CHAPTER 3 BUILDING AN EFFECTIVE EMERGENCY MANAGEMENT ORGANIZATION This chapter describes the activities needed to build effective emergency management organizations, beginning with the fundamentals of running a local emergency management agency. The most important concept in this chapter is the development of a local emergency management committee (LEMC) that establishes horizontal linkages among a local jurisdiction’s government agencies, NGOs, and private sector organizations relevant to emergency management. In addition, an LEMC can provide vertical linkages downward to households and businesses and upward to state and federal agencies. Introduction To build an effective emergency management organization, it is necessary to understand the relationships among some of the stakeholders that are involved. As noted in Figure 2-1, local government has downward vertical linkages with households and businesses, upward vertical linkages with state and federal agencies, and horizontal linkages with social and economic influentials and hazards practitioners. However, it also is important to understand the horizontal and vertical linkages within local government. Specifically, local emergency management agencies (LEMAs) typically have horizontal linkages with personnel in police, fire, emergency medical services, public works, and emergency management/homeland security departments. At the municipal level, all of these departments report to (i.e., have a vertical linkage with) their jurisdiction’s chief administrative officer (CAO), such as a mayor or city manager, who has direct supervisory authority over them. The CAO is responsible for ensuring these departments perform their assigned duties within the requirements of the law and accomplish these functions within the time and funds allocated to them. Accordingly, the CAO has the authority to hire, fire, allocate funds, and evaluate performance—a relationship represented in Figure 3-1 as a solid line. However, the CAO typically is not an expert in public safety, emergency medicine, or emergency management and, therefore, cannot provide these departments with guidance on how to perform their missions most effectively. Thus, city and county agencies frequently have vertical linkages with corresponding agencies at the state (and sometimes federal) level that provide technical, and sometimes financial, assistance. Because agencies at higher (state and federal) levels of government lack the legal authority to compel performance by the corresponding agencies at lower (county and city) levels, their relationship is sometimes represented as a “dotted line” relationship in organizational charts (see Figure 3-1). In turn, the agencies at the state level report to the governor in a line relationship just as the agencies at the local level report to their jurisdictions’ CAOs. The relationships among agencies at the county level are somewhat more complex for jurisdictions in which agency heads are directly elected by the voters rather than appointed by the local CAO. County sheriffs, in particular, can be quite protective of their autonomy, so they can be characterized as having just as much of a “dotted line” relationship with the Chair of the County Board of Supervisors as with the state police. Although it is not shown in Figure 3-1, the hierarchical relationship between the local and state levels also extends to the federal level, with the corresponding agencies represented at each level. In addition, however, emergency management organizations have two other “dotted line” relationships that should be noted. First, local emergency managers often establish memoranda of agreement (MOA) with peer agencies in neighboring jurisdictions to provide personnel and material support during emergencies. Second, emergency management agencies have close relationships with Local Emergency Management 60 Committees (LEMCs), which is a generic term for formalized disaster planning networks that are used to increase coordination among emergency-relevant agencies within a given community. Figure 3-1. Relationships Among Local and State Agencies. State Governor State Highway Dept State Emer. Mgt. Agency State Police State Fire Marshal Chief Admin. Officer Local Public Works Local Emer. Mgt. Agency Local Police Local Fire Dept Some of these LEMCs are established by legal mandate, as is the case for those required by the Emergency Planning and Community Right to Know Act (also known as the Title III of the Superfund Amendments and Reauthorization Act of 1986—SARA Title III) to inform and prepare their communities for accidental releases of toxic chemicals. However, some emergency managers have established similar organizations without a specific legal mandate—calling them disaster preparedness committees, disaster planning committees, emergency management advisory committees, or some other similar name (Daines, 1991; Drabek, 1987, 1990). Some of these LEMCs have assumed responsibility for disaster recovery and hazard mitigation as well as preparedness and response, and some address all hazards to which their community is exposed, not just accidental releases of toxic chemicals. Although LEPCs established under SARA Title III are probably the most common of these emergency planning organizations and LEPCs have been the subject of more research than any other type of formalized planning network, the lessons learned from studies of LEPCs are likely to apply to all such organizations. Consequently, we will use the more generally applicable acronym LEMC throughout the remainder of this book. The Local Emergency Management Agency Similarly, the generic term we will use in this book to refer to the community agency that is responsible for emergency management is the Local Emergency Management Agency (LEMA). In practice, the LEMA might be known as the Office of Civil Defense, Emergency Management, Emergency Services, Homeland Security, some combination of these names, or yet some other name. Moreover, the LEMA might be a separate department, a section of another department, or an individual attached to the chief administrative officer’s office. In many cities and counties, especially those with small populations or limited hazard vulnerability, the LEMA is staffed by a single individual, whose title, like the name of the LEMA, varies. Consequently, we will refer to this individual as the local emergency manager. In larger jurisdictions—especially those that are exposed to major hazards—the local 61 emergency manager is likely to have multiperson staff. The emergency manager almost always reports directly to the jurisdiction’s CAO during emergencies, but frequently reports to the head of a major agency such as police or fire during normal operations. Local emergency managers vary in their employment status—full-time paid, part-time paid, or volunteer—again depending upon jurisdiction size (and, thus, its financial resources) and hazard vulnerability. In the past, local emergency managers have varied significantly in their training and experience, which frequently is associated with their jurisdictions’ resources and vulnerability; those jurisdictions that can afford to pay more tend to attract personnel with greater qualifications. Of course, this is not an invariant rule; there are many wellqualified and dedicated personnel in smaller jurisdictions. The Job Description A local emergency manager’s first task should be to understand the duties of his or her own position as defined by a job description (Federal Emergency Management Agency, 1983). To whom does the incumbent (the person who serves as the local emergency manager) report, who reports to the incumbent, what is the specific function of the position, what duties for the position are specifically listed in the job description, and what are the specific qualifications (education, training, and experience) that are listed in the job description? If there currently is no job description or the one that exists is outdated, the emergency manager should draft a new job description and discuss it with her or his superior. LEMA Staffing Many LEMAs have administrative (clerk, secretary, or administrative assistant) or professional (emergency management analyst) staff that are paid part- or full-time. Such personnel need to have job descriptions specifying their titles, reporting lines, functions, duties, and qualifications. These personnel support the LEMA by receiving and tracking correspondence, drafting plans and procedures, maintaining databases, scheduling meetings, maintaining meeting minutes, and the like. In many cases, a LEMA’s budget is too small to support enough paid staff to perform all of these activities. Consequently, volunteers are enlisted by contacting community service organizations, clubs, Boy and Girl Scout troops, and others. These volunteers can be a valuable source of assistance in achieving the LEMA’s goals by performing tasks that are delegated by the local emergency manager. Indeed, some volunteers have valuable skills (e.g., computing, radio communications) the emergency manager lacks. Each of the LEMA staff members should be given a clear description of his or her duties. In addition, most jurisdictions require paid staff to be provided with periodic (at least annual) performance appraisals. These appraisals allow employees to assess their performance over the previous year and to set training and performance objectives for the year to come. Although rarely mandatory, regularly scheduled performance reviews for volunteers are valuable in guiding their development and enhancing their performance effectiveness. A jurisdiction’s human resources department can provide valuable guidance on its personnel policies. LEMA Program Plan Emergency managers need to develop program plans that systematically direct their efforts over the course of the year. FEMA (1983, 1993) has advised emergency managers to set annual goals in each of the major programmatic areas for which they are responsible—such as hazard and vulnerability analysis, hazard mitigation, emergency preparedness, recovery preparedness, and community hazard education. Once these goals have been set, the local emergency manager should assess the LEMA’s ability to achieve these goals. This capability assessment is likely to identify satisfactory levels of capability in some areas but not in others. The emergency manager should document the capability 62 shortfall and devise a multiyear development plan to reduce that shortfall. The limited funds available for emergency management make it a certainty that the shortfall cannot be eliminated within a single year, so this is the reason why a multiyear (typically five year) development plan is needed. Despite its long planning horizon, the multiyear development plan should identify specific annual milestones (measurable objective indicators) to determine if progress is being made at a satisfactory rate. LEMA Budget Preparation An organization’s budget lists the categories of anticipated expenditures and the amount that has been allocated to each category. The budget usually covers the jurisdiction’s fiscal year, which is a 12 month period that might or might not be the same as the calendar year (from January 1 to December 31). The budget is a financial plan that identifies the amount of money that has been allocated to each of its budget categories. Typical budget categories include routine continuing items such as staff salaries, office space, office equipment (e.g., copiers, computers, fax machines), telephone (local and longdistance), travel, and materials and supplies (e.g., paper, toner). The budget should anticipate the need to replace worn out or obsolete equipment or to purchase new equipment that will increase the LEMA’s capabilities. The budget also should contain a contingency fund that addresses the costs of resources that will be expended in a foreseeable emergency. The challenge for the emergency manager is to ensure the expenses do not exceed the budgeted amount. This is not difficult to do for the routine continuing items because, for example, staff salaries, office space, and local telephone service are fixed and materials and supplies are quite predictable from month to month. Repairs to office equipment can be unpredictable, but this can be managed by signing a service contract that establishes a fixed fee for routine preventive and corrective maintenance. Longdistance telephone and travel for training are somewhat less predictable but are discretionary, so these activities can be reduced if the expenses for other categories prove to be greater than expected. The amount to set aside in the contingency fund for emergency response is more difficult to estimate because the scope of an emergency (or even whether one occurs) is unpredictable. Nonetheless, past agency records or discussions with emergency managers in neighboring jurisdictions can provide some insight into the appropriate amount to request. When preparing a budget, it is essential to justify each of the budget items. Once again, records of previous years’ expenses are useful guides, but it is important to make adjustments for inflation (consult the jurisdiction’s budget office for guidance on the amount they allow) as well as making adjustments for changes in the program plan. Has a new chemical facility been opened? Are there new subdivisions that have been built in flood prone areas? As new needs arise that cannot be addressed with the resources provided by previous budgets, the emergency manager needs to request funding increases that will meet the new program requirements. The nature of these needs is typically documented in a budget narrative that accompanies the budget request. The budget and the accompanying narrative are submitted in written form and, in many cases, are presented orally as well. In the latter case, the use of presentation graphics can be a valuable method of explaining how each of the budget items contributes to the achievement of the program plan. Whatever the amounts turn out to be for the budget categories, it is essential that the emergency manager submit the new year’s budget in the format that is being used by his or her jurisdiction. The local budget office will provide assistance in this area. LEMA Funding Sources The local emergency manager’s most obvious source of funding is the head of the department in which the LEMA is administratively located or, if the LEMA is an independent agency, the jurisdiction’s 63 CAO. It is important to recognize that other funding sources can provide valuable supplements as well. The federal government has a range of programs that provide financial assistance to local government. For example, Emergency Management Performance Grants require LEMAs to submit a statement of work and budget that makes the local jurisdiction eligible for matching funds (i.e., a 50/50 cost sharing). This program is administered through each state’s emergency management agency, which might impose its own requirements for funding. For example, Texas requires a LEMA to have an emergency management plan that meets a specified standard of quality and provides competitive awards based upon the quality of recent planning, training, and exercising activities. Continued financial support is contingent upon meeting performance and financial reporting requirements, as well as achieving the annual objectives specified in the initial proposal. Another example is the Hazardous Materials Assistance Program, which provides technical and financial assistance through the states to support oil and hazardous materials emergency planning and exercising. Applications are required to list the program objective, describe the means by which the objective will be achieved (including a list of specific activities and their duration) and the expected achievements of the project. LEMAs submit applications through their state emergency management agencies for review by the corresponding FEMA regional offices. There are also local sources that can be contacted for financial and in-kind assistance. Local industrial facilities such as nuclear power plants and chemical facilities might be contacted for financial contributions to defray the costs of emergency preparedness for their facilities. Truck and rail carriers might be contacted for training assistance. Commercial businesses such as large retail outlets might be able to provide in-kind contributions or make small financial contributions for community hazard awareness programs. LEMA Budget Management As the fiscal year progresses, expenses are automatically incurred for some items such as salaries, space, and local telephone use. Other expenses might require the emergency manager’s authorization (and possibly countersignature by a higher authority). These include purchase orders for equipment and supplies or travel vouchers for attendance at training courses or professional conferences. These records are forwarded to the jurisdiction’s accounting office where they are entered and charged against the appropriate accounts. In many jurisdictions, local emergency managers receive monthly program accounting, which refers to the recording of actual expenses and a comparison of these expenses to the corresponding budget amounts. A budget statement lists budget categories in rows and indicates, in one column, how much money was allocated to each category and, in another column, how much money has been spent to date in that category. If the budget was based upon accurate projections, monthly variances (deviations of actual expenditures from anticipated expenditures) will be small. If the monthly variances are large, corrective action will need to be taken. Unforeseen expenditures attributable to a major emergency often are the basis for a supplemental request to the LEMA’s parent department or directly to the CAO, but foreseeable items such as replacement of broken equipment are likely to receive an unfavorable review. Consequently, emergency managers must make mid-year adjustments in other categories. Unfortunately, training and travel are the categories that are commonly cut in such situations—which can produce a chronic training shortfall if budgeting problems are recurrent. Senior elected and appointed officials typically require periodic (e.g., monthly or quarterly) reports of progress on the program plan and budget. As is the case with the presentation of each year’s 64 budget, presentation graphics can be a valuable method of explaining which milestones in the program plan have been achieved and how this compares to the level of progress expected to date. In addition, the emergency manager should explain what percentage of each budget line has been expended to date in comparison to the percentage of the year that has elapsed. For example, the emergency manager should find it easy to explain why 0% of the budget for computer replacement has been expended in the first three months (25%) of the year. However, it probably would be more difficult to say why 40% of the budget for salaries had been expended in that same period. In either case, the source of the variances and the anticipated method of adjustment must be explained. Determinants of Emergency Management Effectiveness There has been a significant amount of research conducted over the past 30 years that identifies many conditions influencing the effectiveness of LEMAs. This research will be described in greater detail in the following pages, but it can be summarized by the model depicted in Figure 3-2. This figure indicates that LEMA effectiveness—measured by such organizational outcomes as the quality, timeliness, and cost of hazard adjustments adopted and implemented by the community—is the most direct result of individual outcomes and the planning process. Outcomes for the individual members of the LEMA and LEMC include job satisfaction, organizational commitment, individual effort and attendance, and organizational citizenship behaviors. The planning process includes staffing/equipping, organizational structuring, team climate development, situational analysis, and strategic choice. In turn, the planning process is determined by the level of community support from officials, news media, and the public. The planning process is also affected by hazard experience, as measured by direct experience with disasters and by vicarious experiences that reveal potential impact of future disasters. Hazard experience also appears to have an indirect effect on the planning process via its effects on community support. It is important to recognize that even though the model as depicted in Figure 3-2 is static—that is, the arrows begin on the left and end on the right hand side of the figure—the actual process is dynamic because success tends to be a self-amplifying process in which high levels of individual and organizational outcomes produce increased levels of vicarious experience with disaster demands (through emergency training, drills, and exercises), community support, better staffing and organization, and more emergency planning resources. Hazard Exposure/Community Vulnerability Many studies have found the level of community hazard adjustment is increased by experiencing disaster impact—especially catastrophic impacts. Frequent, recent, and severe impacts make the community’s vulnerability to hazards easier to remember and more likely to stimulate action. In some cases, this leads to the development of a disaster subculture in which community residents adopt routinized patterns of disaster behavior (Wenger, 1978). When disasters are infrequent, long-removed in time, or have had minimally disruptive impacts, hazard vulnerability is likely to elicit little attention from households, organizations, or the community as a whole. However, the community’s exposure to environmental hazards can be made salient by vicarious experience that is gained by reading or hearing about other communities’ experiences with disasters. These can be gained through newspaper articles or television accounts or, most powerfully, through first-person accounts—especially if they come from peers (Lindell, 1994a). For example, a local fire chief is most likely to be influenced by other fire chiefs’ accounts of their experiences, a city manager is most likely to be influenced by another city manager, and so on. 65 Figure 3-2. A Model of Local Emergency Management Effectiveness. Hazard exposure/ vulnerability Experience Hazard analyses Extra-community resources Professional associations Govt. agencies Regional and national resources Community support Officials News media Public Planning process Planning activities Team climate Situational analysis Strategic choices Individual outcomes Job satisfaction Organizational commitment Effort/attendance Organizational outcomes Product quality Product timeliness Product cost Community resources Staff Budget Staffing/organization Staffing levels Organizational structure Technology Hazard exposure can also be affected by salient cues such as the daily sight of the cooling towers of a nuclear power plant, the intricate maze of piping at a petrochemical plant, or the placards on railcars and trucks passing through town. Information from hazard and vulnerability analyses can also have an effect on the community, but this pallid statistical information is likely to have less of an effect than the vivid first-person accounts described above (Nisbett & Ross, 1980). As will be discussed in the next chapter, Risk Perception and Communication, the psychological impact of hazard/vulnerability analyses can be increased by linking data on hazard exposure to likely personal consequences. The importance of hazard exposure and vulnerability for emergency management is well supported by research. For example, Caplow, Bahr, and Chadwick (1984) found emergency management network effectiveness to be greater in communities with recent disaster experience or, for those without recent experience, if there was consensus about the most salient hazard. Moreover, Adams, Burns, and Handwerk (1994) found that one-third of inactive LEMCs in a nationwide survey blamed lack of hazard vulnerability for their lack of progress. This accusation is likely to have some validity because Kartez and Lindell (1990) found that a greater degree of experience with disaster demands such as issuing evacuation orders, searching for mutual aid resources and responding to mass casualties is associated with organizational outcomes such as an increase in the number of good emergency preparedness practices (e.g., establishing citizen emergency information hotlines, establishing equipment rate and use agreements with contractors). Specifically, they found cities that were high in experience adopted 1.5 more preparedness practices than those that were low in experience. Similarly, Lindell and Meier (1994) and Lindell and Whitney (1995) found a previous history of evacuations was positively related to emergency planning effectiveness. Moreover, Lindell, et al. (1996) also found that a recent history of emergencies—as well as the number of hazardous facilities—both had modest but statistically significant positive correlations with LEMC effectiveness. Community Support 66 Community support from senior elected and appointed officials, the news media, and the public is important because it affects the resources that are allocated to the LEMA and the LEMC. As noted earlier, many researchers have systematically documented what numerous emergency managers have personally experienced—emergency management is a low priority for the local elected and appointed officials who control budgets and staffing allocations (Labadie, 1984; Sutphen & Bott, 1990). As Kartez and Lindell (1990, p.13) quoted one police chief, My number one priority is getting the uniforms out in response to calls. The public judges me on that performance, not whether I’m planning for an earthquake that may never happen. If left alone, disaster planning would get even less attention from my office. It requires that the executive clearly make this a priority. The importance of community support for emergency management is supported by research. Adams and his colleagues (1994) found that two-thirds of the inactive LEMCs blamed community indifference and more than one-third blamed lack of funding for their lack of achievement. Other studies found community support (official resolutions, media coverage, and community group actions) was positively related to emergency planning effectiveness (Lindell & Meier, 1994; Lindell & Whitney, 1995; Lindell, et al, 1996). For example, community information requests, media coverage, local support, and the backing of local officials all were strongly and significantly correlated with LEMC effectiveness. Community Resources Differences among jurisdictions in the effectiveness of their LEMAs and LEMCs can be attributed partially to variation in their communities’ resources. Kartez (1992) found inconsistent evidence for effects of jurisdictional size, wealth, growth rate, employment, minority concentration, and industry concentration on compliance with SARA Title III mandates. However, Adams, et al. (1994) reported compliance was significantly correlated with jurisdiction size, median household income, and percent of urban population, The conflict between these two studies probably is attributable to the fact that Adams found the strongest effects in the smallest, poorest, and most rural jurisdictions, which were underrepresented in one of Kartez’s (1992) samples, and altogether absent from his other sample. Nonetheless, the community support variables had stronger correlations with LEMC effectiveness than did any of the community resources variables. Lindell, et al. (1996) reported that jurisdictions’ populations, budgets, police staffing, and fire staffing have statistically significant, but small, influences on LEMC effectiveness Extra-community Resources Lindell and Meier (1994) found that emergency planning resources obtained from outside the community (guidance manuals, training courses, and computer resources) were positively related to emergency planning effectiveness. Lindell and Whitney’s (1995) study replicated many of these findings, but also found that emergency planning effectiveness was correlated most highly with membership in a statewide LEPC Association, and with state emergency planning resources. Later, Lindell, et al. (1996) reported access to such emergency planning materials as computer software, federal agency technical reports, state emergency planning agency technical support, and Chemical Manufacturers Association materials had a statistically significant and moderately large correlation with LEMC effectiveness. Also, frequency of external contact with federal regional offices, state agencies, and other LEMCs was strongly related to success. Technical materials provided through vertical diffusion by federal agencies (DOT, EPA, and FEMA) also have a positive impact on LEMC effectiveness, as does horizontal diffusion of emergency preparedness practices and resources obtained from private industry and neighboring 67 jurisdictions. These resources can provide vicarious experience with disaster demands and demonstrate the effectiveness of specific innovations including plans, procedures and equipment (Kartez & Lindell, 1987). Staffing and Organization A number of studies have substantiated the impact of an LEMC’s staffing and organization on its effectiveness. For example, the International City Management Association (1981) identified a number of characteristics of effective emergency management organizations. These included defined roles for elected officials, a clear internal hierarchy, good interpersonal relationships, commitment to planning as a continuing activity, member and citizen motivation for involvement, coordination among participating agencies, and public/private cooperation. Caplow, et al. (1984) found emergency management network effectiveness was greater in communities with recent disaster experience or, for those without recent experience, if there was consensus about the most salient hazard. The more effective networks had members with more experience and a wider range of local contacts, had written plans and were familiar with them, had personal experience in managing routine natural hazards such as floods, and were more familiar with the policies and procedures of emergency-relevant state and federal agencies. Similarly, Lindell and Meier (1994) found the number of members, number of hours worked by paid staff, number of agencies represented on the LEMC, and organization into subcommittees were all positively related to emergency planning effectiveness. Lindell and Whitney (1995) found LEMC staffing and structure lacked a significant correlation with LEMC effectiveness, but was correlated with organizational climate, which did have a very strong impact on LEMC effectiveness. Lindell, et al. (1996) also found the total number of members and—more importantly—the average number of members attending meetings were significant. There also was a significant correlation between effectiveness and the number of agencies and organizations represented on the LEMC. Representation by elected officials and by citizens’ groups was the most important, whereas having representatives from the news media was least important for overall emergency planning effectiveness. Establishment of an organizational structure through subcommittees was significant, probably because this allows members to focus on specific tasks and thus avoid feeling overwhelmed by all the work that needs to be done. Planning Process The emergency planning process consists of five principal functions: planning activities, team climate development, situational analysis, resource acquisition, and strategic choice. Planning activities. Kartez and Lindell (1990) found superior planning practices involving key personnel from diverse departments in a participative and consensus-oriented process of horizontal integration—exemplified by such activities as interdepartmental task forces, interdepartmental training, and after-action critiques—had an even greater effect on the adoption of good emergency preparedness practices than did disaster experience. Specifically, cities that had a better planning process adopted 2.5 more preparedness practices than those that had a poorer planning process. Interestingly, as Table 3-1 indicates, planning activities such as interdepartmental training, reviews with senior officials, and establishment of interdepartmental task forces had especially strong effects on the adoption of good emergency preparedness practices. By contrast, more routine activities such as procedure updates, plan updates, and reviews of mutual aid agreements had small effects. 68 Table 3-1. Effects of Planning Activities on Good Emergency Preparedness Practices. Largest difference Smallest difference Interdepartmental training Reviews with senior officials Interdepartmental task force Community disaster assistance council After action critiques Exercises Vulnerability analyses Meetings with TV/radio managers Procedure updates Plan updates Review mutual aid agreements with neighboring cities Source: Adapted from Kartez and Lindell (1990) Characteristics of meetings are important influences on organizational effectiveness. These include meeting frequency, formalizing member orientation, formalizing meetings through regular scheduling, advance circulation of written agendas, keeping written minutes, and formalizing overall activities by setting and monitoring progress toward annual goals(Lindell & Meier, 1994; Lindell, et al., 1996). These results indicate the effectiveness of an LEMC and its subcommittees can be increased if they conduct frequent meetings that help them to maintain steady progress and this will work if these meetings are regularly scheduled far enough in advance for members to avoid conflicts with their own calendars. If possible, LEMC meetings should be scheduled monthly on the same day of the week and time of day. The agenda for each meeting should be distributed in advance and written minutes should be kept of each meeting. These findings are consistent with more recent research, which shows effectiveness in disaster response is significantly determined by agencies breadth of prior coordination and the depth (both frequency and intensity) of prior contact (Drabek, 2003). In addition, these findings are consistent with research conducted by Gillespie and his colleagues (Gillespie & Colignon, 1993; Gillespie, Colignon, Banerjee, Murty, & Rogge, 1993; Gillespie & Streeter, 1987). Specifically, these researchers documented a need to facilitate effective relations between organizations with full-time staff members and organizations with part-time staff and volunteers by scheduling meetings at times convenient for all staff (full-time, part-time, and voluntary). Such meetings should concentrate on common interests and be guided by agendas. Failure to meet these suggestions usually results in termination by neglect, not by direct confrontation over disparate values. Organizational climate development. Lindell and Whitney (1995) found emergency planning effectiveness was greatest in LEMCs that had positive organizational climates, which can be defined as “distinctive patterns of collective beliefs that are communicated to new group members through the socialization process and are further developed through members’ interaction with their physical and social environments” (Lindell & Brandt, 2000, p. 331). Organizational climate presumably affects LEMC effectiveness because it influences the degree to which members’ motivation is aroused, maintained, and directed toward group goals (Lindell & Whitney, 1995). Lindell and Brandt (2000) found that three dimensions of leadership climate (leader initiating structure, leader consideration, and leader communication), four dimensions of team climate (team coordination, team cohesion, team task orientation, and team pride), and one dimension of role climate (role clarity, but not role conflict or role overload) were strongly related to each other and can be defined as climate quality. Organizational climate is important because it is positively related to important 69 individual outcomes such as job satisfaction, organizational commitment, attendance, effort, turnover intentions, and organizational citizenship behaviors (performance beyond minimal requirements), as well as organizational outcomes such as product quality, timeliness, and cost. These latter variables were measured in the research studies by LEMC chair ratings and State Emergency Response Commission staff ratings of the organization’s performance. Climate quality is consistently related to support from elected officials—especially external guidance and recognition. Climate quality is also positively related to the organization of LEMCs into subcommittees, meeting formalization, and meeting frequency. However, climate quality is unrelated to LEMC size, which suggests that increasing the number of members can increase the range of knowledge and skills on the LEMC without impairing group performance. The research findings indicate that LEMC leaders can establish a positive leadership climate within the organization by being clear about what tasks are to be performed, as well as recognizing individual members’ strengths and weaknesses and being supportive of their needs. These two aspects of leader behavior, which are known as leader initiating structure and leader consideration, respectively, have long been recognized by organizational researchers (Stogdill, 1963). The importance of these dimensions in facilitating organizational effectiveness has been recently confirmed in LEMCs (Lindell & Brandt, 2000; Lindell & Whitney, 1995; Whitney & Lindell, 2000). In addition to a positive leadership climate, it also is important to foster a positive team climate. Specifically, team members must focus on the tasks to be performed rather than spending all of their time socializing (team task orientation). In addition, they must share information and coordinate individual efforts (team coordination). When these occur, members tend to trust each other and feel that they are included in all activities (cohesion), as well as believe their LEMC is one of the best (team pride). Moreover, LEMC leaders need to promote a positive role climate within the organization. Team members must understand what tasks are to be performed and how to perform them, which avoids the stress caused by role ambiguity. Leaders and members must agree on what tasks are to be performed, which avoids the stress caused by role conflict. Finally, members must have enough time to perform the tasks for which they are responsible, which avoids the stress caused by role overload (James & Sells, 1981; Jones & James, 1979). LEMC effectiveness is also enhanced when there is a positive job climate, which arises when members have enough independence to do their work however they choose as long as they deliver a quality product on time and within the resources available (personal autonomy). They also should be allowed to perform a “whole” piece of work that provides a meaningful contribution to the group product (task identity). Finally, members should be allowed to perform tasks that exercise a variety of significant skills (skill variety). The LEMC will function more effectively when it has a positive reward climate, which is characterized by members having opportunities to perform new and challenging tasks (member challenge), opportunities to work with other people (social contacts), and are told that other people appreciate their work (social recognition). When the leadership, team, role, job, and reward components of organizational climate are positive, there are positive outcomes at the individual and organizational levels. Specifically, there is higher member job satisfaction, attendance, effort, and citizenship behavior (working beyond minimum standards) and lower turnover intentions and actual turnover. These positive outcomes at the individual level also produce positive consequences at the organizational level in terms 70 of greater organizational stability (due to decreased turnover) and greater productivity (due to greater effort). Situational analysis. Although this is recognized as an important issue in the strategic management of organizations (Thompson & Strickland, 1996), there appears to have been little or no research on the degree to which situational analysis contributes to the effectiveness of LEMAs and LEMCs. Important components of situational analysis include hazard exposure analysis, physical vulnerability analysis, social vulnerability analysis, evaluation of hazard adjustments, and capability analysis. As Chapter 5 will describe more fully, hazard exposure analysis identifies the natural and technological hazards to which the community is exposed and assesses the specific locations that would be affected by different intensities of impact (e.g., 50- and 100-year flood plains, areas prone to liquefaction from earthquakes); such analyses are frequently documented by maps of geographical risk areas. Physical vulnerability analysis assesses the community’s structures (residential, commercial, and industrial buildings) and infrastructure (fuel, electric power, water, sewer, telecommunications, and transportation) in terms of their ability to withstand the environmental forces predicted by the hazard exposure analyses. By contrast, social vulnerability analysis assesses the community’s demographic segments and economic sectors to identify differences in hazard exposure, occupancy of physically vulnerable structures, utilization of physically vulnerable infrastructure, and limited resources (psychological, social, economic, and political) for recovering from disaster impact. The systematic evaluation of hazard adjustments examines alternative hazard adjustments (hazard mitigation, disaster preparedness, emergency response, and disaster recovery) to assess their ability to avoid hazard impacts such as casualties and damage, to limit these impacts when disaster strikes, and to recovery rapidly after disaster. The evaluation of hazard adjustments also examines their resource requirements in terms of the time, effort, money, and organizational cooperation needed to adopt and implement them. The final component of situational analysis, capability assessment, determines whether households, businesses, government agencies, and non-governmental organizations (NGOs) have the capacity (i.e., resources) and commitment (i.e., motivation) needed to adopt the available hazard adjustments. Resource acquisition. Resource acquisition refers to obtaining emergency planning staff, equipment, and information of many different types from a variety of sources. The principal source of emergency planning staff is the LEMA but, as will be discussed below, there are other local government agencies, private sector organizations, and NGOs that can be drawn upon to staff the LEMC. Similarly, the major type of emergency planning equipment—the microcomputer—is usually available at the LEMA but the types of high speed/high storage capacity computers needed for conducting hazard and vulnerability analyses are more frequently located and used in the Land Use Planning Department where Geographical Information Systems (GISs) are routinely used (Lindell, Sanderson & Hwang, 2002). The types of information include data about hazards and population segments at risk, as well as procedures for hazard/vulnerability analysis. Communities can obtain hazard data by accessing Web sites maintained by federal agencies such as the FEMA, USGS, and National Weather Service, as well as state hazard analysis web sites (Hwang, Sanderson & Lindell, 2002) or, for technological hazards, local industry (for fixed-site hazards) and rail or truck carriers (for transportation hazards). In addition, these organizations provide computer software, planning guidance manuals, and training courses that explain how to assess community vulnerability (e.g., FEMA’s HAZUS). 71 Strategic choice. Organizational scientists generally agree there is no single best way to organize and this proposition has been supported by Drabek’s (1987, 1990) findings of significant variation in the strategies and structures utilized by individual emergency managers. Some successful emergency managers enthusiastically endorse strategies that are explicitly rejected by other equally successful managers. Further support for the contingency principle of organization is provided by Mulford, Klonglan, and Kopachevsky’s (1973) finding that strategy adoption was dependent upon contextual conditions in the community. Nonetheless, the available research indicates there are some structures and strategies that are likely to significantly improve the success of all LEMCs regardless of context—and especially without significant expense. Although this might seem surprising, it is consistent with previous studies showing that external constraints can be circumvented to some extent by a superior planning process that enhances horizontal linkages among agencies within a jurisdiction and with adjacent jurisdictions, downward vertical linkages to households and businesses, and upward vertical linkages to state and federal agencies (Kartez & Lindell, 1987, 1990). Indeed, it is precisely the purpose of an LEMC to establish this planning process. As Drabek (1987, 1990, 2003) has observed, disaster researchers have long been interested in the intergovernmental structures and interpersonal strategies adopted by emergency managers. For example, a multiyear research project conducted at Iowa State University found that communities in which local Civil Defense Directors had developed systemic linkages among local groups tended to be the most effective in achieving community preparedness (Klonglan, Beal, Bohlen, & Schafer, 1967). These findings were elaborated by Mulford, Klonglan, and Tweed (1973), who noted the importance of local emergency managers’ horizontal linkages with their colleagues in similar organizations throughout their states, and also their vertical linkages with local elected officials. Mulford, et al. (1973) identified six strategies used by effective emergency managers. These include a resource building strategy, which emphasizes the acquisition of human, technical, and capital resources needed for effective agency performance, and an emergency resource strategy, defined by securing the participation of emergency-relevant organizations in emergency planning and response. The elite representation strategy involves the placement of members of the focal organization (in this case, the LEMA) in positions or situations where it is possible to interact with influential members of other emergency-relevant organizations, and the constituency strategy consists of the establishment of a symbiotic relationship between two organizations whereby both benefit from cooperation. The cooptation strategy consists of absorbing key personnel, especially those from other organizations, into the focal organization’s formal structure as directors or advisors, while the audience strategy focuses upon educating community organizations and the public at large about the importance of community emergency preparedness. Mulford, Klonglan, and Kopachevsky (1973) noted strategy adoption was contingent upon environmental (jurisdictional size), organizational (funding level) and personal (Civil Defense Director training) characteristics. Some particularly important areas on which interorganizational coordination has focused include increased involvement of private organizations, local public services, elected officials and community leaders, and greater efforts to acquire external funding. (Klonglan, Mulford & Hay, 1973). Research conducted at the Disaster Research Center during the same time period found disaster planning requires emergency response organizations to recognize the ways in which community-wide disasters differ from routine emergencies that can be handled by a single agency (Dynes, Quarantelli, & Kreps, 1972). In addition, they encouraged local disaster planners to foster significant predisaster 72 relationships among organizations that must respond to a disaster (Anderson, 1969b). Dynes and Quarantelli (1975) described differences in interorganizational orientation in terms of nine models including the maintenance (acquiring and maintaining human, material, and financial resources), disaster expert (developing knowledge and skill about hazard agents such as hurricanes and hazardous materials), and abstract planner (construction of contingency plans derived from generic planning principles) models. Other models include the military (developing a well-defined hierarchical organization), administrative staff (developing managerial knowledge and skill), and disaster simulation (focusing on the rehearsal of disaster plans through drills and exercises) models. Finally, there are the derived political power (acting as the representative of the jurisdiction’s CAO), interpersonal broker (establishing contacts among emergency-relevant organizations), and community educator (overcoming community indifference through hazard awareness programs) models. Table 3-2 summarizes the research on emergency managers’ strategies in the following way. The first category of strategies is defined by LEMA organizational development, which involves the military and administrative staff models to address the development of clear roles and lines of authority, while the abstract planner model emphasizes the development of coordinated emergency response plans, and the disaster simulation model supports the importance of emergency exercises to test the organizational forms that have been developed. Another strategy involves the resource building strategy and the maintenance model to ensure the acquisition of resources—such as personnel, facilities (e.g., normal office space and emergency response facilities such as EOCs), equipment, materials and supplies, and especially money from local government funding— that will positively affect LEMA effectiveness. Moreover, analysis of the physical environment encompasses the disaster expert model, according to which success will be influenced by interagency coordination in the assessment hazard vulnerability and community resources. Finally, Table 3-2 makes it clear that most of the strategies emphasize management of the social environment. According to the researchers at Iowa State University and the Disaster Research Center, development of an LEMC is facilitated by securing the legitimacy from the CAO (derived political power model), establishing the collaboration among emergency-relevant organizations (emergency resource strategy and interpersonal broker model), and placing LEMA staff in positions to influence important others (the constituency, elite representation, and cooptation strategies). Finally, influence is magnified by engaging in outreach to community groups and news media (the audience strategy and community educator model). Table 3-2. Emergency Management Development Strategies. Strategy Type Iowa State University Organizational development Resource acquisition Physical environment analysis and management Social environment analysis and management Resource building Emergency resource Elite representation Constituency Cooptation Audience 73 Disaster Research Center Administrative staff Military Abstract planner Disaster simulation Maintenance Disaster expert Derived political power Interpersonal broker Community educator More recent studies have examined these ideas in further detail by studying the ways in which local emergency managers implement these strategies. Drabek (1987, 1990) integrated the findings of previous disaster researchers with theoretical principles derived from the broader organizational literature (e.g., Pennings, 1981; Osborne & Plastrik, 1998) to identify strategies and structures used by successful managers. Similarly, Gillespie and his colleagues (Gillespie & Colignon, 1993; Gillespie, et al., 1993; Gillespie & Streeter, 1987) conducted an intensive study of a single disaster preparedness network that had not coalesced into a formally designated LEMC. In addition, Lindell and his colleagues (Lindell, 1994b; Lindell & Brandt, 2000; Lindell & Meier, 1994; Lindell & Whitney, 1995; Lindell, et al., 1996a, 1996b; Whitney & Lindell, 2000) reported a series of studies conducted on nearly 300 LEMCs in three Midwestern states. Drabek (1987, 1990) found the most effective of the local emergency managers he interviewed emphasized the development of constituency support by actively trying to increase the resource base of all local agencies—not just their own. To do this, they relied on committees and joint ventures to involve other community organizations. Consistent with the organizational development strategy, some of them attempted to manage conflict over controversial issues before they got out of control. In particular, they achieved more consensus with other community agencies on the mission of the LEMA. In a variation on the disaster expert strategy, some of them brought in outside experts. Drabek found that local emergency managers’ reliance on these strategies varied with community size. Successful directors in small communities used them less frequently than successful directors in large communities but more frequently than unsuccessful directors in either small or large communities. Successful directors had more frequent contacts and more formalized interagency agreements such as MOAs. Although all successful emergency managers gave considerable emphasis to coordination with other emergency-relevant agencies, they tended to give less emphasis to local businesses and (except in the smallest communities) to elected officials. In the studies conducted by Gillespie and his colleagues (Gillespie & Colignon, 1993; Gillespie, et al., 1993; Gillespie & Streeter, 1987), the researchers found a large proportion of the organizations relevant to disaster response were not linked to the preparedness network—which indicates some deficiencies in the local emergency managers’ strategies for social environment analysis and management. Gillespie and his colleagues expanded the utility of the research on social management strategies by noting interorganizational linkages consist of informal contacts, verbal agreements, and written agreements. In addition, they emphasized that the existence (or even the frequency) of interorganizational contacts does not measure the importance of the relationship (i.e., that needed information, services, or resources have been established or transferred). This argument points to a logical connection between social environment analysis/management and resource acquisition. That is, the low priority given to local emergency management often makes it impossible for LEMAs to purchase needed resources outright. Consequently, local emergency managers must build capacity by collaborating with other organizations that do have those resources or that have the influence to obtain the funding that will allow them to make those purchases. Of course, organizations are more likely to collaborate with the LEMA if there are compelling reasons for them to do so. Consistent with this notion, Gillespie and his colleagues found interorganizational linkages were initiated by awareness of potential disaster demands and by recognized needs for avoiding gaps in services or duplication of effort. Other reasons for collaboration included ensuring timely access to information, services, or resources; development of internal organizational 74 response capability; and development of political influence to enhance organizational autonomy, security, and prestige. Gillespie and his colleagues also found interorganizational linkages are developed through active and personable individuals, but pre-existing personal and professional contacts are important, as well as routine interagency and interjurisdictional meetings, drills, and exercises. However, these linkages are impeded by geographical distance, lack of funds, lack of staff, incompatible professional perspectives and terminology, lack of trust in an organization or its representative, overconfidence in one’s own capability, and unequal rewards and costs of participation for those in different organizations. Individual Outcomes As noted earlier, individual outcomes include job satisfaction, organizational commitment, attachment behaviors (effort, attendance, and continued membership), and organizational citizenship behaviors. Some of these variables were studied by Whitney and Lindell (2000), who noted that research on motivational factors involved in staffing voluntary community organizations suggests people participate in these organizations when they perceive social and environmental problems within a community to which they are attached and find organizations they expect to be successful in mitigating these problems (Chavis & Wandersman, 1990; Florin & Wandersman, 1984). Such studies have found that participation in community groups is significantly related to three types of benefits (personal, social, and purposive) and their corresponding costs (Prestby, et al., 1990). Moreover, members’ sense of individual and collective self-efficacy, and thus their motivation to participate, is enhanced when these organizations are empowered by successfully influencing actions taken by the community. Other research has found that people often join and remain in a voluntary organization because they are attracted to its activities, and that volunteers are more likely than paid workers to have high intrinsic satisfaction (Pearce, 1983). These findings indicate volunteers’ experiences may differ from those of their compensated counterparts and suggests it is important to examine members’ organizational commitment. Porter, Steers, Mowday, and Boulian defined this construct as “the strength of an individual’s identification with and involvement in a particular organization” (1974, p. 604) and characterized it as including: a) strong belief in, and acceptance of, the organization’s goals and values, b) willingness to exert considerable effort on behalf of the organization, and c) strong desire to maintain organizational membership. Meyer and Allen (1984) noted research on organizational commitment has examined two different types of commitment: affective and continuance. Affective commitment, which is seen in terms of an emotional orientation to the organization, is likely to be expressed in high levels of employee performance (Meyer, et al., 1989). By contrast, continuance commitment is conceptualized as an accumulation of “side bets”, which are anything of value individuals have invested in an organization that would be lost if they were to leave. Continuance commitment motivates employees to remain in the job but fails to elicit performance beyond minimum requirements. Organizational commitment is important in understanding LEMC effectiveness because it has been found to predict a variety of participation behaviors. In an analysis of over 200 articles pertaining to organizational commitment, Mathieu and Zajac (1990) concluded that organizational commitment has a weak but positive correlation with attendance, but it has very strong negative correlations with two turnover-related intentions: to search for job alternatives and to leave one’s job. Whitney and Lindell (2000) discovered LEMC members’ attachment behaviors (attendance, effort, and continued membership in the organization) were positively related to their affective commitment but not their continuance commitment. In turn, affective commitment was significantly 75 influenced by effective LEMC leadership (the ability to structure team tasks, communicate clearly, and show consideration for team members) and the LEMC members’ job related self-efficacy (perceptions of their own competence) and role clarity (clear sense of direction in which to allocate one’s efforts). Other factors affecting commitment included members’ identification with an LEMC’s goals (perceived hazard vulnerability and perceived effectiveness of emergency planning) and perceived opportunity for reward (public recognition and personal skill development). The negative findings regarding continuance commitment do not mean that this variable is altogether irrelevant because the study assessed members’ commitment to the LEMC (which lacks the tangible rewards used to secure compliance commitment), not to their normal jobs (which can provide such rewards). Based on the research reviewed by Mathieu and Zajac (1990), one should expect compliance commitment to significantly predict performance on these other jobs. Organizational Outcomes Organizational outcomes such as the quality, timeliness, and cost of plans and procedures are the most direct results of individual outcomes and the planning process but there also are intermediate results that are indicative of organizational effectiveness. These include the production of hazard and vulnerability analyses, public information briefings, brochures, and Web sites. Lindell and Whitney (1995) and Lindell and Meier (1994) examined different indexes of LEMC effectiveness—chair judgments of effectiveness on six planning activities and submission of completed plans to the State Emergency Response Commission—and found these were significantly correlated, but nonetheless distinct. Later, Lindell, et al. (1996) examined LEMC effectiveness in terms of four criteria: chairs’ judgments of their LEMC’s quality of performance on 13 emergency planning activities, the percentage of vulnerable zones computed, the number of talks given by the LEMC to community groups, and whether the LEMC had conducted an emergency exercise. This study also found the level of LEMC performance varied significantly from one activity to another. Specifically, LEMCs were generally effective in collecting and filing hazard data, inventorying local emergency response resources, acquiring emergency communications equipment, and developing training for local emergency responders. By contrast, LEMCs were relatively ineffective in developing protective action guides, analyzing air infiltration rates for local structures, analyzing evacuation times for vulnerable areas, and promoting community toxic chemical hazard awareness. There are significant correlations between organizational and individual outcomes (Lindell & Brandt, 2000). This suggests increasing members’ job satisfaction, effort, attendance, and citizenship behaviors and reducing their turnover intentions will improve the organization’s performance. In addition, organizational outcomes had significant correlations with external contextual variables (such as community resources, emergency experience, and elected official support) and internal structural variables (such as LEMC size, subcommittee structure, meeting formalization, meeting frequency, role formalization, and computer technology). Finally, the organizational outcomes had significant correlations with organizational climate variables (such as leader, team, role, job, and reward characteristics). All of these correlations identify ways in which emergency managers can work with LEMC members to improve organizational performance. In particular, emergency managers’ knowledge of these relationships can serve as a basis for expert power in persuading other LEMC members to change the conditions within the organization. 76 LEMC Activities The previous section has described the factors that influence emergency planning effectiveness and later chapters will provide recommendations for the content of Emergency Operations Plans, Recovery Operations Plans, and Hazard Mitigation Plans as described by sources such as the Federal Emergency Management Agency (1996b), Foster (1980), Daines (1991), Lindell and Perry (1992), and Schwab, et al. (1998). However, there is an important intermediate step that needs to be addresses—the process of plan development as it has been recommended by Daines (1991), Federal Emergency Management Agency (1996b), and Schwab, et al. (1998). The development of an emergency plan is a multistage process that encompasses nine steps. First, the local emergency manager establishes a preliminary planning schedule. Second, the CAO publishes a planning directive. Third, the local emergency manager facilitates the organization of the LEMC. Fourth, the local emergency manager works with LEMC members to assess disaster demands and capabilities. This leads to a designation of the organizations responsible for each component of the Emergency Operations Plan, Recovery Operations Plan, and Hazard Mitigation Plan and finalization of the schedule for plan completion. Fifth, LEMC members write the components of these plans. Sixth, LEMC members evaluate and revise the draft plans. Seventh, the local emergency manager distributes the draft plans to collaborating organizations and other jurisdictions for community review. Last, after the collaborating organizations and other jurisdictions have commented on the draft plans, the LEMC revises them and publishes them in final form. Each of these steps is addressed in more detail below. Establish a Preliminary Planning Schedule Table 3-3 shows an example of how the emergency manager should identify the principal tasks to be performed and the expected amount of time required to perform them. An experienced emergency manager will be able to generate accurate time estimates, but the LEMC members will need to review and approve them at a later date to confirm that the deadline for publication of the final plans is feasible. Table 3-3. Sample Preliminary Planning Schedule Time (months) Organize the LEMC Assign responsibility for plan components Assess response requirements and capabilities Finalize planning schedule Write plan components Evaluate/revise the draft plan Obtain community review Revise/publish the final plan 0 2 4 6 [--] [-----] [-----] [--] [-----------------------] 8 10 12 [---------] [--------] [----------] Disseminate a Planning Directive Local emergency managers coordinate rather than direct the efforts of other agencies, so they need some power base other than rewards and punishments to elicit cooperation. As noted in Chapter 2, French and Raven (1958; Raven, 1965) contend there are four bases of power in addition to reward and coercive power that can be used in organizations. These other bases of power are information, expert, referent, and legitimate power. Quite obviously, reward and coercive power refer to the ability to provide incentives for compliance and punishments for lack of compliance. Information power refers to specialized knowledge of the state of the social or physical environment, whereas expert power refers to 77 specialized knowledge about the dynamics of the social or physical environment (and, thus an ability to predict—and perhaps control—elements of those environments). Referent power refers to influence that is determined by another’s liking or admiration for an individual and legitimate power is conferred when people believe that an individual has the right to expect compliance with his or her requests. Publication of a planning directive signed by the CAO confers legitimate power upon a local emergency manager by indicating that specific areas of authority have been delegated. This planning directive should be a written document that formalizes the CAO’s specific expectations about the emergency planning process. Thus, the planning directive should contain three sections, the first of which should state the purpose of the planning process, the legal authority under which it is being conducted, and the specific objectives that the planning process is expected to achieve. Second, the planning directive should describe the concept of the planning process, including a general description of the LEMC organization, the organizations that are expected to participate in plan development, and the local emergency manager’s authority as the CAO’s representative in this area. Last, the planning directive should address the procedure for plan approval and the anticipated deadline for publication of the final plan. Even though the planning directive is signed by the CAO, it is often drafted by the emergency manager. Organize the LEMC The emergency manager should request a representative from each of the governmental agencies, NGOs, and private sector organizations that have been designated in the planning directive as having significant emergency response capabilities or hazard vulnerabilities. The enumeration of all relevant organizations in the planning directive is especially important because public safety agencies such as police and fire are likely to participate in any event, but other local organizations are likely to participate only if directed by the CAO (Kartez & Lindell, 1990). A typical list of such organizations can be found in Table 3-4. Table 3-4. Organizations Typically Participating in LEMCs. Fire Police Emergency medical services Public works Land use planning Building construction Chief Administrative Officer’s office Public health Local elected officials Local utilities (gas, electric power, telephone) Red Cross Hospitals Nursing homes Schools News media Environmental groups Local industry Labor unions Members of these organizations should work part-time (a few hours a month) for the LEMC while continuing their jobs in their normal organizations. Once the LEMC has been established, the emergency manager should work with the members to select officers such as a Chair, Vice-Chair, Information Coordinator, and subcommittee chairs. As with other organizations, the Chair presides over meetings and represents the organization to senior elected and appointed government officials, the heads of private sector organizations within the jurisdiction, the news media, and the public. In addition, the LEMC Chair represents the LEMC to other jurisdictions and to state and federal agencies. The ViceChair performs these duties when the Chair is absent, but the Vice-Chair’s primary role is to take a more active role in the management of the internal affairs of the LEMC. The Secretary serves in a role that is 78 not a clerical position but is instead responsible for ensuring meetings are scheduled and written minutes of the meeting are recorded. In addition, the Secretary is the principal point of contact for information about hazards and vulnerability, the planning process, and planning products. The Information Coordinator might even be the person who is responsible for monitoring the LEMC’s budget. LEMCs tend to be more effective when members are assigned to specific activities rather than having everyone contribute to all tasks. Thus all LEMCs should have subcommittees, but each one should determine for itself what is the most appropriate division of labor for its own situation. Most communities are likely to find it useful to have a Hazard/Vulnerability Analysis committee; a Planning, Training, and Exercising committee; a Recovery and Mitigation committee; a Public Education and Outreach committee; and an Executive committee. The Hazard/Vulnerability Analysis committee is responsible for identifying the hazards to which the community is exposed and the vulnerability of residential, commercial, and industrial structures and infrastructure (fuel, electric power, water, sewer, telecommunications, and transportation) to these hazards. In addition, the Hazard/Vulnerability Analysis committee should also identify any secondary hazards that could be caused by a primary disaster impact. These secondary hazards would include, for example, earthquake-initiated hazardous materials releases from chemical facilities and earthquakeinitiated dam failures that cause flooding in low-lying areas. The Hazard/Vulnerability Analysis committee also should identify the locations of facilities such as schools, hospitals, nursing homes, and jails whose populations are vulnerable because of the limited mobility of their resident populations, as well as the locations of other facilities with vulnerable non-resident populations. A sample of such facilities is listed in Table 6-1. The initial task of the Planning, Training, and Exercising committee is to write the Emergency Operations Plan (EOP). This committee should also coordinate the identification of facilities and equipment that are needed for disaster response. A major focus here will be on a jurisdictional emergency operations center (EOC). In addition, the Planning, Training, and Exercising committee should develop a training program to enhance emergency responders’ capabilities. The Planning, Training, and Exercising committee only needs to develop training materials for disaster-related tasks that are not performed during normal operations or routine emergencies (both of which are addressed in departmental training). That is, they must develop training that provides an overview of disaster response and also enhances skills required for tasks that are infrequently performed, difficult, and critical to the success of the emergency response organization. They can either develop the necessary training materials for themselves or obtain them from other sources. Finally, the Planning, Training, and Exercising committee must test the implementability of the plan through drills and exercises. To accomplish these tasks, the Planning, Training, and Exercising committee should recruit representatives from the primary emergency response and public health agencies. The Recovery and Mitigation committee has the responsibility for developing a preimpact recovery plan that will facilitate a rapid restoration of the community to normal functioning after disaster. Recovery planning is often erroneously thought of as an activity that can be postponed until after a disaster strikes, but practitioners have argued that there are many recovery tasks that can (and should) be addressed during preimpact planning (Schwab, et al., 1998) and this contention has been supported by recent research (Wu & Lindell, 2004). In addition, the Recovery and Mitigation committee is responsible for identifying mitigation projects that will reduce the community’s vulnerability to environmental hazards. Some mitigation projects can probably be implemented before a disaster occurs, but others will 79 need to be planned for implementation in conjunction with disaster recovery. To accomplish these functions, the Recovery and Mitigation committee should have representatives from public works, community development, land use planning, and building construction agencies. The Public Education and Outreach committee is responsible for risk communication with the news media and the public. Thus, its members should summarize the findings of the Hazard/Vulnerability Analysis committee that identify the community’s principal hazards and its most vulnerable locations and demographic groups. The Public Education and Outreach committee should also develop a description of the activities of the Planning, Training and Exercising committee and an explanation of how these will provide a capability for prompt and effective emergency response to the community’s hazards. Finally, the Public Education and Outreach committee should describe the activities of the Recovery and Mitigation Committee and an explanation of how these will provide a capability for prompt and effective emergency recovery from a disaster. Public Education and Outreach committee members should use this information about the community’s hazards and the hazard adjustments (preparedness, response, recovery, and mitigation) that will protect the community to construct nontechnical summaries that can be understood by households and businesses throughout the community. The Public Education and Outreach committee should develop slides or other graphic presentations to support talks to community groups, as well as brochures to be distributed to households and businesses. The Executive committee is responsible for ensuring the LEMC sets specific, achievable objectives each year and accomplishes those objectives through an efficient expenditure of resources. Accordingly, the Executive committee will consist of the LEMC’s principal officers—Chair, Vice-Chair, Secretary, and subcommittee chairs. In addition to planning, organizing, directing, and monitoring the internal activities of the LEMC, the Executive committee needs to obtain the resources—especially the funds—to support the LEMC’s activities. Although most of the work of the LEMC is performed by personnel who are already being paid through their primary work organizations, there often are additional expenses for acquiring computer hardware and software, training materials, and travel for outside training. In addition, there are likely to be expenses for producing and printing public education brochures and other such materials. Sometimes government agencies or private organizations participating in the LEMC are willing to pay for some of these expenses from their budgets, but many times other sources of revenue such as filing fees from hazardous materials facilities are needed. A critical step in the process of organizing the LEMC is to conduct a planning orientation so the members of the LEMC will develop a common understanding of the process. In preparation for the planning orientation, local emergency managers should anticipate two very important obstacles to emergency planning (Daines, 1991). First, they should recognize that planning agencies lack emergency response experience. Second, they should be aware that emergency response agencies often lack disaster planning experience because they tend to rely on standard operating procedures and improvisation for minor emergencies. In addition, few—if any—LEMC members are likely to be aware of the planning resources available from state and federal agencies, as well as from other sources. Thus, the local emergency manager should introduce LEMC members to the basic tenets of the state’s Emergency Operations Plan, Disaster Recovery Plan, and Hazard Mitigation Plan, as well as provide copies of the state’s planning guidance in each of these areas. Similarly, the emergency manager should introduce LEMC members to the basic tenets of the National Response Plan, as well FEMA response, recovery, and mitigation programs and planning guidance. 80 Assess Response Requirements and Capabilities Before beginning to write the EOP, Recovery Operations Plan, or Hazard Mitigation Plan, LEMC members need to identify the functions that need to be performed in a community-wide emergency. Information about the likely impact locations as well as the impact scope (area affected) and intensity will be produced by the hazard/vulnerability analyses. These analyses will also identify the residential, commercial, and industrial activities in the exposed locations, as well as locations that could produce secondary hazards (e.g., dam failures or chemical releases) or that have especially vulnerable populations (e.g., schools, hospital, nursing homes, jails). In addition, this assessment of response requirements needs to address the likely responses of households and businesses in disaster. As will be discussed in Chapter 8, there are widespread misconceptions—frequently labeled disaster myths—about the ways in which people respond to disasters. Though there is some small kernel of truth in these beliefs, the incidence of individually and socially maladaptive behavior is substantially exaggerated. According to Dynes (1972), households and businesses are the foundation of community emergency response and these organizations respond • • • • In their normal forms to perform their normal tasks (existing organizations), In their normal forms to perform new tasks (extending organizations), In new forms to perform their normal tasks (expanding organizations), or In new forms to perform new tasks (emerging organizations). In addition, community organizations link to form emergent multiorganizational networks (EMONs, Drabek, et al., 1981). Thus, the mission of the LEMC can be conceived as one of developing a planned multiorganizational network that can be adapted as needed to the demands of each incident involving emergency response and disaster recovery. In addition, representatives of the different agencies may have misconceptions about the capabilities of other agencies within their jurisdiction or of agencies at other levels (e.g., state and federal) of government. Consequently, the emergency manager needs to assist the LEMC in addressing these issues systematically so plans will be based upon realistic assumptions about what needs to be done and who will be able to do it (Dynes, et al., 1972). Write Plan Components As the previous discussion indicates, there will be three plans, the EOP, the Recovery Operations Plan, and the Hazard Mitigation Plan The emergency manager should work with the cognizant committees (especially the Planning, Training, and Exercising Committee and the Recovery and Mitigation Committee) to ensure they have the appropriate persons to draft the components (basic plan, annexes, and appendixes) of each plan. In addition, the emergency manager should provide guidance regarding the structure and content of the plans, as well as resources that committee members can use as they write the plan components. The Federal Emergency Management Agency’s (1996b) Guide for AllHazard Emergency Operations Planning is a useful source for the EOP (see also National Response Team, 1987, for hazardous materials planning and US Nuclear Regulatory Commission, 1980, for nuclear emergency planning) and Schwab, et al. (1998) provide guidance for the development of the Recovery Operations Plan, especially the integration of hazard mitigation into disaster recovery. In most cases, the emergency manager will draft the basic plan and the representatives of each organization will draft the annexes that pertain to their agencies. For example, the police will draft the EOP annex on law enforcement, whereas the land use planning department should write the Recovery Operations Plan annex on temporary housing. Each of the relevant committees—especially the Planning, 81 Training and Exercising Committee and the Recovery and Mitigation Committee, and the LEMC as a whole—should set performance goals collaboratively to ensure that all members are committed to them. These goals should be challenging enough to motivate high levels of performance and should be specific enough that people can determine whether they are making progress in achieving the goals. Goal achievement should be formally evaluated regularly to determine if the planning schedule is being met and achievements should be discussed annually with the jurisdiction’s CAO. Evaluate/Revise the Draft Plans The emergency manager should ensure that all draft plans—the EOP, the Recovery Operations Plan, the Hazard Mitigation Plan, and relevant sections of the community’s comprehensive plan that contain sections affecting hazard mitigation—are reviewed by other committees within the LEMC to identify potential conflicts between agency task allocations and their resource capabilities, or conflicts between the provisions of one plan and another. Obtain Community Review Once the draft plans have been reviewed within the LEMC, the local emergency manager should release them for wider review throughout the community. Working in coordination with the Public Education and Outreach committee, the emergency manager should make copies available at libraries and other public facilities throughout the community so households and businesses can examine them in detail. Of course, it is essential that people be notified that the draft plans are available for review and comment. Thus, the Public Education and Outreach committee should make a major effort to meet with neighborhood groups (e.g., community councils, Parent-Teacher Associations) and service organizations (e.g., Rotary, Kiwanis, Chamber of Commerce) to summarize the hazard/vulnerability analysis process and its results, as well as the planning process and the general provisions of the draft plans for preparedness, response, recovery, and mitigation. People should be given an adequate amount of time to review the plans and provide comments. In addition, the emergency manager should ensure that at least one public meeting is held at which individuals and organizations from throughout the community can provide oral comments concerning the draft plans. Such comments should be transcribed and retained in the LEMC’s archives. Revise/Publish the Final Plans The local emergency manager should ensure that all input from the community review is forwarded to the appropriate committees so they can address any identified problems in the final versions of the EOP, the Recovery Operations Plan, and the Hazard Mitigation Plan. Wherever possible, it is useful to provide a document to accompany each final plan that categorizes the comments received and explains how they were incorporated into the plan or, if that is not possible, explains why specific comments could not be addressed. Once all changes have been made in the plan, it should be submitted to the CAO or local governing body for their approval. At this point, final approval is usually indicated by a page containing the signatures of the jurisdiction’s senior authorities. Copies of the final plans and accompanying documents should be forwarded to all government agencies and other participating organizations (e.g., American Red Cross) having designated roles in the plans. Additional copies of the final plans and accompanying documents should be deposited in the same locations as the draft plans so these documents will accessible to households and businesses throughout the jurisdiction. 82 Case Study: Emergency Management in Smith Hill Gillespie, et al. (1993) examined the emergency preparedness in Smith Hill (a pseudonym), a St. Louis suburb with a population less than 10,000. The city had a very small tax base and, thus, a very small budget. Elected officials gave low priority to emergency management, so the city did not allocate enough funding to emergency management to qualify for state matching funds. Moreover, the city did not attend the meetings of other interorganizational networks such as the Municipal League, the Disaster Resource Council, and the Regional Emergency Planning Council. When the researchers contacted the city to obtain information about its emergency management program, they were initially directed to the city building commissioner. After arriving for an interview with him, they were redirected to the chief of police and ultimately interviewed a group of six municipal officials—all of whom were assigned emergency management responsibilities as collateral duties. The city had an EOP developed from FEMA guidance, but the organization chart was hand drawn and had not been updated for years. Questioning by the researchers revealed the chart bore no resemblance to the roles the interviewees expected to perform in a disaster. Indeed, the person responsible for city streets was expected to fill most of the positions in the emergency response organization, the police chief was expected to fill two more positions, and the rest were not assigned to any specific individuals. The Smith Hill emergency management organization, such as it was, had direct links only to a fire protection district, its municipal police department, the county medical examiner, and a nearby regional hospital (whose name was identified only after an extended discussion among the interviewees). The Smith Hill emergency management organization had only two structurally unique organizations to connect it (indirectly) to the regional emergency management network and only after extensive probing of the interviewees were they able to name any other organizations that should be added to their contact list. The Smith Hill EOP contained no formal mutual aid agreements, even though the interviewees expected to be able to borrow equipment from neighboring jurisdictions in a disaster. 83
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