ICS 200.c Lesson 3 - Delegation of Authority and Management by Objectives Flashcards
Lesson 3 Overview
The Delegation of Authority & Management by Objectives lesson introduces you to the delegation of authority process, implementing authorities, management by objectives, and preparedness plans and agreements.
Lesson Objectives
At the end of this lesson, you should be able to:
- Describe the delegation of authority process.
- Describe scope of authority.
- Describe management by objectives.
- Describe the importance of preparedness plans and agreements.
Delegation of Authority Process
Authority is a right or obligation to act on behalf of a department, agency, or jurisdiction.
- In most jurisdictions, the responsibility for the protection of the citizens rests with the chief elected official. Elected officials have the authority to make decisions, commit resources, obligate funds, and command the resources necessary to protect the population, stop the spread of damage, and protect the environment.
- The Authority Having Jurisdiction (AHJ) is the entity that creates and administers processes to qualify, certify, and credential personnel for incident-related positions. AHJs include state, tribal, or Federal government departments and agencies, training commissions, NGOs, or companies, as well as local organizations such as police, fire, public health, or public works departments.
- In private industry, this same responsibility and authority rests with the chief executive officer.
Scope of Authority
An Incident Commander’s scope of authority is derived:
- From existing laws, agency policies, and procedures, and/or
- Through a delegation of authority from the agency administrator or elected official.
Delegation of Authority
The process of granting authority to carry out specific functions is called the delegation of authority. Delegation of authority:
- Grants authority to carry out specific functions
- Is issued by the chief elected official, chief executive officer, or agency administrator in writing or verbally
- Allows the Incident Commander to assume command
- Does NOT relieve the granting authority of the ultimate responsibility for the incident
Ideally, this authority will be granted in writing. Whether it is granted in writing or verbally, the authorities granted remain with the Incident Commander until such time as the incident is terminated, or a relief shift Incident Commander is appointed, or the Incident Commander is relieved of their duties for just cause.
Delegation of Authority: When Not Needed
A delegation of authority may not be required if the Incident Commander is acting within his or her existing authorities.
An emergency manager may already have the authority to deploy response resources to a small flash flood.
A fire chief probably has the authority (as part of the job description) to serve as an Incident Commander at a structure fire.
Delegation of Authority: When Needed
A delegation of authority is needed:
- If the incident is outside the Incident Commander’s jurisdiction
- When the incident scope is complex or beyond existing authorities
- If required by law or procedures
Delegation of Authority: Elements
When issued, delegation of authority should include:
- Legal authorities and restrictions
- Financial authorities and restrictions
- Reporting requirements
- Demographic issues
- Political implications
- Agency or jurisdictional priorities
- Plan for public information management
- Process for communications
- Plan for ongoing incident evaluation
The delegation should also specify which incident conditions will be achieved prior to a transfer of command or release.
Sample Delegation of Authority
_______________________ is assigned as Incident Commander on the __________________ incident.
You have full authority and responsibility for managing the incident activities within the framework of agency policy and direction. Your primary responsibility is to organize and direct your assigned and ordered resources for efficient and effective control of the incident.
You are accountable to _____________________________ or his/her designated representative listed below.
Financial limitations will be consistent with the best approach to the values at risk. Specific direction for this incident covering management and other concerns are:
________________________________ will represent me on any occasion that I am not immediately available. This authority is effective: _________.
____________________________________
Agency Administrator
____________________________________
Incident Commander
________________________
Date and Time
Implementing Authorities
Within their scope of authority, the Incident Commander establishes incident objectives, then determines strategies, resources, and ICS structure based on the incident objectives. The Incident Commander must also have the authority to establish an ICS structure adequate to protect the safety of responders and citizens, to control the spread of damage, and to protect the environment.
Management by Objectives
ICS is managed by objectives. Objectives are communicated throughout the entire ICS organization through the Incident Action Planning Process.
Management by objectives includes:
- Establishing overarching objectives.
- Developing and issuing assignments, plans, procedures, and protocols.
- Establishing specific, measurable objectives for various incident management functional activities.
- Directing efforts to attain them, in support of defined strategic objectives.
- Documenting results to measure performance and facilitate corrective action.
Establishing and Implementing Objectives
The steps for establishing and implementing incident objectives include:
- Step 1: Understand agency policy and direction.
- Step 2: Assess incident situation.
- Step 3: Establish incident objectives.
- Step 4: Select appropriate strategy or strategies to achieve objectives.
- Step 5: Perform tactical direction.
- Step 6: Provide necessary follow-up.
Initial Response: Conduct a Size-Up
In an initial incident, a size-up is done to set the immediate incident objectives. The first responder to arrive must assume command and size-up the situation by determining:
- Nature and magnitude of the incident
- Hazards and safety concerns
- Hazards facing response personnel and the public
- Evacuation and warnings
- Injuries and casualties
- Need to secure and isolate the area
- Initial priorities and immediate resource requirements
- Location of Incident Command Post and Staging Area
- Entrance and exit routes for responders
Overall Priorities
Throughout the incident, objectives are established based on the following priorities:
- First Priority: Life Safety
- Second Priority: Incident Stabilization
- Third Priority: Property Preservation
Overall priorities for an incident define what is most important. These are not a set of steps, you do not complete all life safety actions before you start any efforts to stabilize the incident. Often these priorities will be performed simultaneously.
Effective Incident Objectives
For full effectiveness, incident objectives must be:
- Specific and state what’s to be accomplished
- Measurable and include a standard and timeframe
- Attainable and reasonable
- In accordance with the Incident Commander’s authorities
- Evaluated to determine effectiveness of strategies and tactics
EXAMPLE: Establish a controlled perimeter around the incident within 45 minutes (by 6 p.m.)
Objectives, Strategies, and Tactics
Incident objectives, strategies, and tactics are three fundamental pieces of a successful incident response.
- Incident objectives state what will be accomplished.
- Strategies establish the general plan or direction for accomplishing the incident objectives.
- Tactics specify how the strategies will be executed.
For example:
- Objective: Stop the spread of hazardous materials from a tractor-trailer accident into the river by 1800 today.
- Strategy: Employ barriers.
- Tactic: Use absorbent damming materials to construct a barrier between the downhill side of the accident scene and Murkey Creek.
The Incident Commander is responsible for establishing goals and selecting strategies. The Operations Section, if it is established, is responsible for determining appropriate tactics for an incident.
Elements of an Incident Action Plan
An Incident Action Plan (IAP) covers an operational period and includes:
- What must be done
- Who is responsible
- How information will be communicated
- What should be done if someone is injured
The operational period is the period of time scheduled for execution of a given set of tactical actions as specified in the IAP.
Operational Period Planning Cycle (Planning P)
The Incident Action Plan is completed each operational period utilizing the progression of meetings and briefings in the Operational Period Planning Cycle (Planning P). The Planning P is a graphical representation of the sequence and relationship of the meetings, work periods, and briefings that comprise the Operational Period Planning Cycle.
