HereUs a paper I put together for a course last year. IUm interested in getting some feedback on it - comments, ideas, other sources of info, etc. Thanks. ICS BASIC PRINCIPLES AND EOC STAFFING By David B. Rider THE NEED FOR A SYSTEM This paper provides a basic description of the Incident Command System (ICS). It acknowledges the importance of the Emergency Operations Center (EOC). It attempts to apply the structure and methodology of ICS to the various functions and needs associated with the EOC. Admittedly, much work needs to be done in this regard. It is imperative for a national body (FEMA, NCCEM, Others?), to conduct this work. National guidance must be provided to those jurisdictions implementing an incident command system within their EOCUs. LEGAL BASIS Some rules and regulations have been implemented to force implementation of an incident command system throughout the land. The Superfund Amendments And Reauthorization Act (SARA) directs the federal Occupational Safety and Health Administration (OSHA) to establish rules regarding the use of ICS (29 CFR 1910.120). Some states conduct their own occupational safety programs. Washington is such a state through the Washington Industrial Safety and Health Act administered by the Department of Labor and Industries. The federal Environmental Protection Agency (EPA) requires these states to implement the use of ICS. The National Fire Protection Association (NFPA) a national fire industry publications, training, and standards making body, there are at least two standards regarding ICS: 1.NFPA 1500 Q Training, Safety, Supervision 2.NFPA 1561 Q Broad Guidelines For Emergency Management Systems. There are also increasingly state, local, and insurance rules, regulations and requirements related to the use of ICS. WHAT THE SYSTEM SHOULD DO Whatever system eventually is implemented, it must accept certain caveats and design criteria in order for it to be acceptable and useful for all the possible applications that may require a "disaster" mode or response. In other words, it must be flexible. The system has to follow basic, proven management principles, such as unity of command (not to be confused with unified command), span of control, and division of labor (tasks). Perhaps the biggest concern is that this system should really be adaptable to all likely responses for a jurisdiction, such as: Fires, Floods and Major Storms, Earthquakes, Hazardous Materials Incidents, Major Accidents (aircraft, etc.), Civil Disorder, Terrorism. The system must be able to successfully integrate a very diverse range of resources, both internal and external (e.g., mutual aid), while maintaining unity of command within the system. Unlike routine incident response, emergencies, and disasters (See definitions at the end of this paper) usually require a multi-discipline approach, typically involving the simultaneous actions of the following: Fire Service Law Enforcement Emergency Medical Public Works Parks and Recreation Government Administrative Elements Emergency Management Agencies Quasi-Governmental Agencies Private Sector Not uncommonly, response also involves multiple "tiers" of government (i.e., city, county, state, federal), and the military (both state - "National Guard", and Federal). In recent significant events, and most current planning efforts, there is an increase in the actual or anticipated role(s) of the private sector, ranging from public utilities to construction and service contractors, and others. Any proposed system must also be able to expand or contract as the incident changes, matching the size of the management system to the actual requirements of the event. There are many ways to configure a response system to do these things. There are many versions already in existence, in large and small jurisdictions. After examining a number of these existing systems, we invariably find they all have certain commonalities, such as: 1.Somebody must be in charge. This may be an individual or a group speaking as a single entity (Strategic Command); 2.There must be somebody to carry out the strategic objectives of the organization (Tactical Command); 3.Somebody needs to know what the problem is Q the current situation and future probabilities for the incident (Planning); 4.Support requirements, including personnel, equipment and facilities, must be met (logistics). (NOTE:There are many other organizational requirements that have not been included in this list.) COMMON TERMINOLOGY It is essential for any management system, especially one to be used by diverse participants, that common terminology be established. Command - To direct with authority; give orders to; the ability to commit or withdraw assets from a situation. Facilities - Common identifiers used for those facilities in and around the incident area that will be used during the course of the incident. Organizational Functions - A standard set of functions and functional units that have been predesignated and named. Terminology for the organizational elements must be standard and consistent. Resources - The combination of personnel and equipment used in an incident. A key element is to establish common names for all primary and support resources. Any resource that varies in capability must be clearly typed as to each capability. Strategy - The science or art of command as applied to the overall conduct of large-scale operations; the overall objectives of the response, often phrased in terms such as response priorities, damage control missions (e.g., ". . . stop the fire from jumping the freeway . . .,S etc.), or restoration goals. Tactics - The technique of securing the objectives designated by strategy; specifically, the art of deploying and directing resources to meet the situation; the means by which organizational objectives are accomplished. HOW THE SYSTEM MIGHT LOOK There are many existing incident management systems already in place around the country. These systems all work with varying degrees of success. More and more jurisdictions are implementing a system utilized for years by the fire services, and by the military since before Julius Caesar. This system, called the Incident Command System or ICS, was developed in response to the same types of management problems commonly encountered in virtually every disaster environment. Reviewing the system parameters for ICS looks exactly like a list that might have been developed by an emergency planner when considering the problems of all-hazard response management. SYSTEM REQUIREMENTS The following are basic system requirements for the ICS. 1.The system must allow the following kinds of operation: (1) single jurisdiction and single agency, (2) single jurisdiction with multi-agency involvement, (3) multi-jurisdiction and multi-agency involvement. 2.The system's organizational structure must be able to adapt to any emergency or incident to which an emergency response could reasonably be expected. 3.The system must be applicable and acceptable to the users throughout the jurisdiction. 4.The system should have the capability to adopt new technology. 5.The system must be able to expand and contract in a logical manner from an initial incident situation to a major disaster. 6.The system must have basic common elements in organization, terminology, and procedures, allowing for the maximum application and use of already developed qualifications and standards. 7.Implementing the system should have the least possible disruption to existing systems. 8.The system must be effective in fulfilling all of the above requirements and yet to be simple enough to ensure low operational maintenance costs. A system was developed featuring a number of elements addressing the identified problems and requirements. These components provide the basis for an effective incident command system. UNIFIED COMMAND STRUCTURE Incidents have no regard for jurisdictional boundaries. Searches, wildland fires, floods, hurricanes, earthquakes, etc., and in many cases, require a multi-jurisdictional response. Because individual agency responsibility and authority is normally confined legally to a single jurisdiction, the concept of unified command simply means that all agencies having a jurisdictional responsibility in an incident contribute to the process of: determining overall incident objectives. selection of strategies. ensuring that joint planning for tactical activities will be accomplished. ensuring that integrated tactical operations are conducted. making maximum use of all assigned resources. eliminating needless duplicative response efforts. THE ICS ORGANIZATIONAL MODEL A basic concept of ICS is that of a modular structure that builds from the top down, based upon the kind and size of incident. The organizationUs staff expands and contracts logically. As the need arises, other functional sections can be added. The specific arrangement established for any given incident will be based upon the management needs of the incident. If one individual can simultaneously manage all major functional areas, no further organization is required. If one or more of the functions requires independent management, an individual must be named to be responsible for that function. ICS has a highly detailed organization. Here, we will focus only on the major elements and examine their application as they relate to staffing an Emergency Operations Center. The following descriptions are of the major components of ICS: INCIDENT COMMAND Q overall responsibility for the management of an operation. This may include staff required to support the command function. It may include representation from all of a jurisdiction's agencies, or from multiple jurisdictions when appropriate. OPERATIONS Q responsible for all tactical command and coordination of incident response (in accord with the approved incident action plan), regardless of agency affiliation or type of asset (e.g., law enforcement, fire suppression, medical, etc.). PLANS Q this becomes the organizational focus for all information or intelligence relative to the incident. This element is responsible for maintaining the current situation status as well as attempting to predict future incident developments. This section also has the primary responsibility for the production of action plans developed in coordination with the other organization elements. It is the responsibility of this section to work very closely with both the Operations and Incident Command elements in order to meet their intelligence requirements. LOGISTICS Q any personnel, supplies, materials, etc. required to control the situation or support the response structure are provided by this section. All requests for assets, whether internal (i.e., from the original jurisdiction) or external (mutual aid), are directed to this element. FINANCE Q this element is designed to handle all the financial aspects of an operation, as well as all the personnel timekeeping records. Other duties may include handling claims information or other data. For easy reference and understanding, personnel assigned to manage at each level of the organization carry distinctive organizational titles: Level Title 1.Incident Command Q Incident Commander 2.Command Staff Q Officer 3.Section Q Section Chief 4.Branch Q Branch Director 5.Division Q Division Supervisor 6.Unit Q Unit Leader In ICS, the first management assignments by the Initial Incident Commander will normally be one or more Section Chiefs to manage the major functions. Section Chiefs will further delegate management authority for their functions as required. If the Section Chief sees the need, additional Units may be established within the Section. Similarly, each Unit Leader will further assign individual tasks within the Unit as needed. A primary consideration in the activation and staffing of sub-elements for the management principle of effective "span-of-control". This usually means limiting the number of subordinate elements to between five and seven as a maximum manageable number. UTILIZING ICS IN THE EOC Systems, like plans, always look good on paper, but the real test is to see if they are functional and how well they mesh with reality (reality, of course, always wins). One of the real requirements of any system is that it must be able to fit and operate within the facility (or facilities) provided. Ideally, a facility can be designed around the management organization without worrying about such constraints as costs or space availability; however, these factors are far more often present than not. Since that is so, the proposed system must be reviewed to determine which components must be included in limited space, and which ones might be located, without impairing EOC functions, in adjacent or nearby space. If the most important functions of the EOC are to centralize "command" and coordinate "resource allocation" , then it quickly becomes obvious that the most important function that must be in the EOC is that of the Operations Section, and all of its tactical elements (Branches). In fact, many professional emergency managers would agree that without coordinated tactical command function being present, you do not have an EOC! So, the first priority in an EOC should be to house the Operations Section. Next, look to what the Operations Section needs in order to perform its mission of tactical command. Certainly, it must be able to communicate. Some form of reliable communications (and appropriate personnel) must be provided. The Operations Section also cannot function very well at all if it does not have adequate intelligence. It will not effectively command if it does not know: 1.Where the problem is. 2.How bad the problem is. 3.How much worse the problem might get. 4.What it has to fight the problem with. These functions are the domain of the Plans Section. They are so critical and so closely intermeshed with the Operations Section that they virtually must be located as closely as possible within the EOC. So, the second priority for space allocation within the EOC will be for appropriate elements of the Plans Section, that is, at least the Situation Status and Resources Status Units. The Incident Commander must be able to communicate with the Operations Section, but if that communication can be reliably accomplished from elsewhere, those functions need not be in the same space. The same goes for the Logistics and Finance Sections; if possible, the EOC should be able to house all of the functions required for the effective management of the event, but if that is not possible or practical or if by doing so the function of the most critical elements would be impaired, then space must be assigned on a priority basis. The critical point is that if all elements cannot be located together, they must be provided with an adequate communication system to allow performance of their tasks. FUNCTIONS OF THE EOC STAFF In general terms, the major functions performed by the staff in an EOC include: EOC Function / ICS Equivalent Executive authority / policy-making (Direction and Control) COMMAND Establishing priorities COMMAND Information collection, evaluation, and display (Disaster Analysis) PLANNING Coordination of resources OPERATIONS Communications/warning OPERATIONS Public information (Media Center) COMMAND STAFF Of course, these people cannot just occupy the EOC in a random fashion with each working independently on whatever task seems vital to them. ItUs easy to see that a "system" must be imposed upon this human effort to create some order out of what would otherwise be chaos. IMPORTANT STAFF COMPONENTS The disciplines which must be represented in the EOC are many and varied. In addition, numerous administrative and support elements must be present in the EOC to provide direct support for response and recovery functions. FACTORS AFFECTING STAFF The emergency staff required to operate an EOC during an emergency will depend on several factors: 1.Size of the jurisdiction 2.Size of the day-to-day jurisdictional staff. 3.Nature of the emergency. 4.Percentage of the jurisdiction (population and area) involved in the disaster or emergency. 5.Size of the facility selected for use as the EOC. NECESSARY AND UNNECESSARY PERSONNEL Everyone wants to "get in on the act." Many EOC staff personnel or service chiefs feel more comfortable with additional personnel close by. Some personnel without an emergency assignment desire to be involved in the action This must be controlled. Only those individuals required to perform emergency response functions during that particular phase of the emergency should be allowed in the EOC. This may, at times, prove difficult to enforce and will require firm policy direction from the chief executive or director. Staff members must be advised of their roles and responsibilities in and emergency, especially if their assignments involve operations in the EOC. This is usually done through the comprehensive emergency plan of the jurisdiction, its associated annexes, and SOPUs. Responsibilities must be clearly delineated and fully understood by all personnel. SUMMARIZING THE SYSTEM The Incident Command System, is but one of many systems that could be used to manage disasters. What distinguishes this system from most of the others is that it works. The intent is to introduce the system and its major concepts and components. It is not intended to be a complete course on the system, but to provoke further inquiries to further knowledge and to encourage a more complete development of the Incident Command System. THE DIFFERENCE BETWEEN AN INCIDENT, AN EMERGENCY, A DISASTER, AND A CATASTROPHE INCIDENT: Describes an event, expected or unexpected, involving shortages of TIME; that places life or property in danger; for which normal police, fire, emergency medical services, or utility response is adequate; that does not require more extensive government or community response effort. EMERGENCY: Describes an event, expected or unexpected, involving shortages of TIME or RESOURCES; that places life or property in danger; that requires response beyond normal incident response resources. DISASTER: Describes an event, expected or unexpected, in which a community's available, pertinent RESOURCES are expended; or the need for resources exceeds availability; and in which a community undergoes SEVERE DANGER; incurring losses so that the SOCIAL or ECONOMIC STRUCTURE of the community is disrupted; and the fulfillment of some or all of the community's ESSENTIAL FUNCTIONS are prevented. CATASTROPHE: Describes an event, expected or unexpected, in which a community, because of the severity of the event, is unable to use its RESOURCES; or the need for resources has greatly exceeded availability; and the SOCIAL or ECONOMIC STRUCTURE of the community has been disrupted; and the fulfillment of the community's ESSENTIAL FUNCTIONS are prevented; and the community is incapable of responding to or recovering from the effects of the event without massive and prolonged OUTSIDE HELP. BIBLIOGRAPHY 1.Incident Command System. NIIMS. Fire Protection Publications, Oklahoma State University, Transcript Press, Norman, Oklahoma. October, 1983. First Edition. 2.ICS-220-1, Incident Command System Position Manual; Command Section. NIIMS. Fire Protection Publications, Oklahoma State University, Transcript Press, Norman, Oklahoma. 3.ICS-221-1, Incident Command System Position Manual; Planning Section. NIIMS. Fire Protection Publications, Oklahoma State University, Transcript Press, Norman, Oklahoma. 4.ICS-223-1, Incident Command System Position Manual; Logistics Section. NIIMS. Fire Protection Publications, Oklahoma State University, Transcript Press, Norman, Oklahoma. 5.ICS-222-1, Incident Command System Position Manual; Operations Section. NIIMS. Fire Protection Publications, Oklahoma State University, Transcript Press, Norman, Oklahoma. 6.ICS-224-1, Incident Command System Position Manual; Finance Section. NIIMS. Fire Protection Publications, Oklahoma State University, Transcript Press, Norman, Oklahoma. 7.Incident Command System Course Materials. Jack Snook, Snook and Olsen, Inc. Tualatin, Oregon. 1991. 8.Blueprint For Community Emergency Management; A Text For Managing Emergency Operations. Patrick LaValla, Robert Stoffel, Emergency Response Institute, Inc. Olympia, Washington. October, 1989. 9.Managing Field Operations; An Introduction To Incident Management. Patrick LaValla, Robert Stoffel, Emergency Response Institute, Inc. Olympia, Washington. 1988. 10.CPG 1-20, Emergency Operating Centers (EOC) Handbook. Federal Emergency Management Agency. Washington, D.C. May, 1984. 11.Community Emergency Management; Development And Strategies. Patrick LaValla, Robert Stoffel, Jack Kartez. Emergency Response Institute, Inc. Olympia, Washington. 1988. 12.Incident Command System Principles And Emergency Operations Center Staffing; Student Text. Staff. California Specialized Training Institute. San Luis Obispo, California. 13.IG 305.7, Overview of the Incident Command System; Instructor Guide. Emergency Management Institute; Federal Emergency Management Agency. Emmitsburg, Maryland. April, 1992.