodity visibility and VMI are integral parts of the COP, which should provide real time visibility of VMI on-hand, due-in, and available balances.
Capability:
Approach: Incorporate VMI into data bases and information technology management systems.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 145-146 |
5.4.4 Is vendor managed inventory availability reflected in your State's commodity inventory management database? Src: Chief Property Management Division Logistics Management Directorate 1 - No inventory database to capture on-hand, due-in, due-out and promised-out inventory 2 - Inventory database updated periodically with status of vendor managed inventory 3 - On-hand, due-out and some due-in data is updated regularly with vendor managed inventory data and is visible/shared throughout State logistics community 4 - On-hand, due-out and some due-in data is updated with vendor managed inventory information and is visible/shared throughout local, State and private partners 5 - On-hand, due-out and some due-in data is updated with vendor managed inventory information and is visible/shared throughout local, State and private partners including FEMA Region and FEMA HQ
________________________________________ ________________________________________ ________________________________________
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5.4.4 (Q128) How is vendor managed inventory (VMI) availability reflected in the state commodity inventory management data base?
Intent: VMI is a program where the commodity vendors maintain an agreed upon stockage level by state. The vendor rotates and maintains the stock either in a vendor owned facility or the state’s facility. Fees are usually required for services such as for initial stocking. This arrangement ensures that the state will have fresh stocks for immediate access during an incident. The supply is replenished throughout the incident and at the end of the incident the newest stock is maintained.
Capability:
Approach: Consider determining where the VMI could be maintained. This may require allocating funding, letting pre-incident contracts for VMI, and establishing stockage levels.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 146 |
5.4.5 What statement best describes the scalability of your State commodity management capabilities? Src: Chief Property Management Division Logistics Management Directorate 1 - Capabilities cannot be expanded (scaled) to meet post-event requirements 2 - Capabilities are sufficient to adequately manage and maintain inventory pre-event and post event for minor hazard responses 3 - Capabilities are sufficient to adequately manage and maintain inventory pre-event and post event for all but major hazard responses 4 - Capabilities are sufficient to adequately manage and maintain inventory pre-event and post event for all hazard responses with some degradation in the accuracy, reliability and timeliness of data in the event of a major or catastrophic response 5 - Capabilities are fully scalable so that accurate, reliable and timely data is available to decision makers post event for a major or catastrophic hazard response
________________________________________ ________________________________________ ________________________________________ |
5.4.5 (Q129) How scalable are the state’s commodity management capabilities?
Intent: It is important to be able to expand from daily commodity management to expanded capabilities during an incident and still maintain accurate, reliable, and timely data.
Capability:
Approach: Develop plans and procedures, assign roles and responsibilities to internal and external agencies and incorporate them in the information technology management system.
Reference: EMAP, EMS, 2010, p. 9 |
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Logistics Capability Assistance Tool (LCAT) State Content Guide – Page 146-147 |
5.4.6 Does State conduct periodic/routine inventories and shelf-life inspections of commodities? State- managed or Vendor-managed Label: Commodity Inventory Management 1 - No state routine inspections are conducted 2 - State conducts annual inventories of on-hand commodities 3 - State conducts semi-annual inventories and shelf-life inspection of on-hand commodities and rotation of stock 4 - State conducts quarterly inventories and shelf-life inspection of on-hand commodities and rotation of stock 5 - State conducts monthly/random inventories, manages shelf-life and rotates stock or requires vendor to do the same Groups: SHSGP Critical Emergency Supplies Grant
________________________________________ ________________________________________ ________________________________________
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5.4.6 (Q130) How does your state conduct periodic/routine inventories and shelf life inspections of commodities?
Intent: It is important to have a system of inventory and stock rotation to ensure that commodities are not lost due to expiration or spoilage. Reference the FIFO concept in question 2.5.3.
Capability:
Approach: Commodities should be stored in warehouses using the FIFO inventory management design and an inventory data base that tracks delivery and expiration.
Consider establishing a barcode system that alerts the staff when a product is approaching its expiration date. Products that are approaching their expiration date should be the first commodity utilized. There could be other states that need the warehoused stock so your state could sell the stock at cost through an EMAC agreement during an incident.
Reference: EMAP, EMS, 2010, p. 9 |
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APPENDIX A: ACRONYMS, TERMS, DEFINITIONS, AND ABBREVIATIONS |
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A.1 Acronyms
The following acronyms were used in creating this document. |
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Compr
| File Type | application/msword |
| File Title | FF-####, TITLE |
| Author | FEMA Employee |
| File Modified | 2014-03-28 |
| File Created | 2014-02-25 |
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