SEC471 Critical Incident Management Week 3 Agencies Involved with Critical Incident Management Required Textbook Reading Readings: • Faggiano, T. T., McNall, V., & Gillespie, J. (2011). Chapter 10: The Executive Policy Group Critical Incident Management: A Complete Response Guide, Second Edition. • Faggiano, T. T., McNall, V., & Gillespie, J. (2011). Chapter 9: Emergency Operations Center Critical Incident Management: A Complete Response Guide, Second Edition. Supplemental Reading Readings: • Greenberg, M. A. (2014). The federal government and volunteer policing. American Volunteer Police: Mobilizing for Security, 147-178. • Lee, E. (2014). National infrastructure protection plan for threats, vulnerability, risk, and resilience. Homeland Security and Private Sector Business: Corporations' Role in Critical Infrastructure Protection, Second Edition, 59-90. • Wang, Y. Q. (2015). Analysis of local governments’ response to public emergency under new media environment. Management, Information and Educational Engineering: Proceedings of the 2014 International Conference on Management, Information and Educational Engineering (2014), 1249-1251. • Wu, G., & Gao, M. (2015). The role of NGOs in natural disaster governance: A case study on the One Foundation in Ya’an earthquake. Emerging Economies, Risk and Development, and Intelligent Technology: Proceedings of the 5th International Conference on Risk Analysis and Crisis Response, 559565. 10 The Executive Policy Group Throughout the years in training first responders, inevitably the issue of the Executive Policy Group and their role in an emergency arises. When the question “Do you want the top elected official, president of the university, CEO of the organization, involved in your incident?” is posed, the answer is almost always a resounding “No!” When the top executive has appointed a group of individuals to assist him or her in emergency response, their involvement can become very helpful or totally disrupt incident response. The reality is that their involvement may be crucial to your success. Their position places responsibility for the outcome and the continuity of business directly upon them. The hesitancy to have them involved in an incident usually results from experiences when the top executive or his or her designee attempted to run the incident or assume the role of Incident Commander. This misunderstanding of responsibility is usually directly attributable to a lack of clarification of the top executive’s actual role in an incident. They know they have a role, and if it isn’t clarified for them, they will become involved in the operational aspects of the incident. In this chapter, we will attempt to clarify that role. To every first responder we recommend ensuring that your top executive reads this chapter and has a clear understanding of his or her role and responsibility. Keeping this in mind, let’s go back to our scenario involving the president that was presented in the Introduction. It’s been 35 minutes since the president first heard an explosion in one of the organization’s buildings next to her office. After being thrust into the role of a first-first responder, the last half hour has flown by. In that time, the president has done the following: • Notified 911 of the blast and its location. • Being on-site in the off hours, she responded to the scene and secured the perimeter as well as she could using some bystanders and the overtime personnel who escaped from the building. This prevented several nonemergency personnel from entering the building to attempt an unwise rescue. Given that there was a secondary explosion, this simple act may have saved several lives. • As ranking person on-scene, the president was in charge of the scene up to the point of the arrival of the fire department and for a short 165 166 Critical Incident Management Downloaded by [University Library] at 16:57 20 July 2017 time was actually serving in unified command with the Incident Commander from the fire department sharing information on the facilities and the like. • The president then assigned the shift supervisor who escaped the building as her replacement on-scene. • At that point, she made a number of notifications to key organizational personnel—the Emergency Manager, the Director of Facilities, and her Executive Assistant. She indicated that she wanted immediate notifications made to the organization’s Emergency Operations center (EOC) team and the Executive Policy Group that they were being operationalized. It was now 45 minutes into the situation, and the president returned to the headquarters building. Key personnel who had been notified or heard of the incident via the media were beginning to arrive. In the absence of the Emergency Manager, the president directed that the predesignated EOC facility be operationalized. Several EOC technical support personnel worked to set up the facility. Twenty minutes later, the Emergency Manager arrived, and after a short briefing the president then moved to the pre-designated facility for the Executive Policy Group one floor above the EOC. The EOC support unit had activated the electronic Incident Event Log, and the president posted a description of the events up to that time. While unusual that initial information would come from someone in the Executive Policy Group, it was absolutely appropriate as the president was part of the initial response and scene command before arriving back at headquarters. Posting this information on the incident log allowed others at EOC level to brief themselves on the incident. Shortly thereafter, other information started coming in from the scene regarding injuries and damage. There were reports of serious injuries, and a number of individuals were still unaccounted for. Members of the Executive Policy Group started to arrive, and eventually all five members—the COO, CFO, Executive VP of Operations, legal counsel, and the president were present. The president appointed her Executive Assistant as the Scribe for the group and sent another assistant to the EOC as an Agency Representative for the Policy Group. Even before the entire group was assembled, the work, which would carry on for days to come, began. Many decisions needed to be made to set the tone of the organization’s response to this incident over the next few days. We will discuss the function of the Executive Policy Group in depth and look at some of the decisions that our president and the Executive Policy Group needed to make in this incident. But first, let’s look at the approximately one-and-a-half-hour journey of our president. Downloaded by [University Library] at 16:57 20 July 2017 The Executive Policy Group 167 1. Because the incident occurred in off hours when there were only a handful of individuals at work on a special facilities project, some of whom were contractors, the president was in the unique position of being a first-first responder and initiated many of the Seven Critical Tasks™ that have been discussed in earlier chapters. 2. Once a degree of stabilization had taken place and public safety responders were on-scene, she then found herself as the Incident Commander. There were no pronouncements, vests, or formalities, but in fact she was in consultation with the Incident Commander from the fire department, and he had jurisdiction over the facilities, personnel, and other resources in the game. So for that short 20 to 30 minutes, the reality was that she was in unified command as the organization’s Incident Commander. 3. She then executed a “change of command” by appointing the Shift Supervisor to work with the fire command and returned to headquarters to oversee the implementation of the remainder of the NIMS-based “concept of operations” as per prior planning and training. Extricating herself from the scene as quickly as possible was critical to the overall response of the organization. Too often, individuals get enamored with the scene, and the larger issues of the response are ignored or delayed. 4. The president recognized quickly that the size, scope, and seriousness of the situation would require activating the EOC and the Executive Policy Group as quickly as possible. She made notifications from the scene while transitioning to headquarters. 5. She directed the initial setup of the EOC and Executive Policy Group facilities, and from her unique position in this event published the initial briefing. 6. She then settled into her “natural” position as head of the Executive Policy Group where she would continue to function well into the future. Who would guess from looking at a static NIMS/ICS chart of positions that someone at the head of an organization could take that journey and fill all of those roles. Many individuals say to us, “Just tell me where I should report and what function to do when I get there. I don’t need to know all the rest.” Wouldn’t it be nice if it was that simple? But it’s not. The head of this organization had taken the time to go to training and fully grasp the “concept of operations” for the organization. She also spent time going through some mental preparation where she visualized herself responding to various scenarios. It was this knowledge and mental preparation that propelled her through all of these steps, probably saving lives, property, and financial losses for the organization. 168 Critical Incident Management All of that and her “designated” emergency management role is just beginning, so let’s examine the role and function of the Executive Policy Group. Downloaded by [University Library] at 16:57 20 July 2017 Executive Policy Group Overview The Executive Policy Group (EPG) in any organization should be kept very small and include the top four to six individuals that surround the CEO of the organization, plus a trusted executive assistant who will serve as the Scribe and a second trusted assistant who will serve as an Agency Representative to the EOC. This group sets the tone for the organization’s long-term response and needs to be strategic in its thinking. When they convene as a group, they will gather together apart from the EOC or command post operations, typically in the CEO’s conference room. Notice that this is the only time when a round or conference table is advocated in managing a crisis. The nature of EPG’s work dictates discussion, face-to-face interaction, and knowledge of all the inputs that go into the final decisions that will be disseminated to the other levels of the emergency response. Decisions on closing business, municipal, educational services, and/or manufacturing processes are paramount and must be made as quickly as possible. Articulate these decisions as clearly and quickly as possible to allow EOC and command levels to plan and implement effectively. In a campus environment for instance, the closing of all or part of the educational process, or all or part of the campus, has enormous impact upon the decision making at command post and EOC level. A decision to cancel the educational process can quickly become “the campus is closed” as the information passes from person to person. The actions associated with closing a campus are dramatically different from those of canceling classes. Valuable time can be lost due to the confusion. Continuity of operations (COOP) during an emergency is a primary concern of the executive policy group. An excellent example of this occurred during the BP crisis in the Gulf of Mexico. As large an incident as this was, and considering the impact the incident could have on the future of the company, top executives could not be drawn to the “scene.” They needed to ensure that the corporation continued operating. A designee was assigned to the incident. However, the principal task of the Executive Policy Group involved keeping the company’s administrators focused on a much larger scope of the company’s operation, beyond events in the Gulf of Mexico. Other policy decisions may be related to notification procedures for families of employees, customers, or students injured or killed in the event; release of sensitive information to the public; and level and tone of the response. Other kinds of decisions involve whether employees or others should be Downloaded by [University Library] at 16:57 20 July 2017 The Executive Policy Group 169 negotiated with or arrested for minor crimes such as trespass, whether to repair or replace facilities, and/or whether to continue a line of business or educational discipline or eliminate it. Delayed decision making frustrates the other levels of response and often leads to independent actions being taken by command or the EOC levels that later are deemed inappropriate by the Executive Policy Group because they are contrary to the policy decision that was eventually made. When this happens, friction develops between the levels of management that can be extremely counterproductive and even dangerous if allowed to continue. The Emergency Manager and/or Incident Commander may stop requesting policy decisions, even though their “sixth sense” tells them to. Members of the Policy Group may start making “operational” decisions, even though they are far removed from actual conditions on the ground. There are numerous reasons that policy decisions can be difficult and/or delayed. Some of the most common in our experience are: • Lack of timely information coming to the Executive Policy Group: When there is not an efficient flow of information from the EOC and/or the field, Policy Group members often feel as though they are being kept in the dark purposefully or otherwise. The longer the delay, the more frustration develops. • Inaccurate information due to distortion, misunderstanding, and/or conflicting sets of data at scene command and EOC levels: Conflicting times, numbers of injured, types and seriousness of injuries, who was injured (employee, customer, student, names), affected facilities, and level of damage can all be problematic. • Failure of the Policy Group members to train and/or a lack of understanding of their role in the greater concept of operations. • Failure to have prepared themselves for likely scenarios through discussion and the types of decisions they will have to make in each. When the frustration reaches a certain point, there is a tendency for the Executive Policy Group to do one of several things: • Go to the predesignated command post, EOC, or, worse yet, the scene. This brings them into a less than ideal venue for thoughtful decision making, and there is a tendency to begin to manage operational details rather than lead through setting direction and tone for the response. Consider the scenario described in the beginning of this chapter. Had the President of the organization failed to have recognized her role in the incident and remained at the scene, none of the described activities involving the Executive Policy Group would have occurred or at best they would have been unnecessarily delayed. 170 Critical Incident Management • The other option is to bring the Emergency Manager and/or Incident Commander into the Policy Group’s domain. This usually has results as previously described. The Emergency Manager or IC becomes trapped, and the discussions move from policy discussions to operational discussions on how and what to do next. The EOC and/or command post is left without its leader, and the true function of the Executive Policy Group is diluted. Downloaded by [University Library] at 16:57 20 July 2017 Communication Models Numerous times we have said that communication is one of the first things to go in a crisis. And continued communications issues can sink the ship. Following are a number of models that we have seen for communication between the Executive Policy Group, the EOC, and the scene command post: 1. Historically the Public Information Officer (PIO) was tasked with keeping the Executive Policy Group informed because of the close relationship and trust built up by day-to-day contact between the PIO and the top executives of the organization. The PIO will be operating out of the EOC in a major event and will typically have boots on the ground at the scene, so he or she is positioned to gather information at the appropriate levels. This model of having the PIO do the briefings seemed to make sense because of the task and trust. However, we have found the PIO to be too busy to be effective when tasked with keeping the Policy Group properly informed. Every time the PIO phones or delivers information to the Policy Group on breaking information or critical decisions, he or she risks missing other information that should be forwarded as well. The PIO also has gaps of time when he or she is preparing, gaining approvals for, and delivering press releases. The incident itself and the decisions being made regarding the event simply do not stop during these gaps. 2. Some organizations have the Executive Policy Group send an Agency Representative to the EOC and/or command post so that critical information can be transmitted back to the Policy Group. We have observed that this is an improvement over using the PIO but still produces gaps in information. Some of these gaps can be caused by the sheer volume of information being processed in the EOC and the ability of the Agency Representative to multitask. Gaps also occur during the time that the Agency Representative is actually briefing the Policy Group by phone or in person. Once again, the incident does not stop. The Agency Representative must also be familiar with the “functional management” positions in the EOC and where to Downloaded by [University Library] at 16:57 20 July 2017 The Executive Policy Group 171 obtain and verify information before forwarding it to the Policy Group. Key sources would include the Emergency Manager’s Scribe, the Investigative and Intelligence Section, and the PIO. 3. A third model would involve using a running electronic log such as that found in BowMac’s “REDI for Emergencies III” software program. It feeds information onto a secure scrolling log that identifies the exact time and from where the information came, by ICS position, and provides a method of communicating with that person if verification is necessary. While no one runs to the computer in the first minutes of an incident, most organizations have a call taker and/or dispatch person for safety/security operations who can initiate the log. There is always a delay between the initial response and the activation of the EOC and Executive Policy Group. Part of the setup process should be getting the log online. Having this tool available with accurate on-scene accounts of injuries, transports, damage reports, logistics, closings, and so on allows for better decision making at all levels. A tool like this, combined with an Agency Representative from the Policy Group, will go a long way toward reducing the tension that can arise between levels of the management and response. The electronic log also serves as a briefing tool at all levels of the event. Only in training do we all arrive in our functional areas at once. People come in random intervals as they receive notifications and travel from meetings, home, and so forth. Much valuable time is spent in briefings (which typically become more and more abbreviated) that could be spent on decision making. The log provides a method for a “self-brief” with actual times and data, which reduces repetitive questions and false assumptions. This option may be negated during a major incident due to a lack of power and the like but should be considered whenever possible. 4. The most efficient method we have observed involves a combination of numbers 2 and 3. Using an electronic log and appointing an Agency Representative to the EOC provides backup for an electronic failure and a direct method of verification or clarification of critical data. Preparation The Executive Policy Group should take steps ahead of an actual event to prepare itself for quality decision making in an actual pressurized event. As we have mentioned, training and exercising are critical to establishing the connections between the levels of the response and management and testing how your organization’s communication system functions. But there is more. Downloaded by [University Library] at 16:57 20 July 2017 172 Critical Incident Management The Executive Policy Group needs to carve out time at regular intervals to prepare it to function at peak efficiency during an event. A common question asked is, “How and what can we prepare for the unknown?” After the initial training and exercising, the Policy Group should have a good sense of both the types of issues that they will grapple with and how difficult it is to start from scratch in formulating good policy decisions under pressure. They should also have a sense of how important it is to make quality decisions quickly that will allow the EOC and command levels to proceed smoothly. Often the first time through an exercise (hopefully) or an event, Policy Group decisions that could be routine are difficult because members of the group have not visited established protocols and policies of the institution in some time. This means they need to start by asking: • • • • How has this been handled in the past? What’s the worst-case scenario for this event? Do we have established protocols for this? Is this already part of a continuity of operations plan somewhere in the organization? • Who should make these notifications? • What are the thresholds for staying open or closing in this case? In our day-to-day world, decisions like this can be pondered for hours until an ideal policy is hammered out. Continuing this deliberative process in a pressurized, fast-moving crisis can have dire consequences, as we have discussed previously. So what can we do to prepare? • A good place to start is to prioritize the hazards faced by your organization. Your Emergency Manager, or whoever is in charge of your NIMS-based planning, will already have a hazards analysis completed. Take that list and organize it into categories such as “similar events” that would require similar decision making, and/or events that are most likely to occur, and/or difficult or catastrophic events that would challenge you the most. There is no magic formula here, and you cannot take on all the events at one time, so we suggest that you apply some logic to the process that makes sense to you and your organization. This way you can break up the tasks among the participants and/or scheduled work sessions. • For each of the hazards, or groups of hazards, you can project the types of policy decisions that will need to be made. Be careful here not to fall into operational decision making like, “What facilities could we use to house those personnel or that process?” Your task is to predetermine the conditions that would cause you to issue a policy Downloaded by [University Library] at 16:57 20 July 2017 The Executive Policy Group 173 decision to cancel a critical process, close a facility, or move the process/personnel to some other site. It will be the task of the EOC to explore the details of suitable sites, as well as plan and execute the process for the move or shutdown. • This means you will be looking at “thresholds” for your decision making. For instance, in an influenza event, what would be the percentage of personnel affected that would cause you to close facilities, move to a “work at home” process, or move to the continuity of operations planning tools for maintaining “critical operations”? Having thresholds established in advance for critical functions, operational capability, service capacity, and/or workforce impact will make decision making during an actual event quicker and more effective. Executive Policy Group Preparation Work Flow • • • • • Select and categorize potential hazards. Brainstorm organizational consequences. Discuss threshold levels related to consequences. Anticipate policy decisions. Record for the future. Conducting regular sessions where various scenarios related to potential hazards and the potential policy decisions related to thresholds are addressed will be invaluable in protecting the personnel and viability of the organization during a crisis. You will find the first few work sessions the most difficult (actually they will be similar to the process of trying to create policy decisions during a critical event), but as the first few hazards are worked through, the process will smooth out and similarities of outcomes between differing types of events will become evident. This planning process will become the model for your process during an event. Additionally, your decision making during an event will be accelerated, due to the fact that you have considered the thresholds and resulting options in advance. CEO of the Executive Policy Group Mission Organize and direct the Executive Policy Group. Insulate EOC staff from distractions caused by outside political inquiries, and keep “need-to-know” VIPs informed and up to date regarding the impact of the incident on the organization and community. In collaboration with legal advisors and jurisdictional leaders, make policy decisions related to continuity of operations (COOP). 174 Critical Incident Management Skill Set This person is either the CEO of the organization itself or has been appointed by the CEO to head this group of top executives. The group could be comprised of the COO, CFO, executive vice president, legal counsel, and so on. Typically it would be comprised of four to six persons. Downloaded by [University Library] at 16:57 20 July 2017 Structure of the Executive Policy Group Most of our discussion so far has surrounded a large event where the entire Executive Policy Group has been assembled. This is only one model for activation. Let’s look at the possibilities and other models: • No Executive Policy Group: As we know from previous chapters, events vary in size, scope, and seriousness, and only a few rise to the size that requires an EOC to be activated. Many resolve themselves in the first few minutes and do not even require the establishment of a scene command post. In such cases, a notification may have been made to the CEO or designee per organizational policy, but the activation of the Policy Group was not requested nor instituted by the CEO. • Designated Policy Person: The incident did not resolve itself, and a scene command post (unified or not) was established to resolve the incident. A notification was sent to the CEO, and a request was made, or mutual agreement was reached, that policy decisions could be needed due to the nature of the event. Size, scope, and seriousness did not dictate that the event would abnormally affect routine operations of the organization, so the EOC was not activated. Because of the request, however, a “go-to policy person” was designated by the CEO, therefore activating the Policy Group. The CEO instructed the go-to person to get a briefing and keep his or her “personal communication device” on during the normal course of the workday so that immediate contact could be achieved by the Incident Commander at the scene. • Limited Executive Policy Group: The incident was of sufficient size and scope that during the notification from the scene, a request was made to the CEO to activate both the Executive Policy Group and the EOC for support. It was clear there would be an impact on routine operations, but less than catastrophic, and the CEO ordered minimal staffing for both functions. This resulted in the EOC being activated and staffed with four to six key personnel, and the Executive Policy Group being staffed with a Scribe and a few members whose skill sets matched those of the incident. The Executive Policy Group 175 Downloaded by [University Library] at 16:57 20 July 2017 • Full Executive Policy Group: The fourth model is that of full activation, due to the predictable impact the event will have on normal operations of the organization. This would require the full activation that we discussed earlier in this chapter. • Full to Limited Executive Policy Group: We may also find that during an incident we may flex the Executive Policy Group from a full activation in the first few hours to that of two or three smaller teams that will track the event through time. We always have to be mindful that when we fully activate any level, we may find ourselves moving into 24-hour, multiday operations that can burn out our capability if we fail to do succession planning. Once again, we see the flexibility and adaptability of NIMS/ICS to grow and shrink in relationship to the size, scope, and needs of an event. Another consideration in structuring the Executive Policy Group is to subdivide the team into task forces, each related to a different policy decision. This way we can address immediate decision-making needs and start to get ahead of the event by anticipating future policy needs and requests. One of the carryover habits of our round-table committee-oriented decision model is that often we have the whole group involved in each decision being made. By assigning individuals in teams of two or three to take on a specific task, the discussion will be dramatically reduced, leading to faster output. The CEO can then approve and implement the policy or call for a brief and present and revise it according to the broader feedback received. Either way, separation of tasks reinforces the need for efficiency and is consistent with the “functional management” model equated with NIMS/ICS structure. Traps As we have alluded to, there are many traps in which the CEO and members of the Executive Policy Group can find themselves: • Rushing to the scene: The fire, chemical spill, roof collapse, or whatever the crisis is always going to be more compelling than the conference room off the CEO’s office. There will be a tendency for individuals in leadership positions to want to go to the scene, and they will always have excellent rationale for doing so: “show of support,” “get a firsthand look at what is happening,” and on and on. If this occurs, valuable time needed to anticipate and make policy decisions is being lost. Other levels of management in the system need you to be in place and available to set the tone of the response and to make key policy decisions. We will never tell a CEO that he or Downloaded by [University Library] at 16:57 20 July 2017 176 Critical Incident Management she can’t go to the scene; however, we will say that if you make that choice, then designate someone else as the head of the Executive Policy Group until you are in a position to fill that role, and be prepared to accept that person’s decisions on policy matters. By going to the scene, recognize that you may be out of position and may not be able to fully execute your true duties. During the first crucial hours following the terrorist attack on the World Trade Center, Mayor Rudy Giuliani gathered his Executive Policy Group together. Their leadership was crucial during this horrific event. However, for a few brief minutes they were almost removed from any role in the incident. They had decided to respond closer to the actual scene. Recognizing that the EOC established at #7 World Trade Center might be too close, they responded to a building at 75 Barclay Street. When the South Tower collapsed, they found the site they had selected on Barclay Street too close. They had to be extricated from the site by following two janitors through a maze of underground tunnels to exit onto Church Street to continue their efforts. Their desire to respond closer to the scene for all the above “good” reasons almost rendered them totally ineffective. This desire is a common consequence of responding to the scene. • Becoming overly involved with the scene: In today’s era of technology, there is another way the Policy Group can go to the scene without leaving the predesignated site. Through live video feeds and monitoring of emergency radio frequencies, unfolding events can be evaluated without being exposed. Overexposure is the antithesis of our earlier concerns regarding lack of information needed to make good decisions. You are now drawn into the scene and the minuteto-minute decisions that are being made by professional responders from public safety, facilities, or health services. While this is fascinating on one hand, it will dramatically limit your ability to get ahead of the event in your thinking and can draw you into micromanagement of the event. • Trying to achieve full consensus: Routine day-to-day habits die hard, and there is a tendency to want to arrive at the absolute “best” decision. Inevitably it will require more time, information, and discussion, possibly pushing the Incident Commander or Emergency Manager to take an independent action absent your policy decision. You may have to make a series of less than optimal decisions with clearly articulated thresholds that would force a new decision. “Right now we will remain open; however, if two or more additional facilities go down, then we will be forced to consider closing operations for an undetermined period of time.” The Executive Policy Group 177 Downloaded by [University Library] at 16:57 20 July 2017 • Taking of Hostages: Sometimes in an effort to gain more insight, the Policy Group will request the physical presence of the Emergency Manager and/or Incident Commander and/or the Public Information Officer. What inevitably happens is that discussions expand beyond the original scope of policy. These key personnel are now absent from their own management duties, and the Policy Group degrades into a third and competing Operations Section making decisions on how and what to do next. This can become a train wreck for the entire structure, as activities already in play are changed by actions based on information separated by too much distance from conditions on the ground. Summary The Executive Policy Group and its functions are a critical component in the “concept of operations” for all organizations. Like the other functions in the NIMS/ICS structure, its members are working at the level and doing the functions that mirror their day-to-day work in the organization. In this case, it is making policy decisions, setting the tone for the response, keeping the organization focused on its mission, and maintaining the good name of the organization with its partners and the public while ensuring the survival of the organization itself. This function needs to be internalized by the key executives of your organization. They need to know where to report (and where not to go), what to do when they get there, where to get critical information, and how to communicate their decisions effectively. This means training and preparation are needed; institutional hazards, thresholds and potential policy decisions have been discussed and documented, and familiarization of the organizations Continuity of Operations Plans are reviewed and understood. Review Questions 1. How does the role of the Executive Policy Group differ from that of the EOC? 2. What are the different “communication models” for the EPG and what are the benefits and/or limitations of each? 3. What are the various “structural models” for the EPG and when would you apply them? Downloaded by [University Library] at 16:57 20 July 2017 6 The Federal Government and Volunteer Policing The citizen looks upon the fortune of the public as his own, and he labors for the good of the state … participates in all that is done in his country … obliged to defend whatever may be censured in it; for it is not only his country that is then attacked, it is himself. —Alexis de Tocqueville (1835/1990, 43–44) Introduction Citizen participation related to public safety is found at all governmental ­levels, although the vast amount of participation takes place at the community level. This was especially the case in 1831, when Alexis de Tocqueville (1805–1859), a French nobleman, came to the United States (Figure 6.1). Ostensibly, he was commissioned to investigate the U.S. penitentiary s­ ystem. Before his trip, he had been appointed a judge-auditor at the tribunal of Versailles. He traveled to the United States with his friend and fellow judge, Gustave de Beaumont. Over a nine-month period he studied the methods of local, state, and national governments as well as the everyday activities of the American people. His multivolume, Democracy in America, is considered to be a masterpiece concerning the nature of American democracy prior to the Civil War. He discovered, with a degree of amazement, the numerous and varied types of “associations” formed to help others and for the general good of the community. During the early days of our nation, volunteerism was a trait born of necessity because community service was rooted in westward expansion. “There was no government to solve problems on the frontier, no rich people to invest in infrastructure. If settlers wanted a church or a barn or a town they had to join hands and build one” (Kadlec 2013). In order to maintain the promise of American democracy and to counter any trends whereby individualism might cause citizens to refrain from meeting their civic duties, Alexis de Tocqueville recommended an independent and influential judiciary, a strong executive branch, local self-government, administrative decentralization, religion, well-educated women, freedom of association, and freedom of the press. Moreover, he considered jury service to be an important civic obligation because it helps citizens to think about other people’s affairs and educates them in the use of their freedom (Alexis de Tocqueville 1835/1990). 147 Downloaded by [University Library] at 16:58 20 July 2017 148 American Volunteer Police Figure 6.1 Portrait of Alexis de Tocqueville in 1848. Opportunities for citizen participation at the federal level became more prevalent during and after World War II. Today in the United States, citizens may do more than fulfilling such ordinary civic responsibilities as voting, calling authorities for help in emergencies, serving on juries, and participating in interest groups to influence federal policy. They can also identify, report, and enforce potential and alleged violations of various federal regulatory laws (e.g., by bringing citizen lawsuits against polluters for violations of environmental laws in the federal district courts). On an entirely unsalaried basis, citizens may also support national efforts for disaster relief by volunteering with the American Red Cross or by helping to rebuild a house in a natural disaster zone through Habitat for Humanity. In addition, opportunities to reduce the threats of terrorism by joining the U.S. Coast Guard Auxiliary (USCGA) or the Civil Air Patrol (CAP) also exist. On a temporary assignment and salaried basis, a citizen may apply to become a Federal Emergency Management Agency (FEMA) Reservist. FEMA Reservists are called upon when a national emergency is declared by the president. Interested citizens are selected and deployed on an as-needed basis. In addition, to promote the education of youth, qualified citizens can assist with such federal initiatives as Civil Air Patrol Cadets, the JROTC, and the Customs Border Protection Explorer programs. There are thousands of nonprofit organizations seeking volunteers in a variety of fields, many with local chapters. (To identify such Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 149 organizations by type and l­ocation go to: http://www.volunteermatch.org or http://www.idealist.org.) College students (undergraduate or graduate) have opportunities to serve in internships with a wide range of federal agencies. In general, requirements include U.S. citizenship or a valid work permit (for some agencies) and enrollment in an undergraduate or graduate studies program at an accredited school; there may be other requirements depending on the agency. Federal internships are often competitive because of the number of students who are interested in them. Interested students should consult their academic advisors and/or their campus office of career services. Numerous volunteer opportunities exist at the federal level within homeland security, law enforcement, and disaster relief organizations. In addition, there are a variety of nonprofit organizations engaged in related work. It is difficult to narrow the list of agencies for inclusion in this chapter; however, the few selected include the following national (nonprofit) and federal organizations: the Metropolitan Police Reserve Corps, the CAP, the U.S. Power Squadrons (USPS), the USCGA, and the FEMA Reserves. Information about volunteer police in Puerto Rico, Guam, and the U.S. Virgin Islands is also presented. Finally, a proposal to establish a Border Patrol Auxiliary (BPA) is considered because of its relevance to national security and its potential as a provider of volunteer service opportunities (Hall et al. 2007). The chapter begins with background materials about the nature of the federal government and some historical aspects related to the federal role in public safety. Historical Background The U.S. Constitution was ratified by the last of the 13 original states in 1791. The original 13 states were the successors of the 13 colonies that rebelled against British rule. The constitution created the three branches of the federal government and granted certain powers and responsibilities to each. The legislative, judicial, and executive branches have different responsibilities that have kept the branches more or less equal. The executive branch has the widest range of responsibilities and employs most of the federal workforce. The federal system in the United States is one that is based on enumerated powers specifically granted to it in the U.S. Constitution and its statues. The Tenth Amendment to the Constitution provides that powers not delegated to the federal government or prohibited to the states by the constitution are reserved for the states. Key federal powers include the collection of taxes and duties, payment of debts, and providing for welfare and the common defense. Other federal powers include regulating commerce among multiple states and foreign nations, establishing a militia, and protecting civil rights and liberties. The idea of shared powers between states and the Downloaded by [University Library] at 16:58 20 July 2017 150 American Volunteer Police national government is known as “federalism,” and the specific reference to this concept is found in the Tenth Amendment. Because of federalism, the designation of what is considered a local or national disaster and who should direct an emergency response can be confusing. Therefore, it is best to check a state’s emergency management statute in order to determine who may declare an emergency and the powers that are provided to the state’s governor, and to find out what powers are given to officials at the local level. During the nineteenth century, there were very few federal law enforcement agencies. A notable exception is the U.S. Marshals Service, which was established in 1789.1 The Marshals have very broad jurisdiction and authority. For more than 200 years, U.S. Marshals and their deputies have served as the instruments of civil authority used by all three branches of government and have been involved in most of the major historical episodes in America’s past. For most of their history, U.S. Marshals enjoyed a surprising degree of independence in performing their duties. Quite simply, no headquarters or central administration existed to supervise the work of the Marshals until the late 1950s (Calhoun 1991; Civilian Enforcers 2013). “As our young nation expanded westward, U.S. Marshals embodied the civilian power of the Federal Government to bring law and justice to the frontier. For every new territory, marshals were appointed to impose the law on the untamed wilderness” (History 2013). Throughout much of their history, “the Marshals struggled to balance the enforcement of federal laws against the feelings of the local populace” (Calhoun 1991; Civilian Enforcers 2013). Significantly, policing has been and remains mostly a local affair. “Unlike the London police, American police systems followed the style of local and municipal governments. City governments, created in the era of the ‘common man’ and democratic participation, were highly decentralized…. The police were an extension of different political factions, rather than an extension of city government. Police officers were recruited and selected by political leaders in a particular ward or precinct” (Uchida 2004, 10‒11). During most of the nineteenth century, federal government jobs were held at the pleasure of the president—a person could be fired at any time. The “spoils system” meant that jobs were used to support the influence of politicians and their parties. This was changed in incremental stages by the Pendleton Civil Service Reform Act of 1883 and subsequent laws. By 1909, almost two-thirds of the U.S. federal workforce was appointed based on merit, that is, qualifications measured by tests. In contemporary times, it is a common practice to fill a variety of top level federal service positions, including some heads of diplomatic missions and executive agencies, with political appointees. The Pendleton Act required federal government employees to be selected through competitive exams and on the basis of merit; it also prevented elected officials and political appointees from firing civil servants. However, the law did not apply to state and municipal governments. Nevertheless, today, in varying degrees, most state and local government entities have competitive Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 151 civil service systems that are modeled on the national system. The U.S. Civil Service Commission was created by the Pendleton Civil Service Reform Act to administer the U.S. civil service system. Effective January 1, 1978, the commission was renamed the Office of Personnel Management (OPM) under the provisions of Reorganization Plan No. 2 of 1978 (43 F.R. 36037, 92 Stat. 3783) and the Civil Service Reform Act of 1978. The OPM is also responsible for a large part of the management of security clearances. A controversial national organization, composed entirely of volunteers, arose during wartime. The advent of World War I, as well as politics and influence, contributed to the establishment of the semisecret organization named the American Protective League (APL). The APL was formed when there was a credible threat of subversive and seditious activity within the United States. Acts of sabotage and the notorious Zimmerman Telegram had fueled these fears. During its short lifespan, the APL was engaged in ferreting out spies, saboteurs, and seditious aliens. It received recognition from the U.S. Department of Justice, the U.S. Secret Service, and other governmental departments, although it had no governmental or legal status. Its official history was published in 1919 in a book entitled The Web: The Authorized History of The American Protective League by Emerson Hough (Figure 6.2). Figure 6.2 A page from The Web, signed by the author in a special edition in 1919. Downloaded by [University Library] at 16:58 20 July 2017 152 American Volunteer Police Perhaps as many as 200,000 or more professionals, businessmen, and wage earners who were American citizens and willing to take a special oath became members. Unlike many nations around the world, the United States has no national police force. Currently, there are more than 1,300 federal government agencies; more than 90 of these agencies carry out one or more specialized law enforcement functions.2 Much of the growth in federal law enforcement is due to congressional legislation. For example, in 2002, the Department of Homeland Security (DHS) was established and now has more sworn federal law enforcement agents and officers than any other department of the U.S. government. An earlier and major contributing factor toward federal policing occurred within the executive branch when the Eighteenth Amendment became effective in 1920. The Eighteenth Amendment placed a ban on the sale, distribution, and manufacture of alcoholic beverages. This prohibition lasted until its repeal by the Twenty-First Amendment in 1933. The Department of Justice enforced prohibition, along with the Customs Service, Coast Guard, and Bureau of Internal Revenue. Over time, Americans have come to expect more from federal law enforcement than ever before. Its size, jurisdiction, and responsibilities continue to grow. Some growth is clearly justified, such as the expanded role of the Federal Bureau of Investigation (FBI) in counterterrorism.3 Federal strategies to enhance the nation’s preparedness for disaster and attack have evolved over the course of the twentieth century and into the twenty-first. Highlights from this history include the air raid warning and plane-spotting activities of the Office of Civil Defense in the 1940s, the “duck and cover” filmstrips and backyard shelters of the 1950s, and today’s all hazards preparedness programs led by the DHS.4 Even before September 11, 2001, when al-Qaeda terrorists struck the World Trade Center in New York City and the Pentagon near Washington, D.C., killing nearly 3,000 people federal authorities and Congress enlisted local law enforcement on behalf of federal law enforcement concerns. For example, the Illegal Immigration Reform and Immigrant Responsibility Act of 1996 encouraged state and local police agencies to enter into agreements with the U.S. Attorney General to train and deputize local immigration enforcement officers. The same statute also authorized the attorney general to enlist local forces during an immigration emergency. Since the events of September 11, various federal initiatives have been undertaken to involve the nation’s local police agencies in the war on terrorism. In order to strengthen the security of the nation’s transportation systems, the U.S. Transportation Security Administration (TSA) was established with the passage of The Aviation and Transportation Security Act of 2001. The statute required the TSA: (1) to be responsible for security for all modes of transportation; (2) to recruit, assess, hire, train, and deploy security Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 153 officers for 450 commercial airports from Guam to Alaska in 12 months; and (3) to provide 100% screening of all checked luggage for explosives by December 31, 2002. This was a mandate for the creation of one of the largest agencies in the history of the U.S. government. But the most controversial action after September 11 was the passage of the USA PATRIOT Act (the acronym for Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act). Less controversial have been the ongoing contributions of community-minded men and women who participate in the CAP, USCGA, Community Emergency Response Teams, and in volunteer fire units. In 2005, Hurricane Katrina caused severe destruction along much of the Gulf Coast, devastating New Orleans. In the same year, Congress adopted the Real ID Act, which set state standards for issuing drivers’ licenses to immigrants. It also required states to regulate the activities of persons who are for any reason without status. Among its provisions is the need for each state to provide electronic access to information contained in its motor vehicle database to all other states. The law has been promoted primarily as an antiterrorism measure. In addition, the Vision 100—Century of Aviation Reauthorization Act of 2003 requires air carriers providing scheduled passenger air transportation to conduct basic security training for their flight and cabin crewmembers in order to prepare them for potential threat conditions that may occur onboard an aircraft. The act further requires the TSA to develop and make available to flight and cabin crewmembers an advanced self-defense training program that includes appropriate and effective responses for defending against an attacker. Although most states have introduced civil service testing and other basic requirements for police officer selection, the actual day-to-day operations of police departments are determined by local officials and by the discretion exercised by officers on patrol. Policing in the United States is conducted by numerous types of agencies at many different levels. Every state has its own nomenclature for agencies, and their powers, responsibilities, and funding vary from state to state. In some states, there can be several hundred local police agencies. Each agency has its own chief and manual of procedures. At a crime or disaster scene affecting large numbers of people, multiple jurisdictions involving several police agencies may be deployed. Depending on the emergency, the response can be very problematic. A case in point was the Hurricane Katrina disaster where the basic emergency channels of communication were disrupted. In such a situation, one researcher has noted that even the “moral order of the police force itself was also called into question, as many remaining officers were troubled by those who abandoned their posts after the hurricane, wondering how they could ever trust those officers again” (Sims 2007, 115). Command in such situations remains a complex and sometimes contentious issue. Downloaded by [University Library] at 16:58 20 July 2017 154 American Volunteer Police Today, federal law enforcement agencies are routinely asked to assist in local law enforcement matters. In many instances, such assistance has resulted in “cross-deputization.” Cross-deputization is an agreement that allows police officers to cross borders and enforce the law outside their areas of jurisdiction. Deputization agreements give tribal, federal, state, or city law enforcement officials power to enforce laws outside their own jurisdictions regardless of the identity of the perpetrator, thus simplifying the exercise of criminal jurisdiction. These agreements may include the creation of police task forces involving more than one agency. Such joint federal, regional, state, and county task forces have become an important tool to contend with crimes involving gangs, drugs, guns, and human trafficking. These highly desired agreements enable task force members to be deputized in order to cross state lines and enforce federal laws. Moreover, such agreements also become a necessity due to the need to contend with the vastly increased problems of global crime, terrorism, cyberterrorism, and cyberwarfare. On July 29, 2010, Congress enacted a much needed criminal reform known as the Tribal Law and Order Act (TLOA) for Indian country. “TLOA encourages cross-deputization. Tribal and state law enforcement agencies in Indian country receive incentives through grants and technical assistance to enter into cooperative law enforcement agreements to combat crime in and near tribal areas. At the federal level, TLOA enhances existing law to grant deputization to expand the authority of existing officers in Indian country to enforce federal laws normally outside their jurisdiction regardless of the perpetrator’s identity. This measure simplifies the exercise of criminal jurisdiction and provides greater protection of Indian country from crime through increased enforcement” (Bulzomi 2012).5 In 2007, in testimony before the Subcommittee on Healthy Families and Communities, Congressman John P. Sarbanes stated: “Volunteers are a large part of what makes America such a great and strong nation. Throughout this country, volunteers fill in gaps where local, state, and federal governments are unable to effectively serve people. Further, the community-minded spirit fostered by volunteer activity benefits all people by strengthening the fabric of our nation” (Dooris 2008, 42). Metropolitan Police Reserve Corps The Metropolitan Police Department (MPD), founded in 1861, is the primary law enforcement agency for the District of Columbia; it is one of the ten largest local police agencies in the United States. According to its Web pages, the department uses the latest advances in evidence analysis and state-of the-art information technology. These techniques are combined with a contemporary community policing philosophy, referred to as “customized community policing.” Community policing bonds the police and residents in a working Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 155 partnership designed to organize and mobilize residents, merchants, and professionals to improve the quality of life for all who live, work, and visit the nation’s capital (About MPDC 2013). From the 1920s until 1950, police officers traveled to Washington, D.C., from other jurisdictions (such as New York City and Philadelphia) to assist members of the MPD with crowd control during the Shriners convention and presidential inaugurations. Local residents also participated. They were issued a credential in the form of an auxiliary MPD badge. In time, an Auxiliary Division was created within the department. “In 1950 a number of auxiliary detectives and auxiliary detective sergeants were caught running a burglary ring. It became a major scandal since these officers were picked from the elite of Washington…. The police administration fired all of the Auxiliaries and formed the Metropolitan Police Reserves” (Blickensdorf 2014). As in most American cities, during World War II, the police force in the nation’s capital was also aided by units of civil defense. Civilian defense auxiliary police and other groups were organized in case of any attack on the nation’s capital. After the war, although civil defense was no longer a top priority, it became apparent that a permanent reserve force could be of benefit to the regular police by assisting them in carrying out their everyday responsibilities (About the MPD 2013). The District of Columbia’s auxiliary police that were associated with civil defense during World War II appear to be unrelated to the Auxiliary Division, which was mostly a political organization that “had more power then someone would have thought during that time period” (Blickensdorf 2014). The Metropolitan Police Reserve Corps was established in November 1948. The organization was given greater recognition with the passage of a federal law in 1950 that gave authority to the chief of police to select, organize, train, and equip certain residents of the District and the metropolitan area in a special reserve unit known as the Metropolitan Police Reserve Corps (About the MPD 2013). Members of the new Reserve Corps were first deployed on October 31, 1951, to guard fire alarm boxes to prevent the sounding of false alarms on Halloween night. In 1961, the Reserve Corps was called to duty and sworn in to assist with the inauguration of President John F. Kennedy. Throughout the 1960s, the Reserve Corps was frequently called upon to assist with civil demonstrations arising from national tragedies such as the assassinations of President Kennedy, his brother Senator Robert F. Kennedy, and Dr. Martin Luther King Jr. (About the MPD 2013). Figure 6.3 shows members of the Reserve Corps standing at attention outside the 6th Precinct station house. In 1970, the chief of police prepared an order setting forth the policy, procedures, and responsibilities of the Reserve Corps. This general order was replaced in 2006 by a more comprehensive document, 26 pages in length. Downloaded by [University Library] at 16:58 20 July 2017 156 American Volunteer Police Figure 6.3 Members of the Metropolitan Police Reserve Corps standing at attention outside the 6th Precinct stationhouse in the District of Columbia, ca. 1950s. The revised general order provided sufficient clarifications so that the Reserve Corps was better prepared to render community service and to become an integral part of the MPD (About the MPD 2013). Prospective members must successfully complete the same entrance screening required of full-time officers: a written test (national police officer entrance exam), a background suitability investigation, and medical and psychological examinations. All basic training must be substantially the same as that completed by full-time sworn officers. The members of the corps serve in different ways, depending upon individual experience and qualifications and upon the time commitment they are able to make. For example, a Reserve Officer Level I carries out the same duties as a regular officer under the regular officer’s general supervision. A Reserve Officer Level II carries out assignments under close supervision and is not authorized to carry a department-issued firearm. Some reserve officers may work indoors in a patrol district, while others will work side-by-side with patrol officers performing frontline law enforcement activities. Significantly, while on duty, Reserve Corps members are authorized to exercise the full law enforcement authority of a sworn police officer except as restricted by the 2006 General Order or by the police chief. “When not on department duty, Reserve Corps members shall possess only such police powers as granted to a private citizen” (General Order 2006, 6). Reserve officers usually begin at Level II and must have had at least one year of good standing at Level II and at least 60 college credits or 960 hours of volunteer service, or an equivalent combination of education and experience, in order to move to Level I. There are several Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 157 additional requirements, and these meet or exceed the requirements, established by the Commission on Accreditation for Law Enforcement Agencies (CALEA) (General Order 2006). Reserve Corps members who successfully compete to become regular sworn police officers can be credited with training already completed as a Reserve Officer. A person with law enforcement experience can enter the force directly as a Reserve Officer Level I if various criteria are satisfied and with the approval of the chief of police (General Order 2006). In 2009, the Reserve Corps had more than 100 members contributing at least 16 hours a month, the department’s minimum volunteer commitment. According to Richard Southby, the Reserve Corps’ commanding officer (with more than 20 years of service), most volunteers offer much more of their time. By his estimate, Reserve Corps members contribute about 3,000 hours a month to the department. Southby, now in retirement, is a former George Washington University faculty member and administrator. As a result of his involvement with the Reserve Corps, he helped in setting up the police science program in the College of Professional Studies at George Washington University (Morse 2009). In March 2010, the MPD began deploying the Reserve Corps in teams in order to deter crime in various targeted areas (Williams 2010). Civil Air Patrol On December 1, 1941, CAP was officially established as a volunteer civilian defense organization, just one week before Japan attacked Pearl Harbor. During World War II, the CAP became famous for coastal patrol, where civilian volunteers used privately owned aircraft to spot enemy submarines along the Atlantic and Gulf Coasts. It was first placed under the control of the Office of Civilian Defense, but by April 1943, the organization was under the command of the Army Air Forces. CAP members became known as the “Minutemen” of World War II, performing many coastal patrol missions involving searching for enemy submarines and saving hundreds of crash victims (CAP History 2002). “Anti-submarine patrol for the Civil Air Patrol lasted from March 5, 1942, until August 31, 1943…. 26 CAP pilots and observers lost their lives and seven sustained serious injuries. In all, 90 ­aircraft were lost during that 18 months” (Burnham 1974, 28). CAP aircraft and pilots also were used for patrolling the U.S.–Mexican border to spot any unusual activities by enemy agents. The CAP became an official auxiliary branch of the U.S. Air Force by an Act of Congress in May 1948 (Public Law 557). The Act provided that the CAP would have three major missions: aerospace education, emergency services, and a cadet program. The CAP’s national headquarters is located at Maxwell Air Force Base in Montgomery, Alabama. The organization has Downloaded by [University Library] at 16:58 20 July 2017 158 American Volunteer Police nearly 53,000 members in 1,900 units. Applicants are screened by the FBI. Since 1986, the CAP has provided communications support to various federal and local law enforcement agencies engaged in counterdrug operations, especially in remote and sparsely populated areas. However, members cannot carry firearms or act as law enforcement officers (CAP Support to LEA 2002). Assessing natural disasters through aerial surveys and transporting vital supplies are among the many duties also performed by the CAP (Dooris 2008). As an auxiliary of the U.S. Air Force, the CAP is organized along military lines. However, it is also classified as a nonprofit, 501(c) (3) corporation, allowing the organization to accept donations and to raise money for aircraft maintenance, fuel, and other costs and services (Dooris 2008). Its governing body is a national board whose members are elected except for the post of the senior air force advisor. The advisor’s position is held by an active duty air force colonel who, in addition to serving in this critical advisory role, is also the CAP–U.S. Air Force commander. CAP is organized into eight geographic regions with a total of 52 wings. Each state, the District of Columbia, and the Commonwealth of Puerto Rico has a CAP wing. Each wing is headed by a CAP commander and has one or two retired U.S. Air Force members who perform liaison duties. The wings are subdivided into groups, squadrons, and flights depending on their size (CAP Organization 2002). In addition, there is a CAP National Staff College (NSC). The NSC offers a one-week executive management course that provides CAP officers with advanced leadership training (CAP News 2001). The CAP provided the first direct aerial photos of the World Trade Center (WTC) disaster site in New York City. (Images can be found at http://www. Capnhq.gov.) On September 12, 2001, a day after the attack on the WTC, CAP planes began to fly over the disaster site in order to take high resolution digital images for study by the Graphic Information Program of the New York State Emergency Management Office. In addition, CAP volunteers transported cases of blood, needed medical supplies, and government officials; monitored airspace at many airports; and provided communications support to many state and local agencies (CAP News 2001). The CAP implemented a security background check for all members in 1988. This resulted in a decrease in senior membership numbers for the next six years. CAP receives oversight from the Inspector General Program. “The CAP Inspector General Program ensures the integrity of the organization and provides CAP leadership the ability to identify and rectify program shortfalls for the purpose of bolstering efficiency…. Once every four years, the U.S. Air Force, working in conjunction with the CAP Inspector General, conducts quality assurance assessments of each of the 52 wings to streamline processes and detect and eliminate wasteful or fraudulent practices” (Dooris 2008, 47). The Federal Government and Volunteer Policing 159 Downloaded by [University Library] at 16:58 20 July 2017 U.S. Power Squadrons The U.S. Power Squadrons (USPS) was founded in 1914 and constitutes the only other major U.S. maritime volunteer organization in addition to the Coast Guard Auxiliary (CGA). The USPS is not associated with the military; rather, it is a self-sustaining, privately funded organization composed of nearly 40,000 members organized into more than 400 squadrons across the country and in some U.S. territories. The operational unit of the USPS is the “squadron.” USPS members use squadrons to conduct meetings, training, social events, and other ­boating-related activities. The USPS works closely with organizations such as the U.S. Coast Guard (USCG), the U.S. Coast Guard Auxiliary (USCGA), and the National Ocean Services Division of the National Oceanic and Atmospheric Administration to promote boating safety, conduct courtesy vessel safety checks, update and correct nautical charts, and to assist with other community improvement projects. The USPS offers an array of educational courses to its members, as well as the boating public, and fellowship activities afloat and ashore. Successfully completing a USPS boating safety course meets the educational requirements for boat operation in all states. “USPS is America’s largest non-profit boating organization and has been honored by three U.S. presidents for its civic contributions” (About USPS 2013). Membership in the USPS can be advantageous. For example, in 2013, the navigation law for New York State was amended. The new law requires operators of mechanically propelled vessels in New York waters (who must be over 10 years old), born on or after May 1, 1996, to be holders of a boating safety education certificate. However, there are certain exceptions, including minors between 10 and 18 accompanied by an adult certificate holder, new boat owners (within a 120-day grace period), boating safety instructors, USPS members, USCGA members, licensed captains, or on-duty emergency service, rescue, and law enforcement personnel (Peconic Bay PS 2013). U.S. Coast Guard Auxiliary The USCG enforces a wide variety of laws, from halting the flow of illegal drugs, aliens, and contraband into the United States through maritime routes to preventing illegal fishing and suppressing violations of federal law in the maritime arena. Before receiving its current name in 1915, it had five predecessor agencies: the Revenue Cutter Service, the Life-Saving Service, the Lighthouse Service, the Bureau of Navigation, and the Steamboat Inspection Service.6 Its civilian volunteer counterpart, the Coast Guard Auxiliary, was established in 1939 in response to the increasing number of recreational boating accidents. The original name of the Coast Guard Auxiliary was the “Coast Guard Reserve.” The 1939 federal law establishing it provided that members were not Downloaded by [University Library] at 16:58 20 July 2017 160 American Volunteer Police to hold military ranks, wear uniforms, receive military training, or “be vested with or exercise any right, privilege, power, or duty vested in or imposed upon the personnel of the Coast Guard” (Hall et al. 2007, 15). Nor were Coast Guard Reservists to be considered government employees. The Coast Guard Reserve lasted less than two years in its original form. On February 19, 1941, Congress restructured the Coast Guard Reserve, renaming the original organization the U.S. Coast Guard Auxiliary (USCGA) and establishing a new U.S. Coast Guard Reserve that would function as a source of wartime manpower, like the reserves of the other armed services (Hall et al. 2007). The CAP and the USCGA are the only military-sponsored volunteer (unsalaried) institutions in the United States (aside from ROTC and JROTC units). The opportunities for service in the new Coast Guard Reserve included two categories—“regular reservists” and “temporary members of the reserve” (known as a “Coast Guard TR”). A Coast Guard TR was “a volunteer who served only in some designated geographic area (usually near his home or workplace) and less than full-time. Age limits for TRs were 17 and 64, and physical requirements were not stringent. Members of the Auxiliary were invited to enroll in the Reserve as TRs and bring their boats with them” (Tilley 2003, 3). During World War II, “the character of the Auxiliary changed from an organization primarily designed to help pleasure boaters into a flexible workforce able and willing to step in wherever the USCG needed them” (Hall et al. 2007, 15). Volunteers, including movie stars such as Humphrey Bogart, as well as Arthur Fiedler, conductor of the Boston Pops Orchestra, patrolled for German U-boats. In addition, a unique Volunteer Port Security Force was established to prevent sabotage and subversive activities’ on the nation’s waterfronts. According to Tilley (2003, 4), “perhaps the Auxiliary’s most important contribution to the war effort came in the form of the Volunteer Port Security Force…. The task of protecting the hundreds of warehouses, piers, and other facilities that kept the American shipping industry in business fell to the Coast Guard.” Fortunately, the depleted forces of the Coast Guard were bolstered by its two-part Reserve system and its Auxiliary. Approximately 20,000 Reservists and Auxiliarists participated in the Volunteer Port Security Force (Tilley 2003). Generally, individuals assigned to the Port Security Force performed their unsalaried duties on shore. “As the war went on and the Coast Guard’s resources were stretched thinner, Auxiliarists were called upon to fill gaps wherever active duty Coast Guardsmen left them. Auxiliarists’ boats patrolled the waterfronts and inlets looking for saboteurs, enemy agents, and fires. Other Auxiliarists manned lookout and lifesaving stations near their homes, freeing regular Coast Guardsmen for sea duty. When a flood struck St. Louis in the spring of 1943, Coast Guard Auxiliarists evacuated 7,000 people and thousands of livestock. In addition, airplanes joined the Auxiliary and Auxiliarists began flying missions for the USCG (Hall et al. 2007). Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 161 (A five minute recruiting film for the Coast Guard Volunteer Port Security Force entitled “So’s Your Old Man” may viewed online at: http://www.­ youtube.com/watch?v=x72rrOHohIC.) One of the most challenging events in the history of the USCG was the “Mariel Boatlift.” It began when Cuba suddenly announced it would permit a massive emigration through the Port of Mariel. For three weeks, a steady stream of small boats of every description, averaging 200–300 per day, made their way from Cuba to Florida. The USCG mobilized all of its resources in the area. Auxiliarists manned radios, performed search and rescue along the Florida coast, and stood watch at the stations in the Coast Guardsmen’s absence (Hall et al. 2007). Currently, the USCG is a division of the DHS. In recent years, its role in the suppression of drug trafficking has been significantly expanded. The USCG has about 35,000 active duty members and about 8,000 Reservists. More than 2,700 Reservists were called up to assist in antiterror efforts after the attacks on America’s homeland on September 11, 2001. In addition, there may have been as many as 28,000 CGA members who were available for the performance of volunteer assignments during the emergency (Gilmore 2001). Typically, many members of the Auxiliary operate their own boats to assist in marine safety programs. When so used, these craft are considered to be U.S. government property. Prior to September 11, the Auxiliary had three major missions: public education, the provision of courtesy marine inspections, and on-water operations (search and rescue, safety patrols, etc.) (Kastberg 1998). According to Coast Guard Commander Chris Olin, Auxiliary members performed approximately 124,000 hours of volunteer duty between September 11 and December 7, 2001 (Olin 2001). By January 4, 2002, that number had reached 152,850 hours, an increase of approximately 45,040 hours over the previous year’s hours in similar categories of effort (Operation Noble Eagle 2002). Hundreds of multimission waterside and shoreside patrols were conducted during this time frame (Olin 2001). Many of these patrols involved the protection of the nation’s more than 360 ports, especially some 90 ports and waterway areas that had been designated as “security zones.” In such zones, boat and ship traffic were prohibited. In New York City, there were eight such zones including areas near the United Nations and the WTC site. The auxiliary members augmented the work of the active duty Coast Guard personnel during the largest port security operation since World War II (Gilmore 2001). On October 2, 2001, Viggo C. Bertelsen Jr. the volunteer national commodore of the USCGA announced that he had received a call from Admiral James M. Loy, the commandant of the Coast Guard. In the call, Loy expressed his appreciation for Auxiliary’s service in providing critical assistance to the Downloaded by [University Library] at 16:58 20 July 2017 162 American Volunteer Police Coast Guard’s missions since the events of September 11. In particular, he said: “We couldn’t have done it without you” (Bertelsen 2001). Applicants for the CGA must be U.S. citizens at least 17 years of age. Members are eligible to take advance training courses in navigation, seamanship, communications, weather, patrols, and search and rescue procedures. The Auxiliary has members in all 50 states, Puerto Rico, the Virgin Islands, American Samoa, and Guam. Although under the authority of the commandant of the USCG, the Auxiliary is internally autonomous, ­operating on four organizational levels: flotilla, division, district, and national. At the national level, there are officers who are responsible, along with the commandant of the USCG, for the administration and policy making for the entire Auxiliary (Hall et al. 2007). In the past, Auxiliarists have played limited roles in the law enforcement field; for example, providing vessels and crews for training Coast Guard members, engaging in port security, performing unobtrusive law ­enforcement observations, conducing safety checks by boarding recreational boats, ­providing transportation and platforms for Coast Guard boarding parties, rendering assistance in the validation process for Merchant Mariner credential applications, and carrying out other missions incorporated ­ into programs such as America’s Waterway Watch and Operation Patriot Readiness (Dooris 2008). However, in recent years, there have been efforts made to clarify the role of the Auxiliary in any law enforcement activities. In 2006, a policy directive was issued declaring the Auxiliary was to be restricted to the performance of only specific types of non-law enforcement missions. For example, “Auxiliary facilities may be used to conduct the newly renamed Maritime Observation Mission (MOM)…. This is a non-law enforcement mission whose primary purpose is to provide increased maritime domain awareness by observing areas of interest and reporting findings to the operational commander while maintaining the safety of auxiliary personnel. Should Auxiliarists observe anything suspicious during the course of normal multi-mission patrols, they should record and report the same immediately … but take no additional action” (Hall et al. 2007, 17). In particular, in accordance with operations policies, Auxiliarists cannot execute direct law enforcement missions, but they may support certain Coast Guard law enforcement activities. The key restriction is that no command can vest Auxiliarists with general police powers (e.g., power to search, seize, or arrest) or give them the authority to engage in any type of direct law enforcement or police action. In addition, Coast Guard Auxiliarists are prohibited from carrying weapons (Hall et al. 2007). Dooris (2008) concluded that the USCG lacks the personnel and resources to fill critical gaps in its safety and security missions without help from its volunteer arm, the CGA. However, such a reliance has become more tenuous because Auxiliary membership has decreased by Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 163 about 20% since 2003 to its current strength of 28,635. This trend is in sharp ­contrast to membership trends in other large volunteer groups in the United States. Furthermore, at its current strength, the Auxiliary is far from the 48,000-member goal declared, in a 1987 governmental report, as mission critical by 2000 (Dooris 2008). The USCGA has not instituted any in-house youth program with appropriate standards for operation and, as of the present time, appears to have no interest in doing so. Nonetheless, on a limited basis, the USCGA has expanded its youth interaction by entering into participatory agreements with the Boy Scouts of America (BSA) and the U.S. Naval Sea Cadet Corps (NSCC) to provide shoreside and boating safety training opportunities to the interested youth of these organizations. However, in March 2011, the national commodore of the USCGA cautioned all subdivisions that before members undertake such t­raining programs, “They must understand the risks involved including potential legal liability inherent in working with youth in our litigious society. Before engaging in such activities, interested members and units should first use their Chain of Leadership to obtain the consent of the District Commodore to engage in the activities; and, thereafter, consult with the District Legal Officer (DSO-LP) regarding all pertinent legal issues” (Vass 2011). The absence of any youth division within the USCGA is in stark contrast to the youth training offered by the CAP, Police Explorers, and other organizations. The absence of a structured youth program is likely to forestall future membership of young adults in the organization. Proposal for a U.S. BPA Within the DHS is the U.S. Customs and Border Protection (CBP) division, which includes the U.S. Border Patrol (USBP) and the CBP Office of Air and Marine, the largest aviation/marine force in federal law enforcement. In 2007, Christopher Hall, a captain in the USCG, and three other senior governmental and military officers proposed the creation of a “Border Patrol Auxiliary”.7 The BPA has been proposed as a professional organization of auxiliary members working side-by-side with Border Patrol agents in support of the Border Patrol mission. To guarantee the integrity and respectability of the Border Patrol, volunteers would be screened to ensure they have the characteristics essential for maintaining the high standards of the Border Patrol. The mission of the proposed BPA would be “to assist the U.S. Border Patrol in accomplishing the mission of detecting, interdicting and apprehending those who attempt to illegally enter or smuggle people, including terrorists, or contraband, including weapons of mass destruction, across U.S. borders between official ports of entry” (Hall et al. 2007, 37). In order Downloaded by [University Library] at 16:58 20 July 2017 164 American Volunteer Police to maximize the effectiveness of the BPA, a two-tiered system would be developed. The primary purpose of tier one auxiliary members would be to improve the efficiency of the Border Patrol by relieving regular Border Patrol agents from administrative and support roles, which keep them from performing direct operational missions. The primary purpose for tier two auxiliary members would be to improve the effectiveness of the Border Patrol by increasing the number of agents along the border beyond the congressionally restricted number of 18,000 Border Patrol agents. The actual strength of the BPA would reflect the needs of the Border Patrol, but the number authorized would be at least equal to the authorized agent strength for the Border Patrol. On this point, the proposers noted that the number of USCGA members outnumbers their active duty counterparts. After completion of an appropriate training program, tier one BPA members would be required to perform a minimum of 12 hours per month or 36 hours per quarter in order to maintain proficiency in an auxiliary member’s functional area. They would make up approximately 80% of the members of the BPA. Tier two auxiliary members would be the elite members of the BPA making up the remainder of the force. They would be fully trained at the Border Patrol Academy to perform side-by-side with Border Patrol agents in all aspects of border security operations. In order to maintain good standing in the force, a minimum of 16 hours per month or 48 hours per quarter would be required. In addition, the members would have to complete the same annual training as regular full-time Border Patrol agents (Hall et al. 2007). The twotier BPA proposal parallels to some extent the two-level MPD Reserve Corps program requirements. With regard to finding sufficient volunteers for the new BPA, the proposers pointed out that other federal agencies such as the Coast Guard Auxiliary have found them and that the BPA should have the same appeal, namely, “patriotic duty and local community impact—with little geographic overlap to create competition between them” (Hall et al. 2007, 29). However, they also indicate that recruiting tier two members would be difficult because the ideal candidates would be those persons who already possessed a law enforcement or military service background. Criminal justice college graduates would also fall into this preferred category. In addition, finding qualified tier two volunteers for service in rural areas would also be a problem. In order to address this recruitment problem, the BPA proposal would be stronger if it followed the design of the Metropolitan PD Reserve Corps, which provides specific criteria for transitioning from a Level II to a Level I Reserve Officer. In support of their BPA proposal, Hall and his associates (2007, 44) argue that “securing the border is the first step to controlling the influx of ­criminal activity and illegal immigration into the United States. By creating the U.S. BPA, the Border Patrol can increase the n ­ umber of ­qualified agents on The Federal Government and Volunteer Policing 165 the border, which is a proven deterrent to illegal immigrants and criminals along the border while increasing their capability and capacity across the entire spectrum of operations. All of this can be accomplished at a fraction of the cost by using volunteers. It will also expand citizen involvement in a critical area of national security. Together the nation can once again overcome a direct threat to our national security through the cooperation of governance and the people.” Downloaded by [University Library] at 16:58 20 July 2017 The Commonwealth of Puerto Rico Auxiliary Police The Puerto Rico Police Department (PRPD) is responsible for policing and carrying out essential public safety functions for the Commonwealth of Puerto Rico. The PRPD is the second-largest police department in the United States, second only to the New York City Police Department. The PRPD has over 17,000 police officers who serve the island’s approximately 3.7 million residents (ACLU 2012, 2). The Puerto Rico Police traces its history back to 1837, when the La Guardia Civil de Puerto Rico (Puerto Rico Civil Guard) was created to protect the lives and property of Puerto Ricans, who at the time were Spanish subjects. It provided police services to the entire island, although many municipalities maintained their own police force. Since taking possession of Puerto Rico in July 1898, as a result of the Spanish-American War, the United States has controlled the island as a U.S. Territory. In 1996, a substantial revision of the police organization took place by virtue of the Puerto Rico Police Act of 1996. This act included various provisions about an auxiliary police organization and indicated the following definition for an auxiliary police officer: “a volunteer citizen accredited by the police as such, subject to the norms established by the Superintendent. Through their services, they shall assist in the fight against crime and towards the welfare of the citizens. They shall receive no financial compensation whatsoever for their services” (Puerto Rico Police Act of 1996, 2012, 5). Members of the auxiliary force have the same uniforms as regular members of the Puerto Rico Police. All pins, identification, and uniform accessories are also the same. Qualifications for membership include being an American citizen and resident of Puerto Rico The auxiliaries may render crime prevention services on routine patrol, in schools, parks, malls, urban train stations, and at other locations. They may also be assigned to provide support services at the offices of police superintendents, area command centers, districts, precincts, police detachments, and mini police stations. Auxiliary Police officers who have been trained in the proper use and safe handling of firearms and have complied with the provisions of law are authorized to use their firearms in the performance of their duties (Puerto Rico Police Act of 1996, 2012, 33–35). 166 American Volunteer Police Downloaded by [University Library] at 16:58 20 July 2017 U.S. Virgin Islands Police Auxiliary Service The U.S. Virgin Islands are located in the eastern Caribbean, approximately 1,100 miles southeast of Miami, Florida. They are 40 to 50 miles east of Puerto Rico. During the seventeenth century, the archipelago was divided into two territorial units, one English and the other Danish. Sugarcane, produced by slave labor, drove the islands’ economy during the eighteenth and early nineteenth centuries. In 1917, during World War I, the United States purchased the Danish portion for $25 million, which had been in economic decline since the abolition of slavery in 1848. The United States was concerned that Germany would capture Denmark, and Denmark was afraid that the United States would simply take them if that happened. Today tourism contributes majorly to the Islands’ economy; many of the tourists visit on cruise ships. During World War I, Congress passed the National Defense Act of 1916, which required the use of the term “National Guard” for the then existing state militias and further regulated them. Congress also authorized the states to maintain Home Guards, which were reserve forces separate from the National Guards. The Secretary of War was authorized to furnish these units with rifles, ammunition, and supplies (see Vol. 40, U.S. Statutes at Large 1917, 181). In 1940, with the onset of World War II, and as a result of its federalizing the National Guard, Congress amended the National Defense Act of 1916, and authorized the states to maintain “military forces other than National Guard” (see Vol. 54, U.S. Statutes at Large 1940, 1206). This law authorized the War Department to train and arm the new military forces that would come to be known as State Guards. Many states and U.S. Territories took advantage of this law and maintained distinctive local military forces throughout the war. Congress granted U.S. citizenship to Virgin Islanders in 1927. The governor was elected by popular vote for the first time in 1970; previously he had been appointed by the U.S. president. Residents of the islands substantially enjoy the same rights as those enjoyed by mainlanders, but they may not vote in presidential elections (U.S. Virgin Islands, 2014). As a result of the Revised Organic Act of 1954, the governor of the Virgin Islands was required to reorganize and consolidate various island governmental agencies into the executive branch. Consequently, in 1955, island police agencies were merged to form a Department of Public Safety, as an executive department. Previously, the Organic Act of 1936 had divided the U.S. Virgin Islands into two municipalities, namely the Municipality of Saint Croix and the Municipality of Saint Thomas and Saint John. Each municipality had its own law enforcement agency known as the “Police and Prison Department.” The new territory-wide Department of Public Safety included both a Police Division and a Fire Division. In addition to enforcing the laws relating to public safety, the Police Division supervised a Civilian Defense Program and the activities of the Home Guard. In 1967, Civil Defense was transferred from the Downloaded by [University Library] at 16:58 20 July 2017 The Federal Government and Volunteer Policing 167 Department of Public Safety to the Office of the Governor and is ­presently under the Office of the Adjutant General of the Virgin Islands National Guard, having been renamed the Virgin Islands Territorial Emergency Management Agency (VITEMA). In the late 1970s, responsibilities for fire prevention and control were transferred to the Office of the Governor. In 1985, as a result of these changes and other duties being removed to other executive agencies, the Department of Public Safety was renamed the U.S. Virgin Islands Police Department (VIPD). Several years earlier, the Home Guards had been renamed the Virgin Islands Police Auxiliary (Lewis 2014). Upon acceptance into the U.S. Virgin Islands Police Department Auxiliary Program, members are required to complete a police training academy for certification (VIPD 2014a). In May 2010, ten new volunteer police recruits completed the 22-week course alongside regular police recruits (Shea 2010). Police auxiliary members must work a minimum of 24 per month, unless otherwise ordered by the Police Commissioner. The members of the police auxiliary help with civic activities and a wide range of other duties, including partnering with a patrol officer to delivering a speech at a Neighborhood Watch meeting. The members of the volunteer police in the U.S. Virgin Island can achieve various ranks from auxiliary police corporal to captain. In times of natural disaster or other emergency, auxiliary police have been called upon to serve their communities under difficult circumstances (VIPD 2014a). During the passing of Hurricane Omar in October 2008, auxiliary officers helped to maintain public safety; protected life and property; assisted with emergency evacuation and provided security at designated shelters (VIPD 2014b). The VIPD also sponsors a police cadet program that prepares young men and women for careers in police work and in partnership with the University of the Virgin Islands provides police cadets full scholarships if they are pursuing a degree in Criminal Justice. “Cadets work alongside police officers and during official police activities, such as funerals, police week activities or other similar programs” (VIPD 2014c). Guam Police Department Civilian Volunteer Police Reserve Guam, lying about 6,000 miles west of San Francisco, is an organized, unincorporated territory of the United States located in the western Pacific Ocean. After the Spanish-American War of 1898, Spain ceded Guam to the United States. It is one of five U.S. territories with an established civilian government. Guam is the southernmost and largest tropical island in the Mariana island chain and is also the largest island in Micronesia. By plane, Guam is approximately 3 hours flying distance to several major Asian cities, including Manila, Hong Kong, Tokyo, Seoul, Taipei, and Sydney. Guam was probably explored by the Portuguese navigator Ferdinand Magellan (sailing for Spain) in 1521. The island was formally claimed by Downloaded by [University Library] at 16:58 20 July 2017 168 American Volunteer Police Spain in 1565, and its people were forced into submission and conversion to Roman Catholicism beginning in 1668. For two years during World War II, the Japanese military occupied Guam until it was retaken by force in 1944. The people of Guam have been U.S. citizens since 1950. Since 1973, Guam has been represented in the U.S. Congress by a nonvoting delegate, but they do not participate in presidential elections. The people of the U.S. Virgin Islands also have a nonvoting representative in Congress. The executive branch includes a popularly elected governor, who serves a four-year term. It is home today to a relatively large U.S. military presence (Guam 2014). Similar to the history of policing in the U.S. Virgin Islands, in 1985, Guam’s Department of Public Safety was separated into two departments— the Guam Police Department and the Guam Fire Department. In 1952, the Department of Public Safety was established to replace the U.S. Navy’s control over the Guam Insular Guard, a local police force dating back to 1905 (Torre 2011). Currently, the Territory of Guam has two volunteer police programs associated with its police department: the Guam Police Department’s Community Assisted Policing Effort (CAPE) and the Guam Police Department’s Civilian Volunteer Police Reserve composed of over 100 persons. The police reserves have peace officer authority, but the volunteers of the CAPE program are not peace officers. Regulations require that CAPE volunteers acknowledge that their services do not constitute employment for purposes of the Worker’s Compensation Act and that they are not entitled to benefits under the act. The general functions and duties of the Civilian Volunteer Police Reserve (CVPR) are to provide backup manpower for the suppression of crime, preservation of law and order, fight and control fires, and to assist in civil emergencies (Guam CVPR 2014). In March 2012, 22 men and 11 women became members of the Guam Police Department’s CVPR unit after graduating from their training academy course. Several of the volunteer police reservists had previously participated as members of the CAPE program. At the graduation event, Eddie Baza Calvo, Guam’s Governor, stated: “You are putting yourself in the line of fire every day” (Taitano 2012). Indeed, in 1979, Reserve Officers Helen Lizama and Rudy Iglesias were killed when they responded to a burglary alarm at a business. They were both shot by a getaway driver as they exited their patrol car (ODMP 2014). In December 2012, an additional 25 persons completed the reserve academy that involved eight months of training (Sablan 2012). In January 2014, 29 more individuals were sworn in and among the graduates were a mother and her two children. The ceremony was held at the Sheraton Laguna Guam Resort, and the three family members took their oath of office from Guam’s Lt. Governor Ray Tenorio (Reilly 2014). In 2010, the successful recruitment, selection, and training of Guam Police Department’s CVPR unit served as a role model for the passage of The Federal Government and Volunteer Policing 169 Downloaded by [University Library] at 16:58 20 July 2017 a law to establish a Civilian Volunteer Airport Police Reserve program within the Airport Police. The statute indicated that the authority of such new organizational personnel shall include when rendering assistance to police or...
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