Emergency Support Function

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CHAPTER 3

BUILDING AN EFFECTIVE EMERGENCY MANAGEMENT ORGANIZATION

This chapter describes the activities needed to build effective emergency management organizations, beginning with the fundamentals of running a local emergency management agency. The most important concept in this chapter is the development of a local emergency management committee (LEMC) that establishes horizontal linkages among a local jurisdiction’s government agencies, NGOs, and private sector organizations relevant to emergency management. In addition, an LEMC can provide vertical linkages downward to households and businesses and upward to state and federal agencies.

Introduction

To build an effective emergency management organization, it is necessary to understand the

relationships among some of the stakeholders that are involved. As noted in Figure 2-1, local government

has downward vertical linkages with households and businesses, upward vertical linkages with state and

federal agencies, and horizontal linkages with social and economic influentials and hazards practitioners.

However, it also is important to understand the horizontal and vertical linkages within local government.

Specifically, local emergency management agencies (LEMAs) typically have horizontal linkages with

personnel in police, fire, emergency medical services, and public works departments. At the municipal

level, all of these departments report to (i.e., have a vertical linkage with) their jurisdiction’s chief

administrative officer (CAO), such as a mayor or city manager, who has direct supervisory authority over

them. The CAO is responsible for ensuring these departments perform their assigned duties within the

requirements of the law and accomplish these functions within the time and funds allocated to them.

Accordingly, the CAO has the authority to hire, fire, allocate funds, and evaluate performance—a

relationship represented in Figure 3-1 as a solid line. However, the CAO typically is not an expert in

public safety, emergency medicine, or emergency management and, therefore, cannot provide these

departments with guidance on how to perform their missions most effectively. Thus, city and county

agencies frequently have vertical linkages with corresponding agencies at the state (and sometimes

federal) level that provide technical, and sometimes financial, assistance. Because agencies at higher

(state and federal) levels of government lack the legal authority to compel performance by the

corresponding agencies at lower (county and city) levels, their relationship is sometimes represented as a

“dotted line” relationship in organizational charts (see Figure 3-1). In turn, the agencies at the state level

report to the governor in a line relationship just as the agencies at the local level report to their

jurisdictions’ CAOs.

The relationships among agencies at the county level are somewhat more complex for

jurisdictions in which agency heads are directly elected by the voters rather than appointed by the local

CAO. County sheriffs, in particular, can be quite protective of their autonomy, so they can be

characterized as having just as much of a “dotted line” relationship with the Chair of the County Board of

Supervisors as with the state police.

Although it is not shown in Figure 3-1, the hierarchical relationship between the local and state

levels also extends to the federal level, with the corresponding agencies represented at each level. In

addition, however, emergency management organizations have two other “dotted line” relationships that

should be noted. First, local emergency managers often establish memoranda of agreement (MOA) with

peer agencies in neighboring jurisdictions to provide personnel and material support during emergencies.

Second, emergency management agencies have close relationships with Local Emergency Management

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Committees (LEMCs), which is a generic term for formalized disaster planning networks that are used to

increase coordination among emergency-relevant agencies within a given community.

Figure 3-1. Relationships Among Local and State Agencies.

Some of these LEMCs are established by legal mandate, as is the case for those required by the

Emergency Planning and Community Right to Know Act (also known as the Title III of the Superfund

Amendments and Reauthorization Act of 1986—SARA Title III) to inform and prepare their communities

for accidental releases of toxic chemicals. However, some emergency managers have established similar

organizations without a specific legal mandate—calling them disaster preparedness committees, disaster

planning committees, emergency management advisory committees, or some other similar name (Daines,

1991; Drabek, 1987, 1990). Some of these LEMCs have assumed responsibility for disaster recovery and

hazard mitigation as well as preparedness and response, and some address all hazards to which their

community is exposed, not just accidental releases of toxic chemicals. LEPCs established under SARA

Title III are probably the most common of these emergency planning organizations and LEPCs have been

the subject of more research than any other type of formalized planning network. However, the lessons

learned from studies of LEPCs are likely to apply to all such organizations. Thus, though much of the

research is—strictly speaking—only about LEPCs, we will use the more generally applicable acronym

LEMC throughout the remainder of this book.

The Local Emergency Management Agency

Similarly, the generic term we will use in this book to refer to the community agency that is

responsible for emergency management is the Local Emergency Management Agency (LEMA). In

practice, the LEMA might be known as the Office of Civil Defense, Emergency Management, Emergency

Services, Homeland Security, some combination of these names, or yet some other name. Moreover, the

LEMA might be a separate department, a section of another department, or an individual attached to the

chief administrative officer’s office. In many cities and counties, especially those with small populations

or limited hazard vulnerability, the LEMA is staffed by a single individual, whose title, like the name of

the LEMA, varies. Consequently, we will refer to this individual as the local emergency manager. In

larger jurisdictions—especially those that are exposed to major hazards—the local emergency manager is

likely to have multi-person staff. The emergency manager almost always reports directly to the

State Governor

State Emer. Mgt. Agency

State Highway Dept

State Police State Fire Marshal

Chief Admin. Officer

Local Emer. Mgt. Agency

Local Public Works

Local Police

Local Fire Dept

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jurisdiction’s CAO during emergencies, but frequently reports to the head of a major agency such as

police or fire during normal operations. Local emergency managers vary in their employment status—

full-time paid, part-time paid, or volunteer—again depending upon jurisdiction size (and, thus, its

financial resources) and hazard vulnerability. In the past, local emergency managers have varied

significantly in their training and experience, which frequently is associated with their jurisdictions’

resources and vulnerability; those jurisdictions that can afford to pay more tend to attract personnel with

greater qualifications. Of course, this is not an invariant rule; there are many well-qualified and dedicated

personnel in smaller jurisdictions.

The Job Description

A local emergency manager’s first task should be to understand the duties of his or her own

position as defined by a job description (Federal Emergency Management Agency, 1983). To whom does

the incumbent (the person who serves as the local emergency manager) report, who reports to the

incumbent, what is the specific function of the position, what duties for the position are specifically listed

in the job description, and what are the specific qualifications (education, training, and experience) that

are listed in the job description? If there currently is no job description or the one that exists is outdated,

the emergency manager should draft a new job description and discuss it with her or his superior.

LEMA Staffing

Many LEMAs have administrative (clerk, secretary, or administrative assistant) or professional

(emergency management analyst) staff that are paid part- or full-time. Such personnel need to have job

descriptions specifying their titles, reporting lines, functions, duties, and qualifications. These personnel

support the LEMA by receiving and tracking correspondence, drafting plans and procedures, maintaining

databases, scheduling meetings, maintaining meeting minutes, and the like. In many cases, a LEMA’s

budget is too small to support enough paid staff to perform all of these activities. Consequently,

volunteers are enlisted by contacting community service organizations, clubs, Boy and Girl Scout troops,

and others. These volunteers can be a valuable source of assistance in achieving the LEMA’s goals by

performing tasks that are delegated by the local emergency manager. Indeed, some volunteers have

valuable skills (e.g., computing, radio communications) the emergency manager lacks.

Each of the LEMA staff members should be given a clear description of his or her duties. In

addition, most jurisdictions require paid staff to be provided with periodic (at least annual) performance

appraisals. These appraisals allow employees to assess their performance over the previous year and to set

training and performance objectives for the year to come. Although rarely mandatory, regularly scheduled

performance reviews for volunteers are valuable in guiding their development and enhancing their

performance effectiveness. A jurisdiction’s human resources department can provide valuable guidance

on its personnel policies.

LEMA Program Plan

Emergency managers need to develop program plans that systematically direct their efforts over

the course of the year. FEMA (1983, 1993) has advised emergency managers to set annual goals in each

of the major programmatic areas for which they are responsible—such as hazard and vulnerability

analysis, hazard mitigation, emergency preparedness, recovery preparedness, and community hazard

education. Once these goals have been set, the local emergency manager should assess the LEMA’s

ability to achieve these goals. This capability assessment is likely to identify satisfactory levels of

capability in some areas but not in others. The emergency manager should document the capability

shortfall and devise a multiyear development plan to reduce that shortfall. The limited funds available for

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emergency management make it a certainty that the shortfall cannot be eliminated within a single year, so

this is the reason why a multiyear (typically five year) development plan is needed. Despite its long

planning horizon, the multiyear development plan should identify specific annual milestones (measurable

objective indicators) to determine if progress is being made at a satisfactory rate.

LEMA Budget Preparation

An organization’s budget lists the categories of anticipated expenditures and the amount that has

been allocated to each category. The budget usually covers the jurisdiction’s fiscal year, which is a 12

month period that might or might not be the same as the calendar year (from January 1 to December 31).

The budget is a financial plan that identifies the amount of money that has been allocated to each of its

budget categories. Typical budget categories include routine continuing items such as staff salaries, office

space, office equipment (e.g., copiers, computers, fax machines), telephone (local and long-distance),

travel, and materials and supplies (e.g., paper, toner). The budget should anticipate the need to replace

worn out or obsolete equipment or to purchase new equipment that will increase the LEMA’s capabilities.

The budget also should contain a contingency fund that addresses the costs of resources that will be

expended in a foreseeable emergency.

The challenge for the emergency manager is to ensure the expenses do not exceed the budgeted

amount. This is not difficult to do for the routine continuing items because, for example, staff salaries,

office space, and local telephone service are fixed and materials and supplies are quite predictable from

month to month. Repairs to office equipment can be unpredictable, but this can be managed by signing a

service contract that establishes a fixed fee for routine preventive and corrective maintenance. Long-

distance telephone and travel for training are somewhat less predictable but are discretionary, so these

activities can be reduced if the expenses for other categories prove to be greater than expected.

The amount to set aside in the contingency fund for emergency response is more difficult to

estimate because the scope of an emergency (or even whether one occurs) is unpredictable. Nonetheless,

past agency records or discussions with emergency managers in neighboring jurisdictions can provide

some insight into the appropriate amount to request. When preparing a budget, it is essential to justify

each of the budget items. Once again, records of previous years’ expenses are useful guides, but it is

important to make adjustments for inflation (consult the jurisdiction’s budget office for guidance on the

amount they allow) as well as making adjustments for changes in the program plan. Has a new chemical

facility been opened? Are there new subdivisions that have been built in flood prone areas? As new needs

arise that cannot be addressed with the resources provided by previous budgets, the emergency manager

needs to request funding increases that will meet the new program requirements. The nature of these

needs is typically documented in a budget narrative that accompanies the budget request. The budget and

the accompanying narrative are submitted in written form and, in many cases, are presented orally as

well. In the latter case, the use of presentation graphics can be a valuable method of explaining how each

of the budget items contributes to the achievement of the program plan.

Whatever the amounts turn out to be for the budget categories, it is essential that the emergency

manager submit the new year’s budget in the format that is being used by his or her jurisdiction. The local

budget office will provide assistance in this area.

LEMA Funding Sources

The local emergency manager’s most obvious source of funding is the head of the department in

which the LEMA is administratively located or, if the LEMA is an independent agency, the jurisdiction’s

CAO. It is important to recognize that other funding sources can provide valuable supplements as well.

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The federal government has a range of programs that provide financial assistance to local government.

For example, Emergency Management Performance Grants require LEMAs to submit a statement of work

and budget that makes the local jurisdiction eligible for matching funds (i.e., a 50/50 cost sharing). This

program is administered through each state’s emergency management agency, which might impose its

own requirements for funding. For example, Texas requires a LEMA to have an emergency management

plan that meets a specified standard of quality and provides competitive awards based upon the quality of

recent planning, training, and exercising activities. Continued financial support is contingent upon

meeting performance and financial reporting requirements, as well as achieving the annual objectives

specified in the initial proposal.

Another example is the Hazardous Materials Assistance Program, which provides technical and

financial assistance through the states to support oil and hazardous materials emergency planning and

exercising. Applications are required to list the program objective, describe the means by which the

objective will be achieved (including a list of specific activities and their duration) and the expected

achievements of the project. LEMAs submit applications through their state emergency management

agencies for review by the corresponding FEMA regional offices.

There are also local sources that can be contacted for financial and in-kind assistance. Local

industrial facilities such as nuclear power plants and chemical facilities might be contacted for financial

contributions to defray the costs of emergency preparedness for their facilities. Truck and rail carriers

might be contacted for training assistance. Commercial businesses such as large retail outlets might be

able to provide in-kind contributions or make small financial contributions for community hazard

awareness programs.

LEMA Budget Management

As the fiscal year progresses, expenses are automatically incurred for some items such as salaries,

space, and local telephone use. Other expenses might require the emergency manager’s authorization (and

possibly countersignature by a higher authority). These include purchase orders for equipment and

supplies or travel vouchers for attendance at training courses or professional conferences. These records

are forwarded to the jurisdiction’s accounting office where they are entered and charged against the

appropriate accounts.

In many jurisdictions, local emergency managers receive monthly program account statements

that typically record actual expenses and compare these expenses to the corresponding budget amounts. A

account statement typically lists budget categories in rows and indicates, in one column, how much

money was allocated to each category and, in another column, how much money has been spent to date in

that category. If the budget was based upon accurate projections, monthly variances (deviations of actual

expenditures from anticipated expenditures) will be small. If the monthly variances are large, corrective

action will need to be taken. Unforeseen expenditures attributable to a major emergency often are the

basis for a supplemental request to the LEMA’s parent department or directly to the CAO, but foreseeable

items such as replacement of broken equipment are likely to receive an unfavorable review.

Consequently, emergency managers must make mid-year adjustments in other categories. Unfortunately,

training and travel are the categories that are commonly cut in such situations—which can produce a

chronic training shortfall if budgeting problems are recurrent.

Senior elected and appointed officials typically require periodic (e.g., monthly or quarterly)

reports of progress on the program plan and budget. As is the case with the presentation of each year’s

budget, presentation graphics can be a valuable method of explaining which milestones in the program

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plan have been achieved and how this compares to the level of progress expected to date. In addition, the

emergency manager should explain what percentage of each budget line has been expended to date in

comparison to the percentage of the year that has elapsed. For example, the emergency manager should

find it easy to explain why 0% of the budget for computer replacement has been expended in the first

three months (25%) of the year. However, it probably would be more difficult to say why 40% of the

budget for salaries had been expended in that same period. In either case, the source of the variances and

the anticipated method of adjustment must be explained.

Determinants of Emergency Management Effectiveness

There has been a significant amount of research conducted over the past 30 years that identifies

many conditions influencing the effectiveness of LEMAs. This research will be described in greater detail

in the following pages, but it can be summarized by the model depicted in Figure 3-2. This figure

indicates that LEMA effectiveness—measured by such organizational outcomes as the quality, timeliness,

and cost of hazard adjustments adopted and implemented by the community—is the most direct result of

individual outcomes and the planning process. Outcomes for the individual members of the LEMA and

LEMC include job satisfaction, organizational commitment, individual effort and attendance, and

organizational citizenship behaviors. The planning process includes staffing/equipping, organizational

structuring, team climate development, situational analysis, and strategic choice.

In turn, the planning process is determined by the level of community support from officials,

news media, and the public. The planning process is also affected by hazard experience, as measured by

direct experience with disasters and by vicarious experiences that reveal potential impact of future

disasters. Hazard experience also appears to have an indirect effect on the planning process via its effects

on community support. It is important to recognize that even though the model as depicted in Figure 3-2

is static—that is, the arrows begin on the left and end on the right hand side of the figure—the actual

process is dynamic because success tends to be a self-amplifying process in which high levels of

individual and organizational outcomes produce increased levels of vicarious experience with disaster

demands (through emergency training, drills, and exercises), community support, better staffing and

organization, and more emergency planning resources.

Hazard Exposure/Community Vulnerability

Many studies have found the level of community hazard adjustment is increased by experiencing

disaster impact—especially catastrophic impacts. Frequent, recent, and severe impacts make the

community’s vulnerability to hazards easier to remember and more likely to stimulate action. In some

cases, this leads to the development of a disaster subculture in which community residents adopt

routinized patterns of disaster behavior (Wenger, 1978). When disasters are infrequent, long-removed in

time, or have had minimally disruptive impacts, hazard vulnerability is likely to elicit little attention from

households, organizations, or the community as a whole. However, the community’s exposure to

environmental hazards can be made salient by vicarious experience that is gained by reading or hearing

about other communities’ experiences with disasters. These can be obtained from newspaper articles or

television accounts or, most powerfully, through first-person accounts—especially if they come from

peers (Lindell, 1994a). For example, a local fire chief is most likely to be influenced by other fire chiefs’

accounts of their experiences, a city manager is most likely to be influenced by another city manager, and

so on.

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Figure 3-2. A Model of Local Emergency Management Effectiveness.

Hazard exposure can also be affected by salient cues such as the daily sight of the cooling towers

of a nuclear power plant, the intricate maze of piping at a petrochemical plant, or the placards on railcars

and trucks passing through town. Information from hazard and vulnerability analyses can also have an

effect on the community, but this pallid statistical information is likely to have less of an effect than the

vivid first-person accounts described above (Nisbett & Ross, 1980). As will be discussed in the next

chapter, Risk Perception and Communication, the psychological impact of hazard/vulnerability analyses

can be increased by linking data on hazard exposure to likely personal consequences.

The importance of hazard exposure and vulnerability for emergency management is well

supported by research. For example, Caplow, Bahr, and Chadwick (1984) found emergency management

network effectiveness to be greater in communities with recent disaster experience or, for those without

recent experience, if there was consensus about the most salient hazard. Moreover, Adams, Burns, and

Handwerk (1994) found that one-third of inactive LEMCs in a nationwide survey blamed lack of hazard

vulnerability for their lack of progress. This accusation is likely to have some validity because Kartez and

Lindell (1990) found that a greater degree of experience with disaster demands such as issuing evacuation

orders, searching for mutual aid resources and responding to mass casualties is associated with

organizational outcomes such as an increase in the number of good emergency preparedness practices

(e.g., establishing citizen emergency information hotlines, establishing equipment rate and use

agreements with contractors). Specifically, they found cities that were high in experience adopted 1.5

more preparedness practices than those that were low in experience. Similarly, Lindell and Meier (1994)

and Lindell and Whitney (1995) found a previous history of evacuations was positively related to

emergency planning effectiveness. Moreover, Lindell, et al. (1996) also found that a recent history of

emergencies—as well as the number of hazardous facilities—both had modest but statistically significant

positive correlations with LEMC effectiveness.

Community support Officials News media Public

Hazard exposure/ vulnerability

Experience Hazard analyses

Extra-community resources Professional

associations Govt. agencies Regional and national

resources

Staffing/organization Staffing levels Organizational structure Technology

Individual outcomes Job satisfaction Organizational

commitment Effort/attendance

Planning process Planning activities Team climate Situational analysis Strategic choices

Organizational outcomes Product quality Product timeliness Product cost

Community resources Staff Budget

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Community Support

Community support from senior elected and appointed officials, the news media, and the public is

important because it affects the resources that are allocated to the LEMA and the LEMC. As noted earlier,

many researchers have systematically documented what numerous emergency managers have personally

experienced—emergency management is a low priority for the local elected and appointed officials who

control budgets and staffing allocations (Labadie, 1984; Sutphen & Bott, 1990). As Kartez and Lindell

(1990, p.13) quoted one police chief,

My number one priority is getting the uniforms out in response to calls. The public judges me on that performance, not whether I’m planning for an earthquake that may never happen. If left alone, disaster planning would get even less attention from my office. It requires that the executive clearly make this a priority.

The importance of community support for emergency management is supported by research.

Adams and his colleagues (1994) found that two-thirds of the inactive LEMCs blamed community

indifference and more than one-third blamed lack of funding for their lack of achievement. Other studies

found community support (official resolutions, media coverage, and community group actions) was

positively related to emergency planning effectiveness (Lindell & Meier, 1994; Lindell & Whitney, 1995;

Lindell, et al, 1996). For example, community information requests, media coverage, local support, and

the backing of local officials all were strongly and significantly correlated with LEMC effectiveness.

Community Resources

Differences among jurisdictions in the effectiveness of their LEMAs and LEMCs can be

attributed partially to variation in their communities’ resources. Kartez (1992) found inconsistent

evidence for effects of jurisdictional size, wealth, growth rate, employment, minority concentration, and

industry concentration on compliance with SARA Title III mandates. However, Adams, et al. (1994)

reported compliance was significantly correlated with jurisdiction size, median household income, and

percent of urban population, The conflict between these two studies probably is attributable to the fact

that Adams found the strongest effects in the smallest, poorest, and most rural jurisdictions, which were

underrepresented in one of Kartez’s (1992) samples, and altogether absent from his other sample.

Nonetheless, the community support variables had stronger correlations with LEMC effectiveness than

did any of the community resources variables. Lindell, et al. (1996) reported that jurisdictions’

populations, budgets, police staffing, and fire staffing have statistically significant, but small, influences

on LEMC effectiveness

Extra-community Resources

Lindell and Meier (1994) found that emergency planning resources obtained from outside the

community (guidance manuals, training courses, and computer resources) were positively related to

emergency planning effectiveness. Lindell and Whitney’s (1995) study replicated many of these findings,

but also found that emergency planning effectiveness was correlated most highly with membership in a

statewide LEPC Association, and with state emergency planning resources. Later, Lindell, et al. (1996)

reported access to such emergency planning materials as computer software, federal agency technical

reports, state emergency planning agency technical support, and Chemical Manufacturers Association

materials had a statistically significant and moderately large correlation with LEMC effectiveness. Also,

frequency of external contact with federal regional offices, state agencies, and other LEMCs was strongly

related to success. Technical materials provided through vertical diffusion by federal agencies (DOT,

EPA, and FEMA) also have a positive impact on LEMC effectiveness, as does horizontal diffusion of

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emergency preparedness practices and resources obtained from private industry and neighboring

jurisdictions. These resources can provide vicarious experience with disaster demands and demonstrate

the effectiveness of specific innovations including plans, procedures and equipment (Kartez & Lindell,

1987).

Staffing and Organization

A number of studies have substantiated the impact of an LEMC’s staffing and organization on its

effectiveness. For example, the International City Management Association (1981) identified a number of

characteristics of effective emergency management organizations. These included defined roles for

elected officials, a clear internal hierarchy, good interpersonal relationships, commitment to planning as a

continuing activity, member and citizen motivation for involvement, coordination among participating

agencies, and public/private cooperation.

Caplow, et al. (1984) found that more effective networks had members with more experience and

a wider range of local contacts, had written plans and were familiar with them, had personal experience in

managing routine natural hazards such as floods, and were more familiar with the policies and procedures

of emergency-relevant state and federal agencies.

Similarly, Lindell and Meier (1994) found the number of members, number of hours worked by

paid staff, number of agencies represented on the LEMC, and organization into subcommittees were all

positively related to emergency planning effectiveness. Lindell and Whitney (1995) found LEMC staffing

and structure lacked a significant correlation with LEMC effectiveness, but was correlated with

organizational climate, which did have a very strong impact on LEMC effectiveness. Lindell, et al. (1996)

also found the total number of members and—more importantly—the average number of members

attending meetings were significant. There also was a significant correlation between effectiveness and

the number of agencies and organizations represented on the LEMC. Representation by elected officials

and by citizens’ groups was the most important, whereas having representatives from the news media was

least important for overall emergency planning effectiveness. Establishment of an organizational structure

through subcommittees was significant, probably because this allows members to focus on specific tasks

and thus avoid feeling overwhelmed by all the work that needs to be done.

Planning Process

The emergency planning process consists of five principal functions: planning activities, team

climate development, situational analysis, resource acquisition, and strategic choice.

Planning activities. Kartez and Lindell (1990) found superior planning practices involving key

personnel from diverse departments in a participative and consensus-oriented process of horizontal

integration—exemplified by such activities as interdepartmental task forces, interdepartmental training,

and after-action critiques—had an even greater effect on the adoption of good emergency preparedness

practices than did disaster experience. Interestingly, as Table 3-1 indicates, planning activities such as

interdepartmental training, reviews with senior officials, and establishment of interdepartmental task

forces had especially strong effects on the adoption of good emergency preparedness practices. By

contrast, more routine activities such as procedure updates, plan updates, and reviews of mutual aid

agreements had small effects.

Characteristics of meetings are important influences on organizational effectiveness. These

include meeting frequency, formalizing member orientation, formalizing meetings through regular

scheduling, advance circulation of written agendas, keeping written minutes, and formalizing overall

activities by setting and monitoring progress toward annual goals(Lindell & Meier, 1994; Lindell, et al.,

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1996). These results indicate the effectiveness of an LEMC and its subcommittees can be increased if

they conduct frequent meetings that help them to maintain steady progress and this will work if these

meetings are regularly scheduled far enough in advance for members to avoid conflicts with their own

calendars. If possible, LEMC meetings should be scheduled monthly on the same day of the week and

time of day. The agenda for each meeting should be distributed in advance and written minutes should be

kept of each meeting.

Table 3-1. Effects of Planning Activities on Good Emergency Preparedness Practices.

Largest difference Smallest difference

Interdepartmental training

Reviews with senior officials

Interdepartmental task force

Community disaster assistance council

After action critiques

Exercises

Vulnerability analyses

Meetings with TV/radio managers

Procedure updates

Plan updates

Review mutual aid agreements with neighboring cities

Source: Adapted from Kartez and Lindell (1990)

These findings are consistent with more recent research, which shows effectiveness in disaster

response is significantly determined by agencies breadth of prior coordination and the depth (both

frequency and intensity) of prior contact (Drabek, 2003). In addition, these findings are consistent with

research conducted by Gillespie and his colleagues (Gillespie & Colignon, 1993; Gillespie, Colignon,

Banerjee, Murty, & Rogge, 1993; Gillespie & Streeter, 1987). Specifically, these researchers documented

a need to facilitate effective relations between organizations with full-time staff members and

organizations with part-time staff and volunteers by scheduling meetings at times convenient for all staff

(full-time, part-time, and voluntary). Such meetings should concentrate on common interests and be

guided by agendas. Failure to meet these suggestions usually results in termination by neglect, not by

direct confrontation over disparate values.

Organizational climate development. Lindell and Whitney (1995) found emergency planning

effectiveness was greatest in LEMCs that had positive organizational climates, which can be defined as

“distinctive patterns of collective beliefs that are communicated to new group members through the

socialization process and are further developed through members’ interaction with their physical and

social environments” (Lindell & Brandt, 2000, p. 331). Organizational climate presumably affects LEMC

effectiveness because it influences the degree to which members’ motivation is aroused, maintained, and

directed toward group goals (Lindell & Whitney, 1995).

Lindell and Brandt (2000) found that three dimensions of leadership climate (leader initiating

structure, leader consideration, and leader communication), four dimensions of team climate (team

coordination, team cohesion, team task orientation, and team pride), and one dimension of role climate

(role clarity, but not role conflict or role overload) were strongly related to each other and can be defined

as climate quality. Organizational climate is important because it is positively related to important

individual outcomes such as job satisfaction, organizational commitment, attendance, effort, turnover

intentions, and organizational citizenship behaviors (performance beyond minimal requirements), as well

as organizational outcomes such as product quality, timeliness, and cost. These latter variables were

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measured in the research studies by LEMC chair ratings and State Emergency Response Commission

staff ratings of the organization’s performance.

Climate quality is consistently related to support from elected officials—especially external

guidance and recognition. Climate quality is also positively related to the organization of LEMCs into

subcommittees, meeting formalization, and meeting frequency. However, climate quality is unrelated to

LEMC size, which suggests that increasing the number of members can increase the range of knowledge

and skills on the LEMC without impairing group performance.

The research findings indicate that LEMC leaders can establish a positive leadership climate

within the organization by being clear about what tasks are to be performed, as well as recognizing

individual members’ strengths and weaknesses and being supportive of their needs. These two aspects of

leader behavior, which are known as leader initiating structure and leader consideration, respectively,

have long been recognized by organizational researchers (Stogdill, 1963). The importance of these

dimensions in facilitating organizational effectiveness has been recently confirmed in LEMCs (Lindell &

Brandt, 2000; Lindell & Whitney, 1995; Whitney & Lindell, 2000).

In addition to a positive leadership climate, it also is important to foster a positive team climate.

Specifically, team members must focus on the tasks to be performed rather than spending all of their time

socializing (team task orientation). In addition, they must share information and coordinate individual

efforts (team coordination). When these occur, members tend to trust each other and feel that they are

included in all activities (cohesion), as well as believe their LEMC is one of the best (team pride).

Moreover, LEMC leaders need to promote a positive role climate within the organization. Team

members must understand what tasks are to be performed and how to perform them, which avoids the

stress caused by role ambiguity. Leaders and members must agree on what tasks are to be performed,

which avoids the stress caused by role conflict. Finally, members must have enough time to perform the

tasks for which they are responsible, which avoids the stress caused by role overload (James & Sells,

1981; Jones & James, 1979).

LEMC effectiveness is also enhanced when there is a positive job climate, which arises when

members have enough independence to do their work however they choose as long as they deliver a

quality product on time and within the resources available (personal autonomy). They also should be

allowed to perform a “whole” piece of work that provides a meaningful contribution to the group product

(task identity). Finally, members should be allowed to perform tasks that exercise a variety of significant

skills (skill variety).

The LEMC will function more effectively when it has a positive reward climate, which is

characterized by members having opportunities to perform new and challenging tasks (member

challenge), opportunities to work with other people (social contacts), and are told that other people

appreciate their work (social recognition). When the leadership, team, role, job, and reward components

of organizational climate are positive, there are positive outcomes at the individual and organizational

levels. Specifically, there is higher member job satisfaction, attendance, effort, and citizenship behavior

(working beyond minimum standards) and lower turnover intentions and actual turnover. These positive

outcomes at the individual level also produce positive consequences at the organizational level in terms of

greater organizational stability (due to decreased turnover) and greater productivity (due to greater effort).

Situational analysis. Although this is recognized as an important issue in the strategic

management of organizations (Thompson & Strickland, 1996), there appears to have been little or no

research on the degree to which situational analysis contributes to the effectiveness of LEMAs and

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LEMCs. Important components of situational analysis include hazard exposure analysis, physical

vulnerability analysis, social vulnerability analysis, evaluation of hazard adjustments, and capability

analysis. As Chapter 5 will describe more fully, hazard exposure analysis identifies the natural and

technological hazards to which the community is exposed and assesses the specific locations that would

be affected by different intensities of impact (e.g., 50- and 100-year flood plains, areas prone to

liquefaction from earthquakes); such analyses are frequently documented by maps of geographical risk

areas. Physical vulnerability analysis assesses the community’s structures (residential, commercial, and

industrial buildings) and infrastructure (fuel, electric power, water, sewer, telecommunications, and

transportation) in terms of their ability to withstand the environmental forces predicted by the hazard

exposure analyses. By contrast, social vulnerability analysis assesses the community’s demographic

segments and economic sectors to identify differences in hazard exposure, occupancy of physically

vulnerable structures, utilization of physically vulnerable infrastructure, and limited resources

(psychological, social, economic, and political) for recovering from disaster impact.

The systematic evaluation of hazard adjustments examines alternative hazard adjustments (hazard

mitigation, disaster preparedness, emergency response, and disaster recovery) to assess their ability to

avoid hazard impacts such as casualties and damage, to limit these impacts when disaster strikes, and to

recovery rapidly after disaster. The evaluation of hazard adjustments also examines their resource

requirements in terms of the time, effort, money, and organizational cooperation needed to adopt and

implement them. The final component of situational analysis, capability assessment, determines whether

households, businesses, government agencies, and non-governmental organizations (NGOs) have the

capacity (i.e., resources) and commitment (i.e., motivation) needed to adopt the available hazard

adjustments.

Resource acquisition. Resource acquisition refers to obtaining emergency planning staff,

equipment, and information of many different types from a variety of sources. The principal source of

emergency planning staff is the LEMA but, as will be discussed below, there are other local government

agencies, private sector organizations, and NGOs that can be drawn upon to staff the LEMC. Similarly,

the major type of emergency planning equipment—the microcomputer—is usually available at the LEMA

but the types of high speed/high storage capacity computers needed for conducting hazard and

vulnerability analyses are more frequently located and used in the Land Use Planning Department where

Geographical Information Systems (GISs) are routinely used (Lindell, Sanderson & Hwang, 2002). The

types of information include data about hazards and population segments at risk, as well as procedures for

hazard/vulnerability analysis. Communities can obtain hazard data by accessing Web sites maintained by

federal agencies such as the FEMA, USGS, and National Weather Service, as well as state hazard

analysis web sites (Hwang, Sanderson & Lindell, 2002) or, for technological hazards, local industry (for

fixed-site hazards) and rail or truck carriers (for transportation hazards). In addition, these organizations

provide computer software, planning guidance manuals, and training courses that explain how to assess

community vulnerability (e.g., FEMA’s HAZUS).

Strategic choice. Organizational scientists generally agree there is no single best way to organize

and this proposition has been supported by Drabek’s (1987, 1990) findings of significant variation in the

strategies and structures utilized by individual emergency managers. Some successful emergency

managers enthusiastically endorse strategies that are explicitly rejected by other equally successful

managers. Further support for the contingency principle of organization is provided by Mulford,

Klonglan, and Kopachevsky’s (1973) finding that strategy adoption was dependent upon contextual

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conditions in the community. Nonetheless, the available research indicates there are some structures and

strategies that are likely to significantly improve the success of all LEMCs regardless of context—and

especially without significant expense. Although this might seem surprising, it is consistent with previous

studies showing that external constraints can be circumvented to some extent by a superior planning

process that enhances horizontal linkages among agencies within a jurisdiction and with adjacent

jurisdictions, downward vertical linkages to households and businesses, and upward vertical linkages to

state and federal agencies (Kartez & Lindell, 1987, 1990). Indeed, it is precisely the purpose of an LEMC

to establish this planning process.

As Drabek (1987, 1990, 2003) has observed, disaster researchers have long been interested in the

intergovernmental structures and interpersonal strategies adopted by emergency managers. For example, a

multiyear research project conducted at Iowa State University found that communities in which local

Civil Defense Directors had developed systemic linkages among local groups tended to be the most

effective in achieving community preparedness (Klonglan, Beal, Bohlen, & Schafer, 1967). These

findings were elaborated by Mulford, Klonglan, and Tweed (1973), who noted the importance of local

emergency managers’ horizontal linkages with their colleagues in similar organizations throughout their

states, and also their vertical linkages with local elected officials.

Mulford, et al. (1973) identified six strategies used by effective emergency managers. These

include a resource building strategy, which emphasizes the acquisition of human, technical, and capital

resources needed for effective agency performance, and an emergency resource strategy, defined by

securing the participation of emergency-relevant organizations in emergency planning and response. The

elite representation strategy involves the placement of members of the focal organization (in this case, the

LEMA) in positions or situations where it is possible to interact with influential members of other

emergency-relevant organizations, and the constituency strategy consists of the establishment of a

symbiotic relationship between two organizations whereby both benefit from cooperation. The cooptation

strategy consists of absorbing key personnel, especially those from other organizations, into the focal

organization’s formal structure as directors or advisors, while the audience strategy focuses upon

educating community organizations and the public at large about the importance of community

emergency preparedness. Mulford, Klonglan, and Kopachevsky (1973) noted strategy adoption was

contingent upon environmental (jurisdictional size), organizational (funding level) and personal (Civil

Defense Director training) characteristics. Some particularly important areas on which interorganizational

coordination has focused include increased involvement of private organizations, local public services,

elected officials and community leaders, and greater efforts to acquire external funding. (Klonglan,

Mulford & Hay, 1973).

Research conducted at the Disaster Research Center during the same time period found disaster

planning requires emergency response organizations to recognize the ways in which community-wide

disasters differ from routine emergencies that can be handled by a single agency (Dynes, Quarantelli, &

Kreps, 1972). In addition, they encouraged local disaster planners to foster significant predisaster

relationships among organizations that must respond to a disaster (Anderson, 1969b). Dynes and

Quarantelli (1975) described differences in interorganizational orientation in terms of nine models

including the maintenance (acquiring and maintaining human, material, and financial resources), disaster

expert (developing knowledge and skill about hazard agents such as hurricanes and hazardous materials),

and abstract planner (construction of contingency plans derived from generic planning principles)

models. Other models include the military (developing a well-defined hierarchical organization),

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administrative staff (developing managerial knowledge and skill), and disaster simulation (focusing on

the rehearsal of disaster plans through drills and exercises) models. Finally, there are the derived political

power (acting as the representative of the jurisdiction’s CAO), interpersonal broker (establishing contacts

among emergency-relevant organizations), and community educator (overcoming community indifference

through hazard awareness programs) models.

Table 3-2 summarizes the research on emergency managers’ strategies in the following way. The

first category of strategies is defined by LEMA organizational development, which involves the military

and administrative staff models to address the development of clear roles and lines of authority, while the

abstract planner model emphasizes the development of coordinated emergency response plans, and the

disaster simulation model supports the importance of emergency exercises to test the organizational forms

that have been developed. Another strategy involves the resource building strategy and the maintenance

model to ensure the acquisition of resources—such as personnel, facilities (e.g., normal office space and

emergency response facilities such as EOCs), equipment, materials and supplies, and especially money

from local government funding— that will positively affect LEMA effectiveness. Moreover, analysis of

the physical environment encompasses the disaster expert model, according to which success will be

influenced by interagency coordination in the assessment hazard vulnerability and community resources.

Finally, Table 3-2 makes it clear that most of the strategies emphasize management of the social

environment. According to the researchers at Iowa State University and the Disaster Research Center,

development of an LEMC is facilitated by securing the legitimacy from the CAO (derived political power

model), establishing the collaboration among emergency-relevant organizations (emergency resource

strategy and interpersonal broker model), and placing LEMA staff in positions to influence important

others (the constituency, elite representation, and cooptation strategies). Finally, influence is magnified by

engaging in outreach to community groups and news media (the audience strategy and community

educator model).

Table 3-2. Emergency Management Development Strategies.

Strategy Type Iowa State University Disaster Research Center

Organizational development Administrative staff

Military

Abstract planner

Disaster simulation

Resource acquisition Resource building Maintenance

Physical environment analysis and management

Disaster expert

Social environment analysis and management

Emergency resource

Elite representation

Constituency

Cooptation

Audience

Derived political power

Interpersonal broker

Community educator

More recent studies have examined these ideas in further detail by studying the ways in which

local emergency managers implement these strategies. Drabek (1987, 1990) integrated the findings of

previous disaster researchers with theoretical principles derived from the broader organizational literature

(e.g., Pennings, 1981; Osborne & Plastrik, 1998) to identify strategies and structures used by successful

managers. Similarly, Gillespie and his colleagues (Gillespie & Colignon, 1993; Gillespie, et al., 1993;

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Gillespie & Streeter, 1987) conducted an intensive study of a single disaster preparedness network that

had not coalesced into a formally designated LEMC. In addition, Lindell and his colleagues (Lindell,

1994b; Lindell & Brandt, 2000; Lindell & Meier, 1994; Lindell & Whitney, 1995; Lindell, et al., 1996a,

1996b; Whitney & Lindell, 2000) reported a series of studies conducted on nearly 300 LEMCs in three

Midwestern states.

Drabek (1987, 1990) found the most effective of the local emergency managers he interviewed

emphasized the development of constituency support by actively trying to increase the resource base of

all local agencies—not just their own. To do this, they relied on committees and joint ventures to involve

other community organizations. Consistent with the organizational development strategy, some of them

attempted to manage conflict over controversial issues before they got out of control. In particular, they

achieved more consensus with other community agencies on the mission of the LEMA. In a variation on

the disaster expert strategy, some of them brought in outside experts.

Drabek found that local emergency managers’ reliance on these strategies varied with community

size. Successful directors in small communities used them less frequently than successful directors in

large communities but more frequently than unsuccessful directors in either small or large communities.

Successful directors had more frequent contacts and more formalized interagency agreements such as

MOAs. Although all successful emergency managers gave considerable emphasis to coordination with

other emergency-relevant agencies, they tended to give less emphasis to local businesses and (except in

the smallest communities) to elected officials.

In the studies conducted by Gillespie and his colleagues (Gillespie & Colignon, 1993; Gillespie,

et al., 1993; Gillespie & Streeter, 1987), the researchers found a large proportion of the organizations

relevant to disaster response were not linked to the preparedness network—which indicates some

deficiencies in the local emergency managers’ strategies for social environment analysis and

management. Gillespie and his colleagues expanded the utility of the research on social management

strategies by noting interorganizational linkages consist of informal contacts, verbal agreements, and

written agreements. In addition, they emphasized that the existence (or even the frequency) of

interorganizational contacts does not measure the importance of the relationship (i.e., that needed

information, services, or resources have been established or transferred). This argument points to a logical

connection between social environment analysis/management and resource acquisition. That is, the low

priority given to local emergency management often makes it impossible for LEMAs to purchase needed

resources outright. Consequently, local emergency managers must build capacity by collaborating with

other organizations that do have those resources or that have the influence to obtain the funding that will

allow them to make those purchases.

Of course, organizations are more likely to collaborate with the LEMA if there are compelling

reasons for them to do so. Consistent with this notion, Gillespie and his colleagues found

interorganizational linkages were initiated by awareness of potential disaster demands and by recognized

needs for avoiding gaps in services or duplication of effort. Other reasons for collaboration included

ensuring timely access to information, services, or resources; development of internal organizational

response capability; and development of political influence to enhance organizational autonomy, security,

and prestige.

Gillespie and his colleagues also found interorganizational linkages are developed through active

and personable individuals, but pre-existing personal and professional contacts are important, as well as

routine interagency and interjurisdictional meetings, drills, and exercises. However, these linkages are

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impeded by geographical distance, lack of funds, lack of staff, incompatible professional perspectives and

terminology, lack of trust in an organization or its representative, overconfidence in one’s own capability,

and unequal rewards and costs of participation for those in different organizations.

Individual Outcomes

As noted earlier, individual outcomes include job satisfaction, organizational commitment,

attachment behaviors (effort, attendance, and continued membership), and organizational citizenship

behaviors. Some of these variables were studied by Whitney and Lindell (2000), who noted that research

on motivational factors involved in staffing voluntary community organizations suggests people

participate in these organizations when they perceive social and environmental problems within a

community to which they are attached and find organizations they expect to be successful in mitigating

these problems (Chavis & Wandersman, 1990; Florin & Wandersman, 1984). Such studies have found

that participation in community groups is significantly related to three types of benefits (personal, social,

and purposive) and their corresponding costs (Prestby, et al., 1990). Moreover, members’ sense of

individual and collective self-efficacy, and thus their motivation to participate, is enhanced when these

organizations are empowered by successfully influencing actions taken by the community.

Other research has found that people often join and remain in a voluntary organization because

they are attracted to its activities, and that volunteers are more likely than paid workers to have high

intrinsic satisfaction (Pearce, 1983). These findings indicate volunteers’ experiences may differ from

those of their compensated counterparts and suggests it is important to examine members’ organizational

commitment. Porter, Steers, Mowday, and Boulian defined this construct as “the strength of an

individual’s identification with and involvement in a particular organization” (1974, p. 604) and

characterized it as including: a) strong belief in, and acceptance of, the organization’s goals and values, b)

willingness to exert considerable effort on behalf of the organization, and c) strong desire to maintain

organizational membership. Meyer and Allen (1984) noted research on organizational commitment has

examined two different types of commitment: affective and continuance. Affective commitment, which is

seen in terms of an emotional orientation to the organization, is likely to be expressed in high levels of

employee performance (Meyer, et al., 1989). By contrast, continuance commitment is conceptualized as

an accumulation of “side bets”, which are anything of value individuals have invested in an organization

that would be lost if they were to leave. Continuance commitment motivates employees to remain in the

job but fails to elicit performance beyond minimum requirements. Organizational commitment is

important in understanding LEMC effectiveness because it has been found to predict a variety of

participation behaviors. In an analysis of over 200 articles pertaining to organizational commitment,

Mathieu and Zajac (1990) concluded that organizational commitment has a weak but positive correlation

with attendance, but it has very strong negative correlations with two turnover-related intentions: to

search for job alternatives and to leave one’s job.

Whitney and Lindell (2000) discovered LEMC members’ attachment behaviors (attendance,

effort, and continued membership in the organization) were positively related to their affective

commitment but not their continuance commitment. In turn, affective commitment was significantly

influenced by effective LEMC leadership (the ability to structure team tasks, communicate clearly, and

show consideration for team members) and the LEMC members’ job related self-efficacy (perceptions of

their own competence) and role clarity (clear sense of direction in which to allocate one’s efforts). Other

factors affecting commitment included members’ identification with an LEMC’s goals (perceived hazard

vulnerability and perceived effectiveness of emergency planning) and perceived opportunity for reward

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(public recognition and personal skill development). The negative findings regarding continuance

commitment do not mean that this variable is altogether irrelevant because the study assessed members’

commitment to the LEMC (which lacks the tangible rewards used to secure compliance commitment), not

to their normal jobs (which can provide such rewards). Based on the research reviewed by Mathieu and

Zajac (1990), one should expect compliance commitment to significantly predict performance on these

other jobs.

Organizational Outcomes

Organizational outcomes such as the quality, timeliness, and cost of plans and procedures are the

most direct results of individual outcomes and the planning process but there also are intermediate results

that are indicative of organizational effectiveness. These include the production of hazard and

vulnerability analyses, public information briefings, brochures, and Web sites.

Lindell and Whitney (1995) and Lindell and Meier (1994) examined different indexes of LEMC

effectiveness—chair judgments of effectiveness on six planning activities and submission of completed

plans to the State Emergency Response Commission—and found these were significantly correlated, but

nonetheless distinct. Later, Lindell, et al. (1996) examined LEMC effectiveness in terms of four criteria:

chairs’ judgments of their LEMC’s quality of performance on 13 emergency planning activities, the

percentage of vulnerable zones computed, the number of talks given by the LEMC to community groups,

and whether the LEMC had conducted an emergency exercise. This study also found the level of LEMC

performance varied significantly from one activity to another. Specifically, LEMCs were generally

effective in collecting and filing hazard data, inventorying local emergency response resources, acquiring

emergency communications equipment, and developing training for local emergency responders. By

contrast, LEMCs were relatively ineffective in developing protective action guides, analyzing air

infiltration rates for local structures, analyzing evacuation times for vulnerable areas, and promoting

community toxic chemical hazard awareness.

There are significant correlations between organizational and individual outcomes (Lindell &

Brandt, 2000). This suggests increasing members’ job satisfaction, effort, attendance, and citizenship

behaviors and reducing their turnover intentions will improve the organization’s performance. In addition,

organizational outcomes had significant correlations with external contextual variables (such as

community resources, emergency experience, and elected official support) and internal structural

variables (such as LEMC size, subcommittee structure, meeting formalization, meeting frequency, role

formalization, and computer technology). Finally, the organizational outcomes had significant

correlations with organizational climate variables (such as leader, team, role, job, and reward

characteristics). All of these correlations identify ways in which emergency managers can work with

LEMC members to improve organizational performance. In particular, emergency managers’ knowledge

of these relationships can serve as a basis for expert power in persuading other LEMC members to change

the conditions within the organization.

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LEMC Activities

The previous section has described the factors that influence emergency planning effectiveness

and later chapters will provide recommendations for the content of Emergency Operations Plans (EOPs),

Recovery Operations Plans (ROPs), and Hazard Mitigation Plans (HMPs)as described by sources such as

the Federal Emergency Management Agency (1996b), Foster (1980), Daines (1991), Lindell and Perry

(1992), and Schwab, et al. (1998). However, there is an important intermediate step that needs to be

addresses—the process of plan development as it has been recommended by Daines (1991), Federal

Emergency Management Agency (1996b), and Schwab, et al. (1998).

The development of an emergency plan is a multistage process that encompasses nine steps. First,

the local emergency manager establishes a preliminary planning schedule. Second, the CAO publishes a

planning directive. Third, the local emergency manager facilitates the organization of the LEMC. Fourth,

the local emergency manager works with LEMC members to assess disaster demands and organizational

response capabilities. This leads to a designation of the organizations responsible for each component of

the Emergency Operations Plan, Recovery Operations Plan, and Hazard Mitigation Plan and finalization

of the schedule for plan completion. Fifth, LEMC members write the components of these plans. Sixth,

LEMC members evaluate and revise the draft plans. Seventh, the local emergency manager distributes the

draft plans to collaborating organizations and other jurisdictions for community review. Last, after the

collaborating organizations and other jurisdictions have commented on the draft plans, the LEMC revises

them and publishes them in final form. Each of these steps is addressed in more detail below.

Establish a Preliminary Planning Schedule

Table 3-3 shows an example of how the emergency manager should identify the principal tasks to

be performed and the expected amount of time required to perform them. An experienced emergency

manager will be able to generate accurate time estimates, but the LEMC members will need to review and

approve them at a later date to confirm that the deadline for publication of the final plans is feasible.

Table 3-3. Sample Preliminary Planning Schedule

Time (months) 0 2 4 6 8 10 12

Organize the LEMC [--]

Assign responsibility for plan components [-----]

Assess response requirements and capabilities [-----]

Finalize planning schedule [--]

Write plan components [-----------------------]

Evaluate/revise the draft plan [---------]

Obtain community review [--------]

Revise/publish the final plan [----------]

Disseminate a Planning Directive

Local emergency managers coordinate rather than direct the efforts of other agencies, so they

need some power base other than rewards and punishments to elicit cooperation. As noted in Chapter 2,

French and Raven (1958; Raven, 1965) contend there are four bases of power in addition to reward and

coercive power that can be used in organizations. These other bases of power are information, expert,

referent, and legitimate power. Quite obviously, reward and coercive power refer to the ability to provide

incentives for compliance and punishments for lack of compliance. Information power refers to

specialized knowledge of the state of the social or physical environment, whereas expert power refers to

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specialized knowledge about the dynamics of the social or physical environment (and, thus an ability to

predict—and perhaps control—elements of those environments). Referent power refers to influence that

is determined by another’s liking or admiration for an individual and legitimate power is conferred when

people believe that an individual has the right to expect compliance with his or her requests.

Publication of a planning directive signed by the CAO confers legitimate power upon a local

emergency manager by indicating that specific areas of authority have been delegated. This planning

directive should be a written document that formalizes the CAO’s specific expectations about the

emergency planning process. Thus, the planning directive should contain three sections, the first of which

should state the purpose of the planning process, the legal authority under which it is being conducted,

and the specific objectives that the planning process is expected to achieve. Second, the planning directive

should describe the concept of the planning process, including a general description of the LEMC

organization, the organizations that are expected to participate in plan development, and the local

emergency manager’s authority as the CAO’s representative in this area. Last, the planning directive

should address the procedure for plan approval and the anticipated deadline for publication of the final

plan. Even though the planning directive is signed by the CAO, it is often drafted by the emergency

manager.

Organize the LEMC

The emergency manager should request a representative from each of the governmental agencies,

NGOs, and private sector organizations that have been designated in the planning directive as having

significant emergency response capabilities or hazard vulnerabilities. The enumeration of all relevant

organizations in the planning directive is especially important because public safety agencies such as

police and fire are likely to participate in any event, but other local organizations are likely to participate

only if directed by the CAO (Kartez & Lindell, 1990). A typical list of such organizations can be found in

Table 3-4.

Table 3-4. Organizations Typically Participating in LEMCs. Fire Local utilities (gas, electric power, telephone)

Police Red Cross

Emergency medical services Hospitals

Public works Nursing homes

Land use planning Schools

Building construction News media

Chief Administrative Officer’s office Environmental groups

Public health Local industry

Local elected officials Labor unions

Members of these organizations should work part-time (a few hours a month) for the LEMC

while continuing their jobs in their normal organizations. Once the LEMC has been established, the

emergency manager should work with the members to select officers such as a Chair, Vice-Chair,

Information Coordinator, and subcommittee chairs. As with other organizations, the Chair presides over

meetings and represents the organization to senior elected and appointed government officials, the heads

of private sector organizations within the jurisdiction, the news media, and the public. In addition, the

LEMC Chair represents the LEMC to other jurisdictions and to state and federal agencies. The Vice-Chair

performs these duties when the Chair is absent, but the Vice-Chair’s primary role is to take a more active

role in the management of the internal affairs of the LEMC. The Secretary serves in a role that is not a

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clerical position but is instead responsible for ensuring meetings are scheduled and written minutes of the

meeting are recorded. In addition, the Secretary is the principal point of contact for information about

hazards and vulnerability, the planning process, and planning products. The Information Coordinator

might even be the person who is responsible for monitoring the LEMC’s budget.

LEMCs tend to be more effective when members are assigned to specific activities rather than

having everyone contribute to all tasks. Thus all LEMCs should have subcommittees, but each one should

determine for itself what is the most appropriate division of labor for its own situation. Most communities

are likely to find it useful to have a Hazard/Vulnerability Analysis committee; a Planning, Training, and

Exercising committee; a Recovery and Mitigation committee; a Public Education and Outreach

committee; and an Executive committee.

The Hazard/Vulnerability Analysis committee is responsible for identifying the hazards to which

the community is exposed and the vulnerability of residential, commercial, and industrial structures and

infrastructure (fuel, electric power, water, sewer, telecommunications, and transportation) to these

hazards. In addition, the Hazard/Vulnerability Analysis committee should also identify any secondary

hazards that could be caused by a primary disaster impact. These secondary hazards would include, for

example, earthquake-initiated hazardous materials releases from chemical facilities and earthquake-

initiated dam failures that cause flooding in low-lying areas. The Hazard/Vulnerability Analysis

committee also should identify the locations of facilities such as schools, hospitals, nursing homes, and

jails whose populations are vulnerable because of the limited mobility of their resident populations, as

well as the locations of other facilities with vulnerable non-resident populations. A sample of such

facilities is listed in Table 6-1.

The initial task of the Planning, Training, and Exercising committee is to write the EOP. This

committee should also coordinate the identification of facilities and equipment that are needed for disaster

response. A major focus here will be on a jurisdictional emergency operations center (EOC). In addition,

the Planning, Training, and Exercising committee should develop a training program to enhance

emergency responders’ capabilities. The Planning, Training, and Exercising committee only needs to

develop training materials for disaster-related tasks that are not performed during normal operations or

routine emergencies (both of which are addressed in departmental training). That is, they must develop

training that provides an overview of disaster response and also enhances skills required for tasks that are

infrequently performed, difficult, and critical to the success of the emergency response organization. They

can either develop the necessary training materials for themselves or obtain them from other sources.

Finally, the Planning, Training, and Exercising committee must test the implementability of the EOP

through drills and exercises. To accomplish these tasks, the Planning, Training, and Exercising committee

should recruit representatives from the primary emergency response and public health agencies.

The Recovery and Mitigation committee has the responsibility for developing a preimpact

recovery plan that will facilitate a rapid restoration of the community to normal functioning after disaster.

Recovery planning is often erroneously thought of as an activity that can be postponed until after a

disaster strikes, but practitioners have argued that there are many recovery tasks that can (and should) be

addressed during preimpact planning (Schwab, et al., 1998) and this contention has been supported by

recent research (Wu & Lindell, 2004). In addition, the Recovery and Mitigation committee is responsible

for identifying mitigation projects that will reduce the community’s vulnerability to environmental

hazards. Some mitigation projects can probably be implemented before a disaster occurs, but others will

need to be planned for implementation in conjunction with disaster recovery. To accomplish these

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functions, the Recovery and Mitigation committee should have representatives from public works,

community development, land use planning, and building construction agencies.

The Public Education and Outreach committee is responsible for risk communication with the

news media and the public. Thus, its members should summarize the findings of the Hazard/Vulnerability

Analysis committee that identify the community’s principal hazards and its most vulnerable locations and

demographic groups. The Public Education and Outreach committee should also develop a description of

the activities of the Planning, Training and Exercising committee and an explanation of how these will

provide a capability for prompt and effective emergency response to the community’s hazards. Finally,

the Public Education and Outreach committee should describe the activities of the Recovery and

Mitigation Committee and an explanation of how these will provide a capability for prompt and effective

emergency recovery from a disaster. Public Education and Outreach committee members should use this

information about the community’s hazards and the hazard adjustments (preparedness, response,

recovery, and mitigation) that will protect the community to construct nontechnical summaries that can be

understood by households and businesses throughout the community. The Public Education and Outreach

committee should develop slides or other graphic presentations to support talks to community groups, as

well as brochures to be distributed to households and businesses.

The Executive committee is responsible for ensuring the LEMC sets specific, achievable

objectives each year and accomplishes those objectives through an efficient expenditure of resources.

Accordingly, the Executive committee will consist of the LEMC’s principal officers—Chair, Vice-Chair,

Secretary, and subcommittee chairs. In addition to planning, organizing, directing, and monitoring the

internal activities of the LEMC, the Executive committee needs to obtain the resources—especially the

funds—to support the LEMC’s activities. Although most of the work of the LEMC is performed by

personnel who are already being paid through their primary work organizations, there often are additional

expenses for acquiring computer hardware and software, training materials, and travel for outside

training. In addition, there are likely to be expenses for producing and printing public education brochures

and other such materials. Sometimes government agencies or private organizations participating in the

LEMC are willing to pay for some of these expenses from their budgets, but many times other sources of

revenue such as filing fees from hazardous materials facilities are needed.

A critical step in the process of organizing the LEMC is to conduct a planning orientation so the

members of the LEMC will develop a common understanding of the process. In preparation for the

planning orientation, local emergency managers should anticipate two very important obstacles to

emergency planning (Daines, 1991). First, they should recognize that planning agencies lack emergency

response experience. Second, they should be aware that emergency response agencies often lack disaster

planning experience because they tend to rely on standard operating procedures and improvisation for

minor emergencies. In addition, few—if any—LEMC members are likely to be aware of the planning

resources available from state and federal agencies, as well as from other sources. Thus, the local

emergency manager should introduce LEMC members to the basic tenets of the state’s Emergency

Operations Plan, Disaster Recovery Plan, and Hazard Mitigation Plan, as well as provide copies of the

state’s planning guidance in each of these areas. Similarly, the emergency manager should introduce

LEMC members to the basic tenets of the National Response Plan, as well FEMA response, recovery, and

mitigation programs and planning guidance.

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Assess Response Requirements and Capabilities

Before beginning to write the EOP, Recovery Operations Plan, or Hazard Mitigation Plan, LEMC

members need to identify the functions that need to be performed in a community-wide emergency.

Information about the likely impact locations as well as the impact scope (area affected) and intensity will

be produced by the hazard/vulnerability analyses. These analyses will also identify the residential,

commercial, and industrial activities in the exposed locations, as well as locations that could produce

secondary hazards (e.g., dam failures or chemical releases) or that have especially vulnerable populations

(e.g., schools, hospital, nursing homes, jails).

In addition, this assessment of response requirements needs to address the likely responses of

households and businesses in disaster. As will be discussed in Chapter 8, there are widespread

misconceptions—frequently labeled disaster myths—about the ways in which people respond to disasters.

Though there is some small kernel of truth in these beliefs, the incidence of individually and socially

maladaptive behavior is substantially exaggerated. According to Dynes (1972), households and

businesses are the foundation of community emergency response and these organizations respond

• In their normal forms to perform their normal tasks (existing organizations),

• In their normal forms to perform new tasks (extending organizations),

• In new forms to perform their normal tasks (expanding organizations), or

• In new forms to perform new tasks (emerging organizations).

In addition, community organizations link to form emergent multiorganizational networks

(EMONs, Drabek, et al., 1981). Thus, the mission of the LEMC can be conceived as one of developing a

planned multiorganizational network that can be adapted as needed to the demands of each incident

involving emergency response and disaster recovery.

In addition, representatives of the different agencies may have misconceptions about the

capabilities of other agencies within their jurisdiction or of agencies at other levels (e.g., state and federal)

of government. Consequently, the emergency manager needs to assist the LEMC in addressing these

issues systematically so plans will be based upon realistic assumptions about what needs to be done and

who will be able to do it (Dynes, et al., 1972).

Write Plan Components

As the previous discussion indicates, there will be three plans, the EOP, the Recovery Operations

Plan, and the Hazard Mitigation Plan The emergency manager should work with the cognizant

committees (especially the Planning, Training, and Exercising Committee and the Recovery and

Mitigation Committee) to ensure they have the appropriate persons to draft the components (basic plan,

annexes, and appendixes) of each plan. In addition, the emergency manager should provide guidance

regarding the structure and content of the plans, as well as resources that committee members can use as

they write the plan components. The Federal Emergency Management Agency’s (1996b) Guide for All-

Hazard Emergency Operations Planning is a useful source for the EOP (see also National Response

Team, 1987, for hazardous materials planning and US Nuclear Regulatory Commission, 1980, for nuclear

emergency planning) and Schwab, et al. (1998) provide guidance for the development of the Recovery

Operations Plan, especially the integration of hazard mitigation into disaster recovery.

In most cases, the emergency manager will draft the basic plan and the representatives of each

organization will draft the annexes that pertain to their agencies. For example, the police will draft the

EOP annex on law enforcement, whereas the land use planning department should write the Recovery

Operations Plan annex on temporary housing. Each of the relevant committees—especially the Planning,

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Training and Exercising Committee and the Recovery and Mitigation Committee, and the LEMC as a

whole—should set performance goals collaboratively to ensure that all members are committed to them.

These goals should be challenging enough to motivate high levels of performance and should be specific

enough that people can determine whether they are making progress in achieving the goals. Goal

achievement should be formally evaluated regularly to determine if the planning schedule is being met

and achievements should be discussed annually with the jurisdiction’s CAO.

Evaluate/Revise the Draft Plans

The emergency manager should ensure that all draft plans—the EOP, the Recovery Operations

Plan, the Hazard Mitigation Plan, and relevant sections of the community’s comprehensive plan that

contain sections affecting hazard mitigation—are reviewed by other committees within the LEMC to

identify potential conflicts between agency task allocations and their resource capabilities, or conflicts

between the provisions of one plan and another.

Obtain Community Review

Once the draft plans have been reviewed within the LEMC, the local emergency manager should

release them for wider review throughout the community. Working in coordination with the Public

Education and Outreach committee, the emergency manager should make copies available at libraries and

other public facilities throughout the community so households and businesses can examine them in

detail. Of course, it is essential that people be notified that the draft plans are available for review and

comment. Thus, the Public Education and Outreach committee should make a major effort to meet with

neighborhood groups (e.g., community councils, Parent-Teacher Associations) and service organizations

(e.g., Rotary, Kiwanis, Chamber of Commerce) to summarize the hazard/vulnerability analysis process

and its results, as well as the planning process and the general provisions of the draft plans for

preparedness, response, recovery, and mitigation. People should be given an adequate amount of time to

review the plans and provide comments. In addition, the emergency manager should ensure that at least

one public meeting is held at which individuals and organizations from throughout the community can

provide oral comments concerning the draft plans. Such comments should be transcribed and retained in

the LEMC’s archives.

Revise/Publish the Final Plans

The local emergency manager should ensure that all input from the community review is

forwarded to the appropriate committees so they can address any identified problems in the final versions

of the EOP, the Recovery Operations Plan, and the Hazard Mitigation Plan. Wherever possible, it is

useful to provide a document to accompany each final plan that categorizes the comments received and

explains how they were incorporated into the plan or, if that is not possible, explains why specific

comments could not be addressed. Once all changes have been made in the plan, it should be submitted to

the CAO or local governing body for their approval. At this point, final approval is usually indicated by a

page containing the signatures of the jurisdiction’s senior authorities. Copies of the final plans and

accompanying documents should be forwarded to all government agencies and other participating

organizations (e.g., American Red Cross) having designated roles in the plans. Additional copies of the

final plans and accompanying documents should be deposited in the same locations as the draft plans so

these documents will accessible to households and businesses throughout the jurisdiction.

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Case Study: Emergency Management in Smith Hill

Gillespie, et al. (1993) examined the emergency preparedness in Smith Hill (a pseudonym), a St.

Louis suburb with a population less than 10,000. The city had a very small tax base and, thus, a very

small budget. Elected officials gave low priority to emergency management, so the city did not allocate

enough funding to emergency management to qualify for state matching funds. Moreover, the city did not

attend the meetings of other interorganizational networks such as the Municipal League, the Disaster

Resource Council, and the Regional Emergency Planning Council. When the researchers contacted the

city to obtain information about its emergency management program, they were initially directed to the

city building commissioner. After arriving for an interview with him, they were redirected to the chief of

police and ultimately interviewed a group of six municipal officials—all of whom were assigned

emergency management responsibilities as collateral duties. The city had an EOP developed from FEMA

guidance, but the organization chart was hand drawn and had not been updated for years. Questioning by

the researchers revealed the chart bore no resemblance to the roles the interviewees expected to perform

in a disaster. Indeed, the person responsible for city streets was expected to fill most of the positions in

the emergency response organization, the police chief was expected to fill two more positions, and the

rest were not assigned to any specific individuals. The Smith Hill emergency management organization,

such as it was, had direct links only to a fire protection district, its municipal police department, the

county medical examiner, and a nearby regional hospital (whose name was identified only after an

extended discussion among the interviewees). The Smith Hill emergency management organization had

only two structurally unique organizations to connect it (indirectly) to the regional emergency

management network and only after extensive probing of the interviewees were they able to name any

other organizations that should be added to their contact list. The Smith Hill EOP contained no formal

mutual aid agreements, even though the interviewees expected to be able to borrow equipment from

neighboring jurisdictions in a disaster.