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Emergency Management & Safety SolutionsOut ofDangerComesOpportunity

Developing a Top-Notch Incident Management Team

Emergency Management &

Safety Solutions

Emergency Management & Safety Solutions


Agenda

• Disaster Lessons to Remember

• Leadership in Times of Crisis

– Two recent disasters

• Five Winning Leadership Strategies

• Organizing Teams

• Implementing the Incident Command System

• Incident Assessment

• Incident Action Plans

• IAP Practice

• Three Things to Remember

September 2012 2


Disaster Lessons

to Remember

September 2012 3


Disaster Lessons to Remember

• Declare the disaster and

activate as early as possible.

• Staff initially to a high-enough

level.

• Issue clear and consistent

instructions to staff.

• Delegate authority to those

who have been tasked.

• Avoid the “We’re a really smart group and we’ll figure it

when it happens” syndrome.

September 2012 4


Disaster Lessons to Remember

• Assume and plan for some

degradation in personnel

and/or systems over time. • Closely monitor team and plan

effectiveness.

• Make decisions – keep

moving forward.– Make changes when necessary,

and keep moving.

• Communicate,

communicate,

communicate.September 2012 5


Leadership in Times Of Crisis

– Recent Disasters –

September 2012 6


7September 2012


Costa Concordia Disaster

• January 13, 2012: The Costa

Concordia partially sank after

hitting a reef off the coast of

Tuscany, requiring the

evacuation of 4,229 people on

board.

– The collision tore a 70-meter

crack in its hull.

– 32 dead (as of 4/12/12).

– 64 injured.

– 2 still missing and assumed

dead.

September 2012 8

Emergency Management & Safety SolutionsOut ofDangerComesOpportunity Where Was Their Leader

(Captain)?

September 2012 9

Emergency Management & Safety SolutionsOut ofDangerComesOpportunity He Told The Coast Guard

and the Judge…

• "I was trying to get people to get into the

boats in an orderly fashion. Suddenly,

since the ship was at a 60-70 degree

angle, I tripped and I ended up in one of

the boats. That's how I found myself in

the lifeboat."

• “I didn't even have a lifejacket because

I had given it to one of the passengers.”

September 2012 10


And Now We Have…

• The hot new phrase:

– 'Get back on board,

damn it!' (English

translation of what the

Italian Coast Guard is

to have said to the

captain.)

– These t-shirts are all

the rage in Italy and,

increasingly, the world!

September 2012 11


Costa Concordia Lessons –

On the Ship

• The Captain never took charge.

– Down-played the incident.

• Ship staff failed to communicate.

– With guests and with each other.

• Guests were never trained.

• Crew was poorly trained.

September 2012 12


• Carnival Cruise Lines was:

– Declining to “’fess up” promptly.

– Casting blame elsewhere.

– Striking adversarial postures with the public, the

government, and the news media.

September 2012


At Corporate

13


www.ems-solutionsinc.com 14

• The public saw Carnival as:

– Not having a crisis plan in hand.

• And if that was their plan/strategy? OMG!

– Not having an understanding of the situation they

were in.

September 2012


Fallout

14


Real leaders are people who “help us

overcome the limitations of our own

individual laziness and selfishness and

weakness and fear and get us to do

better, harder things than we can get

ourselves to do on our own.”

David Foster Wallace

September 2012 15


“Miracle on the Hudson”

• January 15, 2009: About a

minute after take-off from

New York’s LaGuardia

Airport, US Airways #1549

flew through a flock of

Canada geese.

– Birds were sucked into the

twin engines of the Airbus

320, killing the engines.

September 2012 16


• In less than 4 minutes, Captain

Sullenberger and Officer Skiles had to

control a jet plane that had suddenly

lost power. They had to decide

whether they could make an

emergency landing at a nearby airport

or find another alternative to get the

plane down safely.

• The wrong choice over one of the most

crowded cities in the U.S. could have

meant deaths and injuries for the 155

people aboard and perhaps many

more on the ground.

Where Was Their Leader

(Captain)?

September 2012 17


What Were His Leadership Skills?

• Stop and think (albeit quickly).

• Clear grasp of the situation:

– High level of situational awareness (intensely

involved and yet able to see the big picture).

• Willing to make the decision.

• Clear, direct communication.

• Willing to carry the decision into action.

• Reevaluate.

September 2012 18


The Extra Mile

• Sullenberger walked the center aisle of

the plane twice in an effort to make sure

that no one else was still on board. He

also retrieved the aircraft maintenance

logbook.

• Even with the rear doors unusable, the

crew had evacuated the plane within

about three-and-a-half minutes of landing.

September 2012 19


Five Winning

Leadership Strategies

September 2012 20


Leadership From the Start

1. Be Aware: Take a moment to gain situational awareness and figure out what's going on.

2. Be Decisive: Make a decision and move forward. Act promptly, not hurriedly.

3. Communicate: Communicate frequently and manage expectations.

4. Lead: Execute the strategy and exhibit control.

5. Be Flexible: Things will change. Stay loose; be flexible.

September 2012 21


“Be Aware”

• Start with the basics: take a deep breath.

• Acquire situational awareness: What is going on?

• Then, take charge, develop a plan of action, give clear assignments, and establish the next meeting time.

– Sound familiar? This is the background for the Incident

Action Plan (IAP) process of the Incident Command

System (ICS). The IAP is one the of most important

hallmarks of ICS. This process helps to impose order

on a chaotic situation.

September 2012 22


Incident Action Plans (IAP)

• Whether or not you ever formally use the

ICS structure, you need to develop IAPs.

• All IAPs contain:

– Status of the incident.

– Strategic objectives and specific assignments.

– Operational period.

September 2012 23


A common characteristic of people who accomplish something unusual is their

understanding of, and focus on, the objective. If you get the objectives right,

a lieutenant can write the strategy.

General George Marshall

September 2012 24


“Be Decisive”• A leader must provide direction and respond to the

situation in a timely fashion. Make a decision and keep

moving forward.

– Moving too quickly, however, will likely make people anxious.

• A good leader responds to a crisis situation by providing

leadership in a timely fashion.

– During subsequent meetings with the team, a leader discusses

the direction and sets specific timeframes for implementation.

• Legendary coach John Wooden once advised, "Be quick

but don't hurry."

September 2012 25


“Communicate”• Communication is key. Set realistic expectations.

Communicate early and often.

• Emergencies or crises take much longer to resolve then

we like or we think they should. Everyone wants to get on

with their lives.

– Remember the words of former BP CEO Tony Hayward after the

Gulf oil spill: “I want my life back.”• Disasters take time to recover from and a quick resolution

is often not possible. It falls to the leader in charge to

address the size and scope of the crisis.

• Don't alarm people, but don’t be afraid to speak to the

magnitude of the situation. September 2012 26


“Lead”

• When things are happening quickly, no

one may have actual control of the

situation, but a leader can assume control.

– In other words, you can’t control the disaster, but you can control the response.

– Assume the mantle of leadership and, well, lead!

September 2012 27


“Be Flexible”

• A leader can never afford to lose composure.

– A leader must adapt rapidly.

• By its nature, a crisis changes quickly.

– Your first response will likely not be your final response.

• In crisis situations, a leader cannot be wedded to a single strategy.

– S/He must continue to take in new information, listen

carefully, and consult with the frontline experts who

know what's happening.

September 2012 28


Organizing Teams

September 2012 29


Incident Command System

• ICS is a well organized, team approach for managing

critical incidents.

– Was developed in the Fire Service in the 70’s in California to

deal with fast-moving wildfires.

• ICS is now used widely throughout the United States:

– National Response Plan (NRP).

– Foundation to NIMS.

• ICS is also widely used worldwide.

September 2012 30


Why ICS?

• The six C’s:

1. Command.

2. Control.

3. Collaboration.

4. Coordination.

5. Communication.

6. Consistency.

September 2012 31


Why Do Something Different?

• History tends to repeat

itself.

– We need to learn from the

mistakes of the past.

• Remember the words often

attributed to Albert

Einstein:

– “Insanity is doing the same thing over and over again

and expecting different

results.”September 2012 32


Hallmarks of ICS

The ICS approach has the following eight hallmarks:

1. Manageable Span of Control.

2. Common Terminology.

3. Modular/Scalable Organization.

4. Integrated Communications.

5. Unified Command Structure.

6. Incident Action Plans.

7. Pre-designated Command Centers.

8. Comprehensive Resource Management.

September 2012 33


Manageable Span of Control

• Defined as the number of individuals one supervisor can manage effectively.

– Management theory notes that the number of

subordinates one supervisor can manage effectively is

usually between 3 and 7; the optimum is 5.

September 2012 34


Common Terminology

• Essential in any system, especially when diverse groups are involved in the response.

– Multiple departments and/or locations.

– Critical when it is not an activity you perform on a

regular basis.

• When possible, minimize use of abbreviations, acronyms, or confusing terminology to improve communication.

September 2012 35


Modular / Scalable Organization

• Develops from the top-down at any

incident.– All incidents, regardless of size or

complexity, will always have an Incident Commander (IC).

• The organization can expand/shrink

according to the needs of the situation.– Only activate what you need.

September 2012 36


Integrated Communications

• A system that uses:

– Standard operating procedures.

– Common communications plan.

– Common equipment.

– Common terminology.

• The sophistication will likely depend on the size and complexity of the organization and the incident.

September 2012 37


Unified Command

• Allows all departments or groups with responsibility for the incident to manage an incident.

– By establishing a common set of incident

objectives and strategies.

• Unified command does not mean losing or giving up agency (departmental) authority, responsibility, or accountability.

– It simply provides for a coordinated response.

September 2012 38


Incident Action Plans (IAP)

• IAPs include:– Current status of the incident.

– Strategic objectives.

– Team assignments.

– Operational Period.

• IAPs are written around the operational period (OP):– The OP is the time your team has to work on the IAP before the

IC and team leaders meet to assess status and discuss progress.

– At the beginning of an incident, the timeframe is often short, between 2 and 4 hours, and expands as the incident matures.

September 2012 39


“A common characteristic of people who

accomplish something unusual is their

understanding of, and focus on, the

objective. If you get the objectives right, a

lieutenant can write the strategy.”

General George Marshall

September 2012 40


Pre-designated Command

Centers• Identify pre-designated

command centers that

are appropriate for the

risk and hazards.

– Primary

– Secondary

– May need a tertiary

• Determine the best

location once you have

done a hazard analysis.

September 2012 41


Comprehensive Resource

Management

• Allows those departments/groups with most acute need to get the resources that they need.

• Maximizes resource use.

• Consolidates control of single resources.

• Reduces the communications load (everyone trying to get something).

• Provides accountability.

September 2012 42


Implementing the

Incident Command System

September 2012 43


Five Teams in ICS

Command

OperationsPlanning &

IntelligenceLogistics Finance

Executive

Management

September 2012 44


One-Word Definitions

• Command

– “Manages”

• Operations

– “Does”

• Logistics

– “Cares”

• Planning & Intelligence

– “Plans”

• Finance

– “Pays”

September 2012 45


Command

• Sets priorities and objectives, and is responsible for overall command and responsibility of the incident.

• In charge of all functions.

• Directs, controls, orders resources.

• Resolves conflict in the teams.

• Makes and implements policy decisions.

• Provides interface to Executive Management.

• Who makes a good Incident Commander (IC)?

– Strong leadership skills.

– Decisive – not afraid to make a decision.

– Good overall understanding of the business.

– Well respected by their peers and senior management.

September 2012 46


Operations

• Has responsibility for all tactical operations necessary to carry out the plan (response and recovery).– Performs initial damage inspection.

– Establishes situation control.

– Develops situation status reports (“sit reps”).

– Are front-line responders: they resolve the issues.

• Goal: Restore business back to “business as usual.”

• Team includes the key “backbone” aspects of the business.

September 2012 47


Planning & Intelligence

• Responsible for the collection, evaluation, and dissemination of information concerning incident development.

• Takes the situation reports (from Ops) and evaluates information.

• Applies “intelligence” to the situation.

• Develops and disseminates the incident action plans (IAP).

September 2012 48


Logistics• Responsible for providing the necessary support to

meet incident human needs:– Food.

– Shelter.

– Transportation.

– Medical support.

– Counseling.

• Primary responsibility is the “care and feeding” of the teams. – All of the human aspects of the disaster.

• Responsible for acquiring or otherwise procuring necessary supplies.

September 2012 49


Finance

• Responsible for monitoring and documenting all costs. Provides the necessary financial support related to the incident.

• Establishes a paper trail for all expenditures.

• Handles payroll, emergency purchase orders and cash, corporate cards, and other critical cash issues.

• Works with insurance companies regarding reimbursement and worker’s compensation insurance.

September 2012 50


ICS Benefits

• Facilitates the flow of information and resources within and between all teams and at all levels of the organization.– Especially helpful for companies with multiple locations.

• Provides a structure for coordination between teams.

• Allows for rapid mobilization, deployment, and tracking of resources.

• Provides ability to detect trends and pattern development.

• Minimizes confusion and errors.

September 2012 51


September 2012

Command•Legal

•Sr Comm

Operations•Real Estate

•Facilities

•IS

•Telecom

•Corp. Security

•Safety &

Health

Logistics•HR

•Employee

Relations

•Corp Meeting

& Travel

•Aviation

•Admin Supp.

Planning/

Intelligence•BCP

•Corp Comm.

•Insurance

•Legal

•Security

•Six Strategic

SBU’s

Finance•Finance

•Purchasing/

Procurement

•Payroll

Executive

Mgmt.

Large International Ins Company

52


Command

Operations

• Facilities

• Security

• Telecom

• IT

Intelligence-

Planning

• Business

Priorities

• Legal

• Corporate

Relations

Logistics

• Human

Resources

• Travel

• Message

Center

Finance

• Finance /

Procurement

• Insurance

Senior Mgmt

Large Multinational Bank

September 2012 53


National Mortgage Company

CommandExec

Management

Planning &

IntelligenceOperations Logistics Finance IT

Team Leader:

• Operations

• Applications

• Information Security

• Purchasing

Team Leader:

• Purchasing

• Risk Management

• Payroll

• Accounting

• A/P

Team Leader:• Logistics

• HR

• Message Center/Admin Support

Team Leader:

• Facilities

• Physical Security/ Safety

• Operations

Team Leader: • Mortgage Bank

• Investment Portfolio

• Capital Markets

• Consumer Group

• Shared Services

• Credit Risk

September 2012 54


Where are the Executives?

• Ideally, they are not part of the tactical ICS Team…there should be a dotted line relationship to the team.

• Traditionally they have four overall responsibilities:1. Strategic and policy oversight.

2. Approval of large expenditure requests.

3. Senior statesperson role to all key stakeholders: employees, major customers, investor community, Board of Directors, etc.

4. Media spokesperson (if the situation warrants it).

September 2012 55


Incident Assessment

September 2012 56


September 2012

Initial Assessment Team

• The Initial Assessment Team (IAT) has

the authority to activate the plan.

• Who makes up the IAT?

– IC

– Team Leaders

– The departments where most of the issues come from: IT, Facilities, Security

57


Team Activation

• When an event occurs:– Follow usual reporting mechanism.

– Any member of the Initial Assessment Team can activate when they become aware of an event.

• IAT will meet to review the event and determine if plan activation is necessary.– In person or on a conference bridge.

58September 2012


Assessment

• Determine the incident level:– Low? Medium? High?

• Does the event meet the criteria for activation?– If no:

• Monitor the event.

– If yes:• Activate the Emergency Operations Center.

• Conduct an action planning meeting.

• Determine the operational period.

59September 2012

Emergency Management & Safety SolutionsOut ofDangerComesOpportunity Incident Levels

•• Level Level 1 (low)1 (low): Minor:– An emergency that is limited in scopelimited in scope.

•• Level Level 2 (medium)2 (medium): Local or minimum:– An emergency that is moderate to severemoderate to severe in

scope.

•• Level Level 3 (high)3 (high): Regional or major:– A catastrophic disastercatastrophic disaster that:

• Has severely damaged a mission-critical facility requiring relocation of staff and business processes.

• Caused severe disruption of services at facility.

• Is a major event impacting employees and/or other staff.

60September 2012


61

Stakeholder

Life Safety/

People Facility Technology Financial Brand

Company

City

Region (e.g., EQ, flood)

Nation (e.g., 9/11)

International (e.g., tsunami)

Activation Matrix

September 2012


Emergency Operations Center

• Determine if you want or need a physical or virtualEOC.

• Do you want or need a virtual conference bridge?

• If opting for a physical EOC, where will it be?– Primary.

– Secondary.

62September 2012


Incident Action Plans

September 2012 63


What is an Incident Action Plan?

• The plan of action that the team will be using for a set period of time.

• An IAP contains:

– Overall incident status/strategy.

– Specific strategic objectives and any necessary

supporting information.

– Assignment of responsibility for each objective.

– Next operational period.

September 2012 64


Overall Program Priorities

• The most common priorities include:

– Life safety.

– Incident stabilization.

– Property and equipment

preservation.

– Return to business as

usual.

September 2012 65


Steps to Build an IAP

1. Assess the incident situation and report the current

status of the event.

2. Establish strategic incident objectives. Ensure that

necessary resources are available to complete the

tasks.

3. Assign all objectives (to a team or individual).

4. Determine the operational period.

5. Communicate the plan to all identified stakeholders.

September 2012 66


Assess/Report Incident Situation

• If it is the first IAP, it is the initial report and assessment.

• If subsequent IAP, it is the latest updates.

• Need those who are most knowledgeable of the situation involved in the IAP.

September 2012 67


Establish Objectives

• Establish strategic incident objectives:

– Set overall objectives

and priorities.

– Ensure that necessary

resources are

available to complete

the tasks.

September 2012 68


What are SMART objectives?• They use action verbs to describe the task. They

are also:• Specific – Does the objective state explicitly what is to

be done, and define a key result?• Measurable – Can you determine if you are meeting

the objective or not?• Achievable – Are you able to attain the objective?• Realistic – Can you achieve the objective in a

reasonable manner and timeframe?• Time bound – Have you stated the time period in

which the objective will be accomplished?

September 2012 69


Objectives Start with Strong Verbs

• Plan• Conduct• Develop• Produce• Revise• Assess

• Account• Provide• Order• Evaluate• Determine• Enable

• Action verbs are observable and communicate the intent of what is to be attempted:

• Install• Select• Investigate• Map• Build• Review

September 2012 70


Sample Objectives

People

• Account for all staff.

• Determine need for EAP services.

• Notify emergency contact.

Finance

• Issues a disaster accounting code

• Contact all ins. carriers.

• Document all physical damage with video or still images.

Facilities

• Conduct an initial damage assessment.

• Contact contractors.

• Appoint a liaison to work with ER responders.

Technology

• Conduct an initial assessment.

• Reroute main number if unable to reoccupy in 15 minutes.

Mission-Critical Activities

• Assess business unit impact.

• Activate BCPs as necessary.

• Determine the immediate. work-arounds and what should be instituted.

Communication

• Communicate company status with key stakeholders (list here)

• Update website.

• Update employee hotline.

September 2012 71


Assign Objectives

• Assign all objectives:

– To a team or individual.

– An unassigned

objective means no

one is responsible to

get it done.

September 2012 72


Determine Operational Period

• Determine the operational period.

– How long will you

work on the

objectives before the

planning team needs

to stop and assess

status and progress?

September 2012 73


Communicate the Plan

• Communicate the plan to all identified stakeholders.

– Who are your key

stakeholders?

– Does everyone get

the same message?

– What are the tools?

September 2012 74


Facilitating an IAP

• Who facilitates a meeting?

• Where should it be held? Can be virtual or face-to-

face.

• Format:

– Review status – done by the person most knowledgeable about

the incident.

– Review the objectives– Determine what needs to be done and

make assignments.

– Determine next Operational Period (OP).

• How long? Should be quick – no more than 15 – 20

minutes.

September 2012 75


IAP Practice

• A summer camping trip!

– You are planning a two-

week car camping trip with

three other friends.

– You are visiting three

national parks: Yellowstone,

Grand Tetons, and the

Grand Canyon.

– Using the IAP process,

develop objectives for this

trip.

• What are your priorities?

• What are your objectives?

September 2012 76


Three Things to Remember

• For an Incident Management Team to be great, it requires three things to be in place:

1. The team must know their roles and

responsibilities.

2. There must be a clear incident assessment

process, team, and escalation strategy.

3. They must know how to develop an action plan.

September 2012 77


Regina Phelps, CEM, RN, BSN, MPAEmergency Management & Safety Solutions

San Francisco, California

415-643-4300

www.ems-solutionsinc.com

Thank you

78September 2012

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