EMERGENCY MANAGEMENT Concepts and Strategies for Effective Programs
Second edition
LUCIEN G. CANTON, CEM
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Library of Congress Cataloging?in?Publication Data
Names: Canton, Lucien G., author. Title: Emergency management : concepts and strategies foreffective programs / Lucien G. Canton, CEM. Description: Second edition. | Hoboken, NJ : John Wiley & Sons, Inc., 2020. | Includes bibliographical references and index. | Identifiers: LCCN 2018061423 (print) | LCCN 2019003431 (ebook) | ISBN 9781119560456 (Adobe PDF) | ISBN 9781119560470 (ePub) | ISBN 9781119066859 (hardcover) Subjects: LCSH: Emergency managementUnited StatesPlanning. | Emergency managementUnited StatesEvaluation. Classification: LCC HV551.3 (ebook) | LCC HV551.3 .C36 2020 (print) | DDC 363.340973dc23 LC record available at https://lccn.loc.gov/2018061423 Cover design: Wiley Cover image: Library of Congress, Prints & Photographs Division, Arnold Genthe Collection: Negatives and Transparencies, LC-USZ62-128020
Set in 12/14pts TimesNewRomanMTStd by SPi Global, Chennai, India
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10 9 8 7 6 5 4 3 2 1
For
David Fowler 19442001
Newsman, colleague, mentor and friend, But, always, a true San Franciscan
And for
Roy Kite 19282015
and
Ken Chin 19362012
Good friends and colleagues, who taught me that service to others requires integrity, commitment, and the courage to take risks.
PREFACE TO THE SECOND EDITION XIII
PREFACE TO THE FIRST EDITION XV
INTRODUCTION XVII
1 HISTORICAL PERSPECTIVES: THE EVOLUTION OF EMERGENCY MANAGEMENT 1
Why Study History? 2
Lessons From History 5
The Advent of Disaster Legislation 14
The Growth of Disaster Bureaucracy 22
From Military to Civilian Leadership 23
Civil Defense and Disaster Relief Merge 27
Conclusion 32
2 HISTORICAL PERSPECTIVES: TOWARD A NATIONAL RESPONSE STRATEGY 33
The Origins of National Planning 34
September 11 and The Impact of Homeland Security 36
The Marginalization of Emergency Management 36
Capabilities?based Planning Replaces All?Hazards Planning 39
The Pendulum Swings Back: Hurricane Katrina 43
A Failed Response? 43
Degraded Capabilities and Confused Planning 45
Reform and New Planning Concepts 47
Conclusion 49
CONTENTS
viii CONTENTS
3 SOCIAL SCIENCE AND THE BEGINNINGS OF EMERGENCY MANAGEMENT THEORY 51
Social Science as an Emergency Management Tool 51
Social Science Evolves Emergency Management Theory 52
Emergencies, Disasters, and Catastrophes 54
Disaster Mythology 65
Organizational Response 69
Conclusion 71
4 THE EMERGENCY MANAGER: EVOLVING ROLES AND SHIFTING PARADIGMS 73
Conflicting Roles 74
The Emergency Manager as Program Manager 78
Toward Professionalization 84
Emergency Management as a Field 84
Emergency Management as a Discipline 88
Emergency Management as a Profession 89
Conclusion 90
5 ESTABLISHING THE EMERGENCY MANAGEMENT PROGRAM 93
Program Administration 94
Developing a Governance Structure 94
The Administrative Plan 99
Strategic Planning 99
Formulating Vision 101
Establishing Goals and Objectives 106
Developing the Strategic Plan 108
Enabling Authorities and Legislation 109
Grant Requirements 111
Best Practices 112
Program Elements 113
Resource Management 113
Training 115
Finance 116
CONTENTS ix
Program Evaluation 118
Quantitative Assessment Tools 118
Qualitative Assessment Tools 119
Exercise Programs 120
Actual Incidents 123
Corrective Action Program 124
Conclusion 125
6 ASSESSING RISK 127
The Nature of Risk 128
Risk Assessment Methodologies 129
Hazard Identification 133
Hazard Analysis 140
Simple Matrix Analysis 140
Indicators and Numerical Ranking 143
THIRA and Context Analysis 148
Intuition 149
Impact Analysis 150
Business Impact Analysis (BIA) 150
Adaptive Business Continuity 154
Continuity of Government/Continuity of Operations 155
Federal Guidance 155
Critical Functions and Process Analysis 158
Conclusion 160
7 DEVELOPING STRATEGY 163
A New Look at an Old Model 164
Risk Management Strategy 166
Mitigation Strategy 168
Recovery Strategy 173
Response Strategy 180
Preparedness Strategy 185
Using Strategy to Guide Planning 187
Conclusion 189
x CONTENTS
8 PLANNING CONCEPTS 191
Plans Versus Planning 191
The Planning Continuum 197
Planning Methodologies 201
Planning Assumptions 201
Scenario?Based Planning 202
Functional Planning 205
Capabilities?Based Planning 207
Effective Planning 208
Simplicity in Planning 209
Operational Phases 210
All?Hazards Planning 212
Decentralized Execution 212
Putting the Pieces Together 214
General Planning Principles 215
Conclusion 217
9 PLANNING TECHNIQUES AND METHODS 219
Establish a Planning Structure 219
Use a Meeting Facilitation Process 222
Meeting Agenda 225
Conducting the Meeting 226
The Meeting Memorandum 227
Develop an Action Plan and Set Deadlines 229
Managing Multiple Projects 230
Annual Work Plans 230
Graphic Planning Tools 231
Facilitate Decision?Making 232
Use Common Plan Formats 234
Determining Plan Content 236
Use Graphic Tools 238
Use Exercises to Test Concepts 242
Keep it Simple 244
Conclusion 245
CONTENTS xi
10 COORDINATING RESPONSE 247
Operational Response 247
Incident Management Systems 251
Unified and Area Commands 256
Multiagency Coordination Systems 258
Emergency Operations Centers 264
Communications and Interoperability 269
Information Processing 272
Mutual Aid 273
Resource Management and Logistics 274
The Joint Information Center 276
Conclusion 278
11 LEADING IN CRISIS 279
Principles of Emergency Management 280
Program Leadership 282
Building a Leadership Team 282
Establishing Relationships 284
Making Decisions 285
Operational Leadership 286
The Effects of Crisis 286
Barriers to Decision?Making 287
Crisis Decision?Making 289
Conclusion 291
12 CRISIS MANAGEMENT 293
Barriers to Crisis Management 294
Disengagement and Inexperience 294
Common Leadership Problems 295
Appropriate Roles for Senior Officials 297
Crisis Management 299
Identifying the Crisis 299
Isolating the Crisis 300
xii CONTENTS
Preparing for Crisis Management 301
Hurricane Katrina: Crisis Management Failure 302
Increasing Organizational Effectiveness 304
Crisis Communications 305
Strategic Recovery Issues 307
Catastrophic Events 312
Conclusion 315
CONCLUSION 317
BIBLIOGRAPHY 321
INDEX 327
Preparedness is the ultimate confidence builder. Vince Lombardi
Shortly after the publication of the first edition of this book, I accepted an invitation from Dr. Wayne Blanchard at the Federal Emergency Management Agency (FEMA) to give a short presentation on the book at the annual Emergency Management Higher Education Program conference in Emmitsburg, Maryland. I was stunned to find myself on stage at a plenary session with Dr. Claire Rubin on one side and Dr. Russell Dynes on the other. The contribu- tions of these two individuals to the discipline of emergency management are almost legendary, and to find that my book was considered worthy of being included in a discussion of their new works was humbling and, frankly, a bit frightening.
Anyone who has authored a book knows that authors are very aware of the shortcomings of their books. There are things you wish you had included, things you wish you had said differ- ently, and things you just got plain wrong. I am no different, and I still cringe when I read parts of the first edition. Consequently, when the opportunity arose to revise my book for a second edition, I jumped at the chance.
Maybe, I should have tested the water before jumping in. Emergency management is based on the concept of continuous improvement. This makes it
a very dynamic field that is constantly evolving. Each disaster, and there have been many since my book was first published in 2007, presents us with new challenges and new solutions. We learn from our experiences and revise our strategies. This dynamic change is reflected in evolv- ing national strategies, strategies that I am gratified to see incorporate some of the concepts I espoused in the first edition of this book.
There have been significant changes in the academic world as well, as emergency management has come into its own as an academic discipline. With the increase in higher education pro- grams and the number of doctoral candidates, we have seen the emergence of academic jour- nals devoted to emergency management and an increase in the volume of research on emergency management issues. Much of this work is being done by a new generation of researchers who are dedicated to this new discipline of emergency management.
Perhaps one of the most significant advances has been the emergence of an accepted defini- tion of emergency management and of the Principles or Emergency Management. One of the major problems in emergency management has been a lack of identity. We still have a long way to go in defining who we are and what we do, but the Principles of Emergency Management project is a major milestone in that journey.
What has not changed, though, is the need for emergency managers to move beyond their traditional role as a response technician to that of a manager with responsibility for formu- lating program strategy and serving as an advisor to senior officials. The range of threats we face is increasing, particularly in cybersecurity. The rise of social media has drastically changed
PREFACE TO THE SECOND EDITION
xiv PREFACE TO THE SECOOD EDITIOO
how we communicate warnings. The 24?hour news cycle has had a major impact on our media relations. Oo single individual or small team can handle the diversity of problems we must con- front. Oow, more than ever, emergency management must be an enterprise?wide program, and the emergency manager must be forward thinking and capable of seeing beyond just issues of response.
As I said in the preface to the first edition, no book is the sole product of the author, and I have leaned heavily on the work of many others. To my many friends in the academic community, thank you for your enthusiastic reception of my book and your many thoughtful suggestions for improving it. Without your work, this book would not exist. Thank you also to my col- leagues and friends in the emergency management community; many of the ideas and concepts in this book came from you and your willingness to share your wisdom. One of the privileges I have enjoyed since the publication of the first edition was the numerous invitations to teach at universities in the United States and in Ireland. To all those students who let me try out new ideas and concepts on them and challenged me to learn more about my profession, thank you. The future is yours and you are up to the challenge.
Very special thanks go to the staff at John Wiley and Sons. This book took much longer than it should have, and throughout it, all my editors were encouraging and understanding. Their patience with this project was greatly appreciated. And, as always, I am grateful for the love and support of my wife, Doreen. I am constantly amazed at her patience and willingness to put up with crazy ideas.
An invasion of armies can be resisted, but not an idea whose time has come. Victor Hugo
This is not the book I planned to write. When I first started this project in 2004, my original plan was to base the book on material I had developed for a course on emergency planning and management that I had taught for the University of California at Long Beach and to incorpo- rate new information I had gained by teaching seminars on the Oational Preparedness Standard for Oew York Universitys IOTERCEP program. It was to have been a very conventional book, focused on the tactical issues so dear to us old dinosaurs in emergency management.
Hurricane Katrina changed all that. As my colleagues and I wrestled with the issues of cat- astrophic response, I began to question a lot of our traditional approaches to disaster response. An article by Dr. E.L. Quarantelli on the qualitative differences between catastrophe and disaster added fuel to the flames and sent me back to the social science literature. A comment during a presentation at the 2005 International Association of Emergency Managers conference provided the catalyst that made all the disparate elements come together.
This book approaches emergency management from a different perspective than the tradi- tional four phases of emergency management. It does not have the equally traditional listing of hazards and impacts. It does not even give a lot of detail about response. There are plenty of excellent books already available that deal with these topics. Instead, I have focused on the development of emergency management programs and attempted to position these programs within local government in a way that contributes to community goals by helping to manage community risk. The idea of emergency management as an enterprise?wide program forms, I believe, the core of the Oational Preparedness Standard, OFPA 1600, and its derivative, the Emergency Management Accreditation Program Standard. This concept also demands a change in the role of the emergency manager from that of a technical expert who is responsible for everything vaguely related to disasters to that of a program manager who coordinates the communitys management of risk.
This is a very different perspective from the way we have traditionally viewed emergency managers. However, the best emergency managers have either already adapted to this concept or are on their way to doing so. More importantly, an entirely new generation of future emergency managers is emerging from our educational institutions, potential leaders who are trained in this new paradigm. The real issue for our profession will be gaining the acceptance of elected officials and the public for this new role and overcoming the roadblocks created by the well?meaning but out?of?touch Department of Homeland Security.
The ideas in this book are likely to be controversial and, I hope, spark discussion among my colleagues. There is no single best way to respond to disasters by virtue of the need for inno- vation and creative problem?solving during response, there really cannot be. However, we can define a common set of criteria that positions us for success. It is this belief that has caused
PREFACE TO THE FIRST EDITION
xvi PREFACE TO THE FIRST EDITIOO
a number of my colleagues to expend considerable efforts to develop OFPA 1600 and the EMAP Standard. Therefore, although some of my ideas may be controversial, they are grounded in this common set of criteria and in a considerable body of social science research.
I had hoped initially to write a book that would be applicable to both the public and private sectors. However, I began to realize that there are, in fact, qualitative differences between the two sectors that make such a task extremely difficult. The principles are the same, but there are enough subtle nuances that would have made the book cumbersome. Wherever I could, I have tried to focus on concepts and principles; therefore, it is my hope that this book may be of some value to my colleagues in the private sector.
I have had to make similar decisions in some of the titles I selected. Over the last few years, there have been many new players getting involved in disaster response. We are seeing a conver- gence of disciplines that will have a profound impact on our professions in the future. Risk managers, security managers, business continuity managers, and so many others are lending important new skills to our programs. Therefore, although I have focused this book on public sector emergency managers, it is my hope that there will be applicability to the other disciplines that are involved with disaster response. Each of these disciplines has a specialized body of knowledge that makes us experts in our field, but there is a commonality among disciplines when we start discussing emergency preparedness and response.
It has been said that no book is the sole product of the author and how true that is! The two most humbling things I know are teaching a course or writing a book about your profession. It forces you to confront how little you really know and how much better others have expressed the ideas you are groping toward. Thomas Edison once said that, If I have seen farther than others, it is because I have stood on the shoulders of giants. Many of those giants are listed in the bibliography.
I am an emergency management dinosaur. I came to the profession with previous experience in private security and the military at a time when you learned your craft from your mentors and your colleagues. It was years before I discovered that everything that I had learned the hard way had already been written about by social scientists such as Russell Dynes and E.L. Quarantelli. The advantage to coming to their work late in my career is that I know they are right their work corresponds to the lessons I have learned in over 30 years of dealing with crisis. Therefore, to all those social scientists that are building the knowledge base so critical to our profession, at least one emergency manager has heard you and appreciates your hard work.
For the rest, there are friends and colleagues around the world who have taught me my craft and had a part, however unknowing, in the writing of this book. I am always amazed at the generosity of my fellow emergency managers and their willingness to help in any and all cir- cumstances. If I have learned anything in this business, it has been because of you. You know who you are.
A final thank you goes, as always, to my wife Doreen, who suffered through multiple reread- ings of the initial manuscript and encouraged me to keep plugging away. For over 20 years, she has been my moral compass and best friend.
INTRODUCTION
I cannot imagine any condition which would cause a ship to founder. I cannot conceive of any vital disaster happening to this vessel. Modern ship building has gone beyond that. Captain Edward John Smith, Commander, HMS Titanic
When on Friday, 24 February 2006, the White House issued a report entitled, The Federal Response to Hurricane Katrina: Lessons Learned, one salty emergency manager observed It aint a lesson learned until you correct it and prove it works. Until then, its just an observa- tion. The White House report was just one of several released around the same time, all saying essentially the same thing: as a nation, the United States is not prepared to deal with catastrophe.
How is this possible? The United States has been in the emergency management business for over 50 years. There are volumes of social science reports on human behavior in disaster. There are detailed records on historical disasters that have occurred in the past 300 years and geolog- ical records going back to prehistory. Millions have been spent on building the capacity to respond. Since September 11 there has been an even bigger push to strengthen and enhance emergency response capabilities. And yet, in the biggest test in US history, the system failed at all levels of government.
Despite vows to improve things, little has changed. Hurricane Sandy in 2012 highlighted weaknesses in key infrastructure. The multiple disasters in 2017 severely taxed the United States ability to respond, particularly on the island of Puerto Rico. These are not, unfortu- nately, isolated cases. Every disaster seems to generate a list of failures couched as lessons learned, along with pledges to improve the system. Few of those pledges are ever implemented. Yet, like Captain Smith, citizens in the United States believe that a sophisticated system of response is in place to protect them from the unthinkable. There is an expectation that, no matter what the event, government will be there to provide immediate and effective relief.
To a certain extent, emergency management in the United States is a victim of its own suc- cess. Response is extremely fast compared to other countries, and there is a culture of profes- sionalism among first responders that makes them second to none. However, this has led to the expectation that disaster response is a government responsibility, not a collective one, and there are increased demands for more immediate and detailed services. This is a demand that has obvious limits, as demonstrated by Hurricane Katrina.
Government officials at all levels go out of their way to reinforce these public expectations. In a speech to the Heritage Foundation, Michael Chertoff, at the time Secretary of the Department of Homeland Security, encouraged people to be prepared, saying you cannot count on help coming in the first 24 or even 48 hours of a catastrophe people who are pre- pared with that kind of planning do much better if they have to wait 2448 hours than people who dont do that planning. Secretary Chertoff seemed unaware that he had just shortened the normal recommendation of preparing for a minimum of 72 hours by 2448 hours and further encouraged the publics expectation of immediate response.
xviii INTRODUCTION
It is unheard of for an elected official to admit the truth. Disasters, by definition, overwhelm available local resources. You can never be fully prepared; there is not enough money or political will to fund all the requirements for mitigation and preparedness planning that would ensure full readiness. Preparedness is a balancing act, with most politicians betting that a disaster will not happen on their watch and that the public will not discover the thin veneer that passes for preparedness. Jurisdictions are unprepared, and it is extremely unlikely that they will ever reach the level of preparedness that the public believes already exists. The bar has been set too high to be supported by local, state, or federal government without a major shift of priorities.
However, as one reads after?action reports and lessons learned, one begins to sense com- monalities. It is seldom the initial life?saving response that is criticized. Police, fire, and emergency medical personnel usually get high marks for their efforts in a crisis. Witness the praise deservedly heaped on the US Coast Guard for its rescue of 33 000 victims during Hurricane Katrina (an operation so successful that Secretary Chertoff believed that only Coast Guard admirals were qualified to serve as Principal Federal Officials). Instead, criticism seems to fall into two areas. The first is related to traditional victim services such as sheltering or evac- uation. Criticism of victim services usually reflects inadequacy of service or confusion in the delivery of services brought on by poor coordination among relief agencies. Indeed, some social scientists suggest that the biggest problem in disasters is not the impact of the event on the victims but the lack of coordination among multiple responding agencies. This confusion and lack of coordination can impede the delivery of services.
The second major area of criticism relates to long?term issues. This is usually characterized by conflicts over reconstruction policies. Again, one notes concerns over confusion in the pro- cess. There is a lack of coordination and public participation that leads to delays in the rebuilding of a community and the restoration of its economic base. It is during this recovery period that one generally sees the emergence of finger?pointing and an increase in underlying social tension. There is usually a conflict between citizens who want to rebuild quickly and return the community to the way it was and officials who push for improved structures or social re?engineering.
Again, one must ask the question Why? Why, in a system that has almost 70 years of expe- rience in countless disasters, that has national guidelines, that has millions in government fund- ing, and that has reams of textbooks and social science reports, why is it that the system seems to fail more than it works, and why do those failures always seem to be in the same areas? Can the United States do better?
The fact that these failures seem to occur in almost every disaster and in almost always the same areas would seem to suggest that there is something wrong with the system. Social science suggests some of the reasons. Emergency management issues do not generally engage local officials. In many jurisdictions, the responsibility for developing emergency response capacity rests with a single individual and is usually an additional duty. Emergency planning is viewed as a task centered on the development of a paper plan, and there is no real linkage between emergency management and community goals and vision. Worse, emergency plans incorporate assumptions based on disaster myths that do not reflect the reality of human behavior in disasters.
This book suggests that the United States can do better by changing the nature of emergency management and traditional response. It is time for a different approach, one that is supported by social science and by new national standards for emergency management programs. This approach is based on the concept that emergency management is a distributed process, one that must be collectively performed by the community. This suggests that emergency management must be integrated with other community goals and, as such, must be perceived as adding value to the community. This added value is achieved by helping the community manage overall risk. The community?wide approach also holds implications for the emergency manager. Instead of
INTRODUCTION xix
being a technical expert on emergency operations, the emergency manager becomes a program manager whose job is to facilitate the development of
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