FEMA_Incident_Management_Support_Keystone.pdf

i Incident Management and Support Keystone

FEMA Incident Management and Support Keystone January 2011

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Incident Management and Support Keystone

CONTENTS

Contents

Chapter 1: Introduction Purpose Scope ……………………………………………………………………………………………………2 Foundational Documents and Authorities Background

Chapter 2: National Response Framework Doctrine

1. Engaged Partnership

2. Tiered Response

3. Scalable, Flexible, and Adaptable Operational Capabilities

4. Unity of Effort Through Unified Command

5. Readiness to Act

Chapter 3: Recovery Core Principles

1. Individual and Family Empowerment

2. Leadership and Local Primacy

3. Pre-disaster Planning

4. Partnerships and Inclusiveness

5. Public Information

6. Unity of Effort

7. Timeliness and Flexibility

8. Resilience and Sustainability

9. Psychological and Emotional Recovery

Chapter 4: FEMA’s Incident Management and Support Tenets Tenet 1: Engage the Whole Community Tenet 2: Empower Emergency Managers to Make Decisions and Take Coordinated Action Tenet 3: Respond Quickly With Decisive Initial Actions Tenet 4: Use Outcome-Based Objectives Tenet 5: Develop Creative Solutions and Atypical Resources

Chapter 5: FEMA Incident Management and Support Key Concepts

Concept 1: Incident Management and Support Are Conducted in Accordance With NIMS

Concept 2: Effective Preparedness Provides the Basis for Successful Incident Management and Support

Concept 3: Incidents Are Categorized by Disaster Levels to Guide Deployment of Resources

Concept 4: Incidents Should Be Managed at the Lowest Possible Operational Level Concept 5: Unity of Effort in Response Is Achieved Through Unified Command. Unity of

Effort in Recovery is Achieved Through Unity of Purpose Concept 6: Disciplined Priorities Enable Meaningful Objectives Concept 7: Establishing a Secure Operating Environment, Including Emergency Routes, Is

Essential to Effective Incident Management and Support Concept 8: Disaster Emergency Communications Are Essential to Effective Incident

Management and Support Concept 9: Anticipate Potential Requirements and Quickly Move Resources to Support the

Response and Short-Term Recovery Concept 10: Enable Citizens and Survivors to Assist Their Communities Before, During, and After an Incident Concept 11: Response and Recovery Actions Must Be Targeted to Assist the Most

Vulnerable Concept 12: Response, Recovery, and Mitigation Activities Operate Concurrently as Part of Incident Management and Support Concept 13: Response and Recovery decisions are informed by risk analysis Concept 14: Planning Is the Foundation for Achieving Common Objectives Through

Integrated Response and Recovery Efforts Concept 15: Successful Incident Management and Support Is Ultimately Accomplished

When Communities Are More Resilient and Sustainable than They Were Before the Incident

Concept 16: Incident Planning Is a Key Activity at All Echelons of FEMA Response and Recovery

Concept 17: There Is Only One Incident Action Plan (IAP) for Each Incident, and the IAP Is Developed Only at the Incident Level

Concept 18: Effective Incident Planning Requires a Comprehensive System for Information Collection, Sharing, and Analysis That Includes All Echelons of an Incident

Concept 19: Deliberate Planning is the Foundation for Incident Planning Concept 20: Deliberate Planning Is Only as Effective as Its Ability to Guide Actual

Operations

Chapter 6: Applying FEMA Incident Management and Support Doctrine Key Roles and Responsibilities FEMA’s Incident Command and Management Organization

Conclusion

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CHAPTER 1: INTRODUCTION

PURPOSE

This Federal Emergency Management Agency (FEMA) Incident Management and Support Keystone establishes the foundational doctrine that guides FEMA’s conduct of disaster operations.

This Keystone is the primary document from which all other FEMA disaster response, recovery, mitigation, and logistics directives and policies are derived. It describes how the response doctrine, articulated in the National Response Framework (NRF), and recovery doctrine are implemented in the context of FEMA incident management and support operations.

This Keystone is fully in line with the National Incident Management System.

Incident Management is the incident-level operation of the Federal role in emergency response, recovery, logistics, and mitigation. Responsibilities in incident management include the direct control and employment of resources, management of incident offices, operations, and delivery of Federal assistance through all phases of emergency response.

Incident Support is the coordination of all Federal resources that support emergency response, recovery, logistics, and mitigation. Responsibilities include the deployment of national-level assets, support of national objectives and programs affected during the disaster, and support of incident operations with resources, expertise, information, and guidance.

This keystone document describes the full function of FEMA assistance, from the earliest lifesaving operations and support through the entire life of the Joint Field Office (JFO). The keystone addresses how FEMA will provide lifesaving operations and necessary resources;

restore power and rebuild roads in the affected communities; provide technical assistance to community floodplain management programs and flood insurance; and manage individual assistance inspections, temporary housing, public assistance inspections, 406 mitigation, and hazard mitigation grants. The Incident Management and Support Keystone leads a family of other doctrinal documents that guide the implementation of FEMA’s disaster operations.

This document is intended to

• standardize procedures,

• institutionalize best practices, and

• guide planning, training, equipping, and staffing.

FEMA’s mission is to support U.S. citizens and first responders to ensure that, as a nation, we work together to build, sustain, and improve our capability to prepare for, protect against, respond to, recover from, and mitigate all hazards.

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Incident: An occurrence, natural or man-made, that requires a response to protect life or property. Incidents can, for example, include major disasters, emergencies, terrorist attacks, terrorist threats, civil unrest, wildland and urban fires, floods, hazardous material spills, nuclear accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical storms, tsunamis, war-related disasters, public health and medical emergencies, and other occurrences requiring response and recovery efforts.

(Source: National Incident Management System)

Doctrine is an authoritative statement of fundamental principles of an organization. It is authoritative yet—when applied with judgment—adaptable enough to address diverse situations. Doctrine provides a standard frame of reference for FEMA and explains why the Agency performs its functions. Doctrine is a guide to action and judgment founded in hard-won experience; it facilitates readiness and increased efficiency and effectiveness by standardizing activities and processes. Doctrine links theory, experience, innovation, and practice.

Doctrine shows how the key actors in an incident align their processes to promote coordinated and effective outcomes. It provides a basis for enhanced capabilities through training, staffing, equipping, exercises, and future concept development.

It directly influences how policy and plans are developed and implemented, how FEMA organizes to achieve its mission, and how resource requirement decisions are made.

The consistent application of doctrine outlined in this Keystone will assist FEMA in better managing its functions, requirements, capabilities, priorities, policies, organizational design, command and control authorities, and the allocation of resources across the full spectrum of disaster response and recovery.

SCOPE

This FEMA Incident Management and Support Keystone applies to all FEMA incident management and support operations, including incidents that have occurred, efforts undertaken based on an identified threat, and actions performed in anticipation of, or in preparation for, a significant event.

This doctrine pertains to FEMA incident management and support operations that involve— or that may involve—a presidential declaration under the Stafford Act, as well as incidents requiring a coordinated Federal response where the Stafford Act does not apply. This doctrine applies to the full range of incidents contained within one or several jurisdictions, as well as those incidents that are national in scope.

This Keystone is intended to promote readiness to act, effective cooperation, interoperability, and sharing of essential resources and information among all levels of government, nongovernmental organizations (NGOs), and the private sector—by communicating to our partners the principles by which FEMA conducts incident management and support operations.

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FOUNDATIONAL DOCUMENTS AND AUTHORITIES

A number of foundational documents provide statutory, regulatory, and executive guidance for FEMA disaster response. Some key foundational documents are as follows:

• Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-288, as amended, 42 U.S.C. 5121-5207). The Stafford Act authorizes the programs and processes by which the Federal Government provides disaster and emergency assistance to State and local governments, tribal nations, eligible private nonprofit organizations, and individuals affected by a declared major disaster or emergency.

The Stafford Act covers all hazards, including natural disasters and terrorist events.

• Title 44 of the Code of Federal Regulations (CFR), Emergency Management and Assistance. The Code of Federal Regulations is a codification of the general and permanent rules and regulations published in the Federal Register that contain basic policies and procedures. Title 44 is entitled Emergency Management and Assistance, and Chapter 1 of Title 44 contains the regulations issued by FEMA, including those related to implementing the Stafford Act.

• Homeland Security Act (Public Law 107-296, as amended, 6 U.S.C. §§ 101 et seq.).

The Homeland Security Act of 2002 created the Department of Homeland Security (DHS) as an executive department of the United States. The Homeland Security Act consolidated component agencies, including FEMA, into the Department. The Secretary of Homeland Security is the head of the Department and has direction, authority, and control over it. All functions of all officers, employees, and organizational units of the Department are vested in the Secretary. The mission of the Department includes preventing terrorist attacks within the United States, reducing America’s vulnerability to terrorism, and minimizing the damage and recovering from attacks that occur. The Post-Katrina Emergency Management Reform Act of 2006 (described below) amended the Homeland Security Act with respect to the organizational structure, authorities, and responsibilities of FEMA and the FEMA Administrator.

• Homeland Security Presidential Directive 5 (HSPD-5), 2003. Homeland Security Presidential Directive 5 enhances the ability of the United States to manage domestic incidents by directing the establishment of a single, comprehensive National Incident Management System (NIMS). This management system is designed to cover the prevention of, preparation for, response to, and recovery from terrorist attacks, major disasters, and other emergencies. The system allows all levels of government throughout the Nation to work together efficiently and effectively. The directive gives further detail on which government officials oversee and have authority for various parts of the NIMS, and it makes several amendments to various other Homeland Security Presidential Directives.

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• Post-Katrina Emergency Management Reform Act of 2006 (Public Law 109-295), October 4, 2006. The Post-Katrina Emergency Management Reform Act (PKEMRA) clarified and modified the Homeland Security Act with respect to the organizational structure, authorities, and responsibilities of FEMA and the FEMA Administrator. This act enhanced FEMA’s responsibilities and its autonomy within DHS. Per PKEMRA, FEMA is to lead and support the Nation in a risk-based, comprehensive emergency management system of preparedness, protection, response, recovery, and mitigation.

Under the act, the FEMA Administrator reports directly to the Secretary of Homeland Security. FEMA is now a distinct entity within DHS, and the Secretary of Homeland Security can no longer substantially or significantly reduce the authorities, responsibilities, or functions of FEMA—or the capability to perform them—unless authorized by subsequent legislation. The act further directed the transfer to FEMA of many of the functions of DHS’s former Preparedness Directorate.

• National Response Framework (NRF), January 2008. The NRF is a guide to how the Nation conducts all-hazards response. It is built upon scalable, flexible, and adaptable coordinating structures to align key roles and responsibilities across the Nation, linking all levels of government, NGOs, and the private sector. The NRF is intended to capture specific authorities and best practices for managing incidents that range from serious but purely local events, to large-scale terrorist attacks or catastrophic natural disasters.1

• National Incident Management System (NIMS), December 2008. The NIMS is a set of principles that provides a systematic, proactive approach to guiding government agencies at all levels, NGOs, and the private sector to work seamlessly to prevent, protect against, respond to, recover from, and mitigate the effects of incidents— regardless of cause, size, location, or complexity—in order to reduce the loss of life or property and harm to the environment.

1 Catastrophic incident: An incident of such magnitude that all available assets that were designed and put in place for response are completely overwhelmed or broken at the incident, regional, or national level.

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BACKGROUND

Over the past 30 years, FEMA has been called upon repeatedly to become engaged not only to deliver the traditional recovery programs but also to coordinate the delivery of emergency services—services such as search and rescue, emergency power, debris clearance, emergency communications, emergency roofing, disaster housing, and other commodities to support State, local, tribal and Federal incident response operations.

The failure to provide these services in a timely and coordinated manner with Federal, State, local and tribal partners resulted in the criticism that FEMA received following incidents such as Hurricane Hugo (1989), Hurricane Andrew (1992), and Hurricane Katrina (2005). In response to these experiences, FEMA altered its focus and organization in fundamental ways.

During the 1990s, the organization reduced its emphasis on civil defense and prioritized the natural disaster response system. FEMA gave greater attention to mitigation and preparedness as well. Following these efforts, FEMA’s scope and responsibility increased in the mid-2000s through executive and legislative action.

As the Nation’s professional emergency management organization, FEMA continues to make a concerted effort to build, sustain, and improve its ability to assist State and local governments by developing and using standards and doctrine to expedite the delivery of these emergency services. While statutes and executive orders give FEMA the authority to act, doctrine explains why and how Federal emergency managers act as they do.

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NRF Response Doctrine— Key Principles

1. Engaged partnership

2. Tiered response

3. Scalable, flexible, and adaptable operational capabilities

4. Unity of effort through unified command

5. Readiness to act

CHAPTER 2: NATIONAL RESPONSE FRAMEWORK

DOCTRINE

The National Response Framework (NRF) is the definitive authority for national response in the United States. It guides how our Nation responds to all hazards. The framework therefore provides the basis for all FEMA response doctrine.

The NRF defines basic roles, responsibilities, and operational concepts for response across all levels of government, with nongovernmental organizations (NGOs), and with the private sector. The overarching objective of response activities centers on saving lives and protecting property and the environment.

The key principles articulated in the NRF Response Doctrine are of such significance to this response operations keystone that they are included here. According to the NRF, these principles are rooted in America’s Federal system and the Constitution’s division of responsibilities between Federal and State governments.

1. ENGAGED PARTNERSHIP

Leaders at all levels must communicate and actively support partnerships by developing shared goals and aligning capabilities so that no one is overwhelmed in times of crisis. Layered, mutually-supporting capabilities at Federal, State, tribal, and local levels allow for planning together in times of calm and responding together effectively in times of need. Engaged partnership includes ongoing communication of incident activity among all partners and shared situational awareness for a more rapid response.

Engaged partnerships are essential to preparedness. Effective response begins with a host of preparedness activities conducted well in advance of an incident. Preparedness involves a combination of planning, resources, training, exercising, and organizing to build, sustain, and improve operational capabilities. Preparedness is the process of identifying the personnel, training, and equipment needed for a wide range of potential incidents and developing jurisdiction-specific plans for delivering capabilities when needed for an incident.

2. TIERED RESPONSE

Incidents must be managed at the lowest possible jurisdictional level and supported by additional capabilities when needed. Each level need not be overwhelmed prior to requesting resources from another level.

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Incidents begin and end locally, and most are wholly managed at the local level. Many incidents require unified response from local agencies, NGOs, and the private sector, and some require additional support from neighboring jurisdictions or the particular State involved. A small number require Federal support. National response protocols recognize this and are structured to provide additional tiered levels of support when there is a need for more resources or capabilities to support and sustain the response and initial recovery. All levels should be prepared to respond, anticipating resources that may be required.

3. SCALABLE, FLEXIBLE, AND ADAPTABLE OPERATIONAL CAPABILITIES

As incidents change in size, scope, and complexity, the response must adapt to meet requirements. The number, type, and sources of resources must be able to expand rapidly to meet needs associated with a given incident. The disciplined and coordinated process described in the NRF can provide for a rapid surge of resources from all levels of government, appropriately scaled to need. Execution must be flexible and adapted to fit each individual incident. Responders must also remain nimble and adaptable for the duration of a response, especially as needs grow and change. Equally, the overall response should be flexible as it transitions from the response effort to recovery.

4. UNITY OF EFFORT THROUGH UNIFIED COMMAND

Effective unified command is indispensable to response activities and requires a clear understanding of the roles and responsibilities of each participating organization. Success requires unity of effort, which respects the chain of command of each participating organization while harnessing seamless coordination across jurisdictions in support of common objectives.

The Incident Command System (ICS) and Multiagency Coordination System (MACS) are important elements across multijurisdictional or multiagency incident management activities.

They provide structure to enable agencies with different legal, jurisdictional, and functional responsibilities to coordinate, plan, and interact effectively on scene. As a team effort, unified command allows all agencies with jurisdictional authority and/or functional responsibility for the incident to provide joint support through mutually developed incident objectives and strategies established at the command level. Each participating agency maintains its own authority, responsibility, and accountability.

The National Incident Management System (NIMS) supports response through the following elements of unified command: (1) developing a single set of objectives; (2) using a collective, strategic approach; (3) improving information flow and coordination; (4) creating a common understanding of joint priorities and restrictions; (5) ensuring that no agency’s legal authorities are compromised or neglected; and (6) optimizing the combined efforts of all agencies under a single plan.

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5. READINESS TO ACT

Effective response requires readiness to act balanced with an understanding of risk. From individuals, households, and communities to local, tribal, State, and Federal governments, national response depends on the instinct and ability to act. A forward-leaning posture is imperative both for incidents that could expand rapidly in size, scope, or complexity, and for no-notice incidents.

Once response activities have begun, on-scene actions are based on NIMS principles. To save lives and protect property and the environment, decisive on-scene action is often required of responders. Although some risk may be unavoidable, first responders anticipate and manage risk through proper training and planning.

Command—either single or unified—is responsible for establishing immediate priorities for the safety of not only the public, but also the responders and other emergency workers involved in the response, and for ensuring that adequate health and safety measures are in place.

Acting swiftly and effectively requires clear, focused communication and the processes to support it. Without effective communication, a bias toward action will be ineffectual at best, and likely perilous. An effective national response relies on disciplined processes, procedures, and systems to communicate timely, accurate, and accessible information on the incident’s cause, size, and current situation to the public, responders, and others. Well-developed public information, education strategies, and communication plans help to ensure that lifesaving measures, evacuation routes, threat and alert systems, and other public safety information are coordinated and communicated to numerous diverse audiences in a consistent, accessible, and timely manner.

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CHAPTER 3: RECOVERY CORE PRINCIPLES

The core principles and organizational constructs introduced coexist with the National Response Framework (NRF) and build upon its organizational structure and resources to more effectively address long-term recovery needs. The principles articulated in this chapter guide the full spectrum of recovery efforts with the recognition that recovery is a continuum.

Recovery begins with pre-disaster preparedness and includes a broad spectrum of planning activities. That clarifies the roles and responsibilities for stakeholders in both pre- and post-disaster recovery efforts. It also recognizes that disaster, when it occurs, impacts some segments of the population more than others.

1. INDIVIDUAL AND FAMILY EMPOWERMENT

All community members must have equal opportunity to participate in community recovery efforts in a meaningful way. Care must be taken to assure that actions, both intentional and unintentional, do not exclude groups of people based on race, color, national origin (including limited English proficiency), religion, sex or disability. Care must be taken to identify and eradicate social and institutional barriers that hinder or preclude individuals with disabilities and others in the community historically subjected to unequal treatment from full and equal enjoyment of the programs, goods, services, activities, facilities, privileges, advantages, and accommodations provided. A successful recovery is about the ability of individuals and families to rebound from their losses in a manner that sustains their physical, emotional, social and economic well-being. The restoration of infrastructure systems and services is critical during recovery. It is vital that all individuals who make up the community are provided with the tools to access and use a continuum of care that addresses both the physical losses sustained and the psychological and emotional trauma experienced.

2. LEADERSHIP AND LOCAL PRIMACY

Successful recovery requires informed and coordinated leadership throughout all levels of government, sectors of society and phases of the recovery process. It recognizes that local, state and tribal governments have primary responsibility for the recovery of their communities and play the lead role in planning for and managing all aspects of community recovery. This is a basic, underlying principle that should not be overlooked by state, federal and other disaster recovery managers. States act in support of their communities, evaluate their capabilities and provide a means of support for overwhelmed local governments. The federal government is a partner and facilitator in recovery, prepared to enlarge its role when the disaster impacts relate to areas where federal jurisdiction is primary or affects national security. The federal government, while acknowledging the primary role of local, state and tribal governments, is prepared to vigorously support local, state and tribal governments in a large-scale or catastrophic incident.

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3. PRE-DISASTER PLANNING

The speed and success of recovery can be greatly enhanced by advanced establishment of the process and protocols prior to a disaster for coordinated post-disaster recovery planning and implementation. All stakeholders should be involved to ensure a coordinated and comprehensive planning process, and develop relationships that increase post-disaster collaboration and unified decision-making. Another important objective of pre-disaster recovery planning is to take actions that will significantly reduce any disaster impacts that may occur by rebuilding a more disaster resistant and resilient community. Hence, the NDRF strongly encourages innovation among the states, localities, and the private sector in working together to identify state and locally-generated tools and resources, pre-disaster, that will serve to support and sustain disaster mitigation and long-term recovery efforts.

4. PARTNERSHIPS AND INCLUSIVENESS

Partnerships and collaboration across groups, sectors and governments promote a successful recovery process. Partnerships and inclusiveness are vital for ensuring that all voices are heard from all parties involved in disaster recovery and that all available resources are brought to the table. This is especially critical at the community level where nongovernmental partners in the private and nonprofit sectors play a critical role in meeting local needs. Inclusiveness in the recovery process includes individuals with disabilities and others with access and functional needs, advocates of children, seniors and members of underserved communities. Sensitivity and respect for social and cultural diversity must be maintained at all times. Compliance with equal opportunity and civil rights laws must also be upheld.

5. PUBLIC INFORMATION

Clear, consistent, culturally appropriate and frequent communication initiatives promote successful public information outcomes. These incorporate a process that is inclusive and ensures accessibility to all, including those with disabilities, persons who are deaf or blind and those with limited English proficiency. Public information messaging helps manage expectations throughout the recovery process and supports the development of local, state and tribal government communications plans. This ensures stakeholders have a clear understanding of available assistance and their roles and responsibilities; makes clear the actual pace, requirements and time needed to achieve recovery; and includes information and referral help lines and websites for recovery resources.

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6. UNITY OF EFFORT

A successful recovery process requires unity of effort, which respects the authority and expertise of each participating organization while coordinating support of common recovery objectives. Common objectives are built upon consensus and a transparent and inclusive planning process with clear metrics to measure progress.

7. TIMELINESS AND FLEXIBILITY

A successful recovery process upholds the value of timeliness and flexibility in coordinating and efficiently conducting recovery activities and delivering assistance. It also minimizes delays and loss of opportunities. The process strategically sequences recovery decisions and promotes coordination; addresses potential conflicts; builds confidence and ownership of the recovery process among all stakeholders; and ensures recovery plans, programs, policies and practices are adaptable to meet unforeseen, unmet and evolving recovery needs.

8. RESILIENCE AND SUSTAINABILITY

A successful recovery process promotes practices that minimize the community’s risk to all hazards and strengthens its ability to withstand and recover from future disasters, which constitutes a community’s resiliency. A successful recovery process engages in a rigorous assessment and understanding of risks and vulnerabilities that might endanger the community or pose additional recovery challenges. The process promotes implementation of the National Infrastructure Protection Plan (N I P P) risk management framework to enhance the resilience and protection of critical infrastructure against the effects of future disasters.

Resilience incorporates hazard mitigation strategies; critical infrastructure, environmental and cultural resource protection; and sustainability practices not only in reconstructing the built environment, such as housing and infrastructure, but also in revitalizing the economic, social, cultural and natural environments.

9. PSYCHOLOGICAL AND EMOTIONAL RECOVERY

A successful recovery process addresses the full range of psychological and emotional needs of the community as it recovers from the disaster through the provision of support, counseling, screening and treatment when needed. These needs range from helping individuals to handle the shock and stress associated with the disaster’s impact and recovery challenges, to addressing the potential and consequences of individuals harming themselves or others through substance, physical and emotional abuses resulting from the disaster.

Successful recovery acknowledges the linkages between the recovery of individuals, families and communities.

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CHAPTER 4: FEMA’S INCIDENT MANAGEMENT AND

SUPPORT TENETS

Tenets are the core beliefs that FEMA emergency managers hold to be true.

Tenets describe the core basis for action during response and recovery. They are consistent with and expand on the key principles articulated in the National Response Framework (NRF)—which apply to the Nation as a whole—by focusing on FEMA’s role as a partner and provider.

Tenets clearly guide the approach to any incident, regardless of size. These are enduring principles that frame the overall approach to conducting successful incident management and support operations and should be applied in virtually all circumstances. FEMA’s tenets are the principles that a Federal emergency manager can fall back on to guide his or her actions during any situation. By adhering to these tenets, the manager can better conduct response and recovery operations. These tenets are a step forward, providing clear imperatives for bold, coordinated action when providing support.

TENET 1: ENGAGE THE WHOLE COMMUNITY

Responding to emergencies, especially major disasters, involves multiple agencies, organizations, and individuals. Locally, successful response and recovery require the combined efforts of the whole community, including local and tribal governments, nonprofits, faith-based organizations, other nongovernmental organizations (NGOs), private businesses, and individuals.

Recovering successfully from a disaster depends upon the interaction of a wide range of public and private programs and initiatives, including good planning, local capacity, effective leadership and decision-making structures, and public confidence-building. Recovery will engage members of a community who are neither first responders nor emergency personnel, creating significant challenges for coordinating and managing effective response and recovery.

The same principle applies at the Federal level. The power of the Federal Government’s ability to assist State, local and tribal governments comes from combining the unique capabilities of all Federal departments and agencies—as well as the national private sector

FEMA Incident Management and Support Tenets

1. Engage the whole community.

2. Empower emergency managers to make decisions and take coordinated action.

3. Respond quickly with decisive initial actions.

4. Use outcome-based objectives.

5. Develop creative solutions and atypical resources.

Incident Management and Support Keystone 13 and NGOs— and bringing all of these capabilities to bear on the problem in a coordinated manner.

When an incident occurs that requires a Federal response, FEMA has two important roles:

1. FEMA applies its own resources. The following are examples:

• Incident Management Assistance Teams (IMATs), search and rescue teams, and Preliminary Damage Assessment (PDA) teams

• Caches of emergency commodities

• Response, recovery, and mitigation personnel

2. FEMA marshals and coordinates the entire Federal government’s response and recovery as follows:

• National-, regional-, and incident-level incident management and support, such as the following:

o Initial lifesaving/life-sustaining activities o Recovery and community support o Mitigation Assistance

• Coordination and administration of statutory FEMA programs and assistance, such as the following:

o Public Assistance o Individual Assistance o National Flood Insurance Program

Most Federal departments and agencies have unique capabilities, expertise, and relationships with public- and private-sector elements that are critically important to incident response efforts. In some cases Federal departments and agencies respond to incidents under their own statutory or executive authorities, rather than at FEMA’s request. When this happens, the activities of those Federal departments and agencies must ultimately be integrated into the overall Federal response and support process.

During incident response operations, FEMA also works to enable the private sector to provide goods and services to the community. The most effective way to care for survivors is to reestablish the systems (stores, utilities, health care) that survivors need to care for themselves. The private sector provides most of these systems before an incident and will ultimately provide

Whole Community

The term whole community—with regard to disaster resilience— refers to the sum of the people and the commercial, economic, governmental, infrastructure, and social systems that make up a jurisdiction.

Incident Management and Support Keystone 14 them again. When the private sector is operational, the community recovers more quickly by retaining jobs and a stable tax base. Accelerating the process of getting these private-sector elements back in business is a key emergency response priority. Assisting in this process is the American entrepreneurial spirit, which is an important asset in times of adversity. People want to help, and survivors themselves represent an important pool of support and expertise.

In catastrophes, engaging all normal emergency response and recovery resources is important, but it will not be enough. FEMA must work with Federal, State, local, and tribal governments, the private sector, nongovernmental organizations, and community partners to find innovative and atypical means to solve problems, and to obtain and apply resources that are not part of the normal process. Many of the most important needs are confronted during the initial hours of a response and are required by the populations most vulnerable in times of crisis.

Recovery is an opportunity for communities to rebuild in a manner that will reduce or eliminate risk from future incidents. Communities can incorporate stronger building codes, historic and cultural preservation measures, environmental planning and land-use ordinances. Vulnerable structures can be retrofitted, elevated, or removed from harm.

Community members, businesses, and local governments can incorporate risk reductions strategies into governance and local decision making.

Most Americans are steadfast and resilient in times of crisis and can be an immediate and valuable resource for incident managers. FEMA’s incident management and support operations should take that into account and empower survivors to participate in the response and recovery efforts.

TENET 2: EMPOWER EMERGENCY MANAGERS TO MAKE DECISIONS AND

TAKE COORDINATED ACTION

The coordinated actions of the entire response community—not the efforts of any single individual or organization, no matter how bold— determine the success or failure of response operations. Emergency managers at the incident must be empowered to make decisions and perform their roles independently.

Responding to disasters and emergencies is a complex process because the operational environment is inherently extraordinary. For incidents that are large enough to require Federal support, the problems are even more

Empower People to Make Decisions and Take Action

With clearly defined priorities and objectives, emergency managers should be empowered to make decisions and take actions. They should ask the following questions:

• Is it good for survivors?

• Is it legal and ethical?

• Is it something I am willing to be accountable for?

If the answer to these questions is “Yes,” action should be taken.

Incident Management and Support Keystone 15 complex. For such incidents, no single organization or individual possesses all the assets or answers. Instead, the combined efforts of all partners provide the power to address critical needs and allow for an effective response and recovery.

To empower emergency managers, leaders must build a foundation of trust across the whole community, provide a clear vision for the operation, and treat all stakeholders as valued members of the team. The experience, expertise, and judgment of emergency managers should be leveraged to help tackle complex situations.

Emergency managers must be comfortable with uncertainty, innovative in solving problems, and willing to make decisions with less-than-perfect information and insufficient time. Decisions can be made by considering what is legal, moral, and best for survivors.

FEMA’s role in response and recovery is unique. While other Federal departments and agencies may respond on their own and provide much-needed assistance, it is FEMA’s job to identify, acquire, and deploy the necessary assets from across the Federal Government.

FEMA must bring all of these Federal assets to bear on the situation quickly and effectively while ensuring that efforts are accomplished in coordination with State, local, and tribal officials and with private-sector and NGO response elements.

Unity of effort means coordinating activities to achieve common objectives regardless of whether the participants are from the same organization. FEMA response and recovery operations routinely involve multiple organizations at the local, regional, and national levels.

FEMA’s incident management and support operations can be effective only if they are implemented in a unified manner with our partners, to include Federal, State, local, tribal governments, the private sector, NGOs, communities, and individuals.

TENET 3: RESPOND QUICKLY WITH DECISIVE INITIAL ACTIONS

During a response to, and recovery from, any incident, the first decisions and actions that emergency managers and response personnel take set the stage for the success or failure of the response, and affect how costly and timely the recovery will be. Decisive effort must be exerted during the initial response.

Emergency managers must operate with a bias towards vital action and sometimes assume risk by making decisions in an environment of insufficient information. Emergency managers must constantly anticipate the worst-case scenario, determine which aspects of the incident are critical to success, and not hesitate to take action.

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Emergency managers often confront problems that offer few attractive options.

Speed, legality, cost, cultural sensitivities, ensuring the safety of and improving the lives of survivors—all are criteria that must be weighed. Speed and taking care of survivors are the most important criteria and should carry the heaviest weight in the decision-making process. A more deliberative decision-making process used in normal day-to-day operations may need to be put aside in order to save and sustain life and protect property. An imperfect action applied in time—and based on professional training, experience, and judgment—is better than a perfect solution applied too late.

Planning is a critical tool in reducing the amount of risk that is assumed during an initial response. It is also vital for integration, identification, and prioritization of key actions and projects in community recovery. Successful planning enhances emergency managers’ ability to make decisions by providing potential courses of action and other key information.

TENET 4: USE OUTCOME-BASED OBJECTIVES

Management by objective is a key characteristic of the National Incident Management System (NIMS). Clearly defined objectives that focus on outcomes—which measure change, rather than outputs (which measure numbers)—should drive all response activities. At every level of response, objectives focus actions toward achieving desired ends. This precept highlights the importance of having good objectives that enable responders to concentrate on the most important tasks and promote individual initiative and creativity.

Outcome-based objectives clarify what emergency managers need to accomplish by emphasizing the desired result rather than the method or intervening steps. An outcome-based objective would state, “Ensure that survivors have the basic commodities they need.”

A less effective, output-based objective would state, “Deliver 100 truckloads of bottled water.” Response actions must focus on outcomes in terms of saving and sustaining life while supporting community resilience.

“THINK SMART. . . THINK BIG. . .

GO BIG . . . GO FAST.”

FEMA personnel must focus on responding aggressively to every incident. We must do the following:

• Always plan to support the communities, irrespective of the limitations that may inhibit us prior to an incident.

• Quickly bring all possible resources to bear against the effects of an incident. In incident response, it is better to have and not want, than to want and not have.

• Focus on stabilizing the incident during initial response, since effective response and recovery systems cannot be established without the requisite security.

• Use experience, training, expertise, and judgment to make timely decisions when the necessary information is not available.

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Similarly, a critical component of recovery is the establishment of realistic metrics for tracking progress, ensuring accountability, and reinforcing realistic expectations among stakeholders.

Measuring and communicating the progress of recovery efforts increases public confidence in the recovery process by promoting transparency, accountability, and efficiency. It enables local leadership to identify ongoing recovery needs and engages partners in providing assistance and problem resolution. Recovery progress serves as a tracking mechanism for improving and adjusting recovery strategies and activities and ensuring continuing improvement.

Communities determine how to qualify and quantify their progress. They measure progress toward recovery holistically, recognizing that recovery outcomes and impacts are measured beyond a single criterion, such as dollars spent or assistance delivered on a program-by-program basis.

TENET 5: DEVELOP CREATIVE SOLUTIONS AND ATYPICAL RESOURCES

Response and recovery operations must be able to adapt and develop new systems and capabilities when existing capabilities are either destroyed or found to be inadequate to meet incident management and support requirements.

While hundreds of incidents occur each year, occasionally a disaster will strike that is of such proportions that it affects the entire Nation. Such catastrophes are characterized as follows:

• The effects of the incident overwhelm not only the standard governmental and economic processes but also the systems designed to operate during and in response to disasters.

• Requirements exceed available resources throughout the Nation.

• The incident otherwise profoundly affects the entire Nation. While all disasters are catastrophic to those whom they affect directly, some impact people across the country and may require response and recovery support from jurisdictions far beyond the borders of the affected State.

Outputs vs. Outcomes: An Example FEMA regularly provides massive amounts of commodities to the Agency’s partners as well as to survivors. However, success is not measured in the volume of commodities moved.

During a hurricane, FEMA could provide millions of liters of water to partners. If measured in output, the operation would be successful. However, if the water cannot be distributed due to environmental considerations, then the operation was still incomplete—when looked at in terms of outcomes (in this case, people having water).

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In such large-scale response and recovery operations, typical systems and resources may not offer the range of options needed to meet the requirements of survivors. Emergency managers may not be able to apply traditional solutions in ways that meet the requirements.

Innovative thinking will be of utmost importance to meet the needs of survivors in large-scale events.

For incidents that can be anticipated, pre-disaster preparedness, planning, mitigation, and efforts in building community capacity and resilience are the key. Identifying the breaking point of our current systems and resources and comparing them to the anticipated needs enables us to plan ways to bridge the gaps. Building or acquiring needed capabilities is best done before a specific threat is realized. These efforts result in a resilient community with an improved capacity to respond and recover from future disasters. Timely decisions in response to these impacts can significantly reduce the cost and time for recovery.

Effective response and recovery operations in catastrophes represent a significant departure from response activities during routine incidents. In the aftermath of a catastrophe, FEMA emergency managers may not be able to rely on processes and procedures that work effectively in other incidents. Emergency managers at all levels, including FEMA personnel, will need to deal with the reality that all normal resources will already have been exhausted or unavailable; and they will need to apply their best experience and knowledge to find innovative ways to anticipate and meet the lifesaving and life-sustaining needs of State, local and tribal governments. In terms of acquiring and applying resources, these officials will need to respond quickly with decisive initial actions.

Logistics, in terms of getting what is needed to those who need it when they need it, is always a key issue in effective response; however, logistics takes on a life-or-death dimension in catastrophes. In catastrophes, the effects of the incident may incapacitate or overwhelm State, local and tribal governments, the private sector, and NGOs. In such situations, FEMA personnel must be prepared to act beyond their normal roles and quickly assume the responsibilities of these organizations and perform them effectively and efficiently—until the organizations can resume operations. Leaders must be prepared for other challenges, including management of expectations and the inevitability of external criticism of response and recovery efforts.

Finally, a catastrophic disaster is an opportunity to build a stronger more resilient community that is cognizant of sustainable community principles. By understanding the cause of damages, communities are able to take action to ensure rebuilding will reduce impacts of disasters in the future.

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CHAPTER 5: FEMA INCIDENT MANAGEMENT AND

SUPPORT KEY CONCEPTS

FEMA Incident Management and Support Key Concepts

1. Incident Management and Support are Conducted in Accordance with the National Incident

Management System (NIMS).

2. Effective Preparedness Provides the Basis for Successful Incident Management and Support.

3. Incidents Are Categorized by Disaster Levels to Guide Deployment of Resources.

4. Incidents Should Be Managed at the Lowest Possible Operational Level.

5. Unity of Effort in Response Is Achieved Through Unified Command. Unity of Effort in Recovery is Achieved Through Unity of Purpose.

6. Disciplined Priorities Enable Meaningful Objectives.

7. Establishing a Secure Operating…