This lesson presents the National Incident Management System (NIMS) management characteristics. These characteristics are the foundation of all NIMS command and coordination components, including the Incident Command System (ICS).

Objective:

At the end of this lesson, you should be able to:

• Describe the 14 NIMS management characteristics.

Effective incident management relies on a common organizational structure for managing resources, making decisions, and assigning tasks. The Incident Command System (ICS) uses a standardized management approach to ensure that incidents are properly managed and communications are effectively coordinated during an incident.

As an incident occurs, you may be called upon to assist -- making you a part of this organizational structure. To ensure success, you should understand how this structure works.

Video Transcript

As you learned in the previous lesson, ICS is based on proven NIMS management principles, which contribute to the strength and efficiency of the overall system.

ICS incorporates a wide range of management features and principles, beginning with the use of common terminology.

[David Burns, Emergency Preparedness Manager, University of California Los Angeles] Communication is probably one of the most essential elements of ICS. It’s important that we know how to communicate.

[Daryl Lee Spiewak, Former Emergency Programs Manager, the Brazos River Authority] If the terms that I use mean different things to different people, we’re going to have a hard time communicating and doing what needs to be done to accomplish our mission.

ICS emphasizes effective planning, including management by objectives and reliance on an Incident Action Plan.

[Roberta Runge, EPA National NIMS Coordinator] You have to coordinate on what your end objective is. All up and down the chain you have to have a common end goal. So you can establish your objectives, you can ensure they’re in the Incident Action Plan, and you can ensure that they are in agreement.

ICS employs a modular organizational structure that can be tailored based on the size, complexity and hazards of an incident. Command of this organization is established under a single Incident Commander or a Unified Command.

The ICS features related to command structure include chain of command and unity of command.

[Bill Campbell, Former Director of Training, New York State Emergency Management Office] One of the benefits is it gets all of the different organizations working under the same framework.

ICS helps ensure full utilization of all incident resources by:

• Maintaining a manageable span of control,
• Establishing designated incident facilities and locations,
• Implementing comprehensive resource management practices
• Defining clear processes for dispatch/ deployment of resources, and
• Ensuring integrated communications.

ICS supports responders and decision makers through effective information and intelligence management.

[Kristy Plourde, Emergency Management Specialist, U.S. Coast Guard] The common operating picture is a critical thing that the Coast Guard has been working hard on recently for ourselves because it’s something that helps us maintain a better operational picture and it’s more consistent across the board, everyone up and down the chain of command and across to other agencies understand the same picture.

ICS counts on each of us taking personal accountability for our own actions. And finally, the mobilization process helps ensure that incident objectives can be achieved while responders remain safe.

[Kristy Plourde, Emergency Management Specialist, U.S. Coast Guard] To have NIMS work effectively, it’s got to be top-down support.

The NIMS Management Characteristics covered in this lesson form the basis for effective, team-based incident response under the Incident Command System (ICS).

The Incident Command System (ICS) is based on the following 14 proven NIMS management characteristics, each of which contributes to the strength and efficiency of the overall system:

• Common Terminology
• Modular Organization
• Management by Objectives
• Incident Action Planning
• Manageable Span of Control
• Incident Facilities and Locations
• Comprehensive Resource Management
• Integrated Communications
• Establishment and Transfer of Command
• Unified Command
• Chain of Command and Unity of Command
• Accountability
• Dispatch/Deployment
• Information and Intelligence Management

We’ll take a closer look at these characteristics on the following screens.

The Incident Command System (ICS) establishes Common Terminology that allows diverse incident management and support organizations to work together across a wide variety of emergency functions and hazard scenarios. This common terminology covers the following:

• Organizational Functions: Major functions and functional units with incident management responsibilities are named and defined. They remain standard and consistent.
• Resource Descriptions: Major resources – including personnel, equipment, teams, and facilities – are given common names and are “typed” with respect to their capabilities.
• Incident Facilities: Common terminology is used to designate the facilities in the vicinity of the incident area.

During an incident:

• Communications should use common terms.
• Organizations should avoid radio codes, agency-specific codes, acronyms, or jargon. Usage of these types of codes may cause confusion or possibly compromise life safety due to a misunderstanding or misinterpretation.

The goal is to promote understanding among all parties involved in managing an incident.

The Incident Command System (ICS) organizational structure develops in a modular fashion based on the incident’s size and complexity.

• The responsibility for the establishment and expansion of the ICS modular organization rests with the Incident Commander.
• As the incident grows more complex, the ICS organization may expand as functional responsibilities are delegated.

The Incident Commander or Unified Command (which will be discussed later), establishes incident objectives that drive incident operations.

Management by Objectives includes the following:

• Establishing specific, measurable incident objectives.
• Identifying strategies, tactics, tasks and activities to achieve the objectives.
• Developing and issuing assignments, plans, procedures, and protocols to accomplish identified tasks.
• Documenting results for the incident objectives.

Incident action planning guides effective incident management activities.  An Incident Action Plan (IAP) is a concise, coherent means of capturing and communicating overall incident priorities, objectives, strategies, tactics, and assignments in the context of both operational and support activities. The IAP should focus on addressing the needs of future timeframes (called operational periods).

To be effective, an IAP should:

• Cover a specified timeframe
• Be proactive
• Specify the incident objectives
• State the activities to be completed
• Assign responsibilities
• Identify needed resources
• Specify communication protocols

For smaller/less complex incidents, the IAP may be oral or written, except for hazardous materials incidents, which require a written IAP. FEMA has developed a series of ICS Forms for use in developing a written IAP.

Depending on your role within the Incident Command System (ICS) structure, you may be asked to manage the activities of others.

Span of control refers to the number of individuals or resources that one supervisor can manage effectively during an incident. The optimal span of control is one supervisor to five subordinates (1:5).  However, effective incident management may require ratios significantly different from this. This ratio is a guideline--incident personnel should use their best judgement to determine the appropriate ratio for an incident.

If too much responsibility is given to the supervisor, the span of control may become unmanageable. A manageable span of control on incidents may actually vary depending upon the type of incident, nature of the task, hazards and safety factors, and distances between personnel and resources.

Maintaining a manageable span of control is particularly important at incidents where safety and accountability are a top priority.

Depending upon the incident size and complexity, various types of support facilities may be established by Incident Command. These designated facilities typically include:

• Incident Command Post (ICP) 
• Incident base, staging areas, and camps 
• Mass casualty triage areas 
• Point-of-distribution 
• Emergency shelters

Comprehensive Resource Management describes standard mechanisms to identify requirements, order and acquire, mobilize, track and report, demobilize, and reimburse and restock resources such as personnel, teams, facilities, equipment and supplies.

Key resource management activities include:

• Resource Identification and Typing 
• Qualification, Certification and Credentialing Personnel 
• Planning for Resources
• Acquiring, Storing and Inventorying Resources

Incident communications are facilitated through the development and use of a common communications plan and interoperable communication processes and systems that include voice and data links.

Integrated Communications are necessary to:

• Maintain connectivity
• Achieve situational awareness
• Facilitate information sharing

The command function should be clearly established at the beginning of an incident. The jurisdiction or organization with primary responsibility for the incident designates the Incident Commander and the process for transferring command.

Transfer of command may occur during the course of an incident.  When command is transferred, the process should include a briefing that captures all essential information for continuing safe and effective operations.

In a Unified Command there is no single "Commander." Instead the Unified Command manages the incident through jointly approved objectives. Unified Command allows agencies with different legal, geographic, and functional responsibilities to work together effectively without affecting individual agency authority, responsibility, or accountability.

Unified Command is typically established when no single jurisdiction, agency or organization has the authority and/or resources to manage the incident on its own. This can include incidents involving multiple jurisdictions, a single jurisdiction with multiagency involvement, or multiple jurisdictions with multiagency involvement.

Chain of command is an orderly line that details how authority flows through the hierarchy of the incident management organization. Chain of command:

• Allows an Incident Commander to direct and control the actions of all personnel on the incident. 
• Avoids confusion by requiring that orders flow from supervisors.

Chain of command does NOT prevent personnel from directly communicating with each other to ask for or share information. While formal direction and control follows the chain of command, informal information sharing occurs throughout the ICS structure.

While chain of command relates to the overall hierarchy of the organization, unity of command deals with the fact that all individuals have a single designated supervisor they report to.

Based on the principle of unity of command, you will:

• Report to only one Incident Command System (ICS) supervisor.
• Receive work assignments only from your ICS supervisor.

When you are assigned to an incident, you no longer report directly to your day-to-day supervisor. In fact, there is no correlation between the ICS organization and the administrative structure of any single agency or jurisdiction. This is deliberate, because confusion over different position titles and organizational structures has been a significant stumbling block to effective incident management in the past.

While chain of command and unity of command are applied in all incidents, the actual command structure itself and the responsibilities of those involved change based on the type of incident and your specific role.

Effective accountability during incident operations is essential. As part of the Incident Command System (ICS) structure, you will need to abide by agency policies and guidelines and any applicable local, tribal, state, or Federal rules and regulations.

There are several principles you will need to adhere to:

• Check-In/Check-Out. All responders must report in to receive an assignment. Checking out is just as critical as checking in.
• Incident Action Planning. Response operations must be coordinated as outlined in the Incident Action Plan.
• Unity of Command. Each individual will be assigned to only one supervisor.
• Personal Responsibility. ICS relies on each individual taking personal accountability for their own actions.
• Span of Control. Supervisors must be able to adequately supervise and control their subordinates, as well as communicate with and manage all resources under their supervision.
• Resource Tracking. Supervisors must record and report resource status changes as they occur. Accountability starts as soon as a resource is requested through the time that the resource returns to their home base safely.

Resources should be deployed only when requested or when dispatched by an appropriate authority through established resource management systems.

Resources not requested should refrain from self-dispatching to avoid overburdening the incident command.

Information and intelligence are important in the Incident Command System (ICS).

Incident management must establish a process for gathering, analyzing, assessing, sharing, and managing incident-related information and intelligence. In NIMS, "intelligence" refers exclusively to threat-related information developed by law enforcement, medical surveillance, and other investigative organizations.

Information and intelligence may be gathered from a variety of sources, including:

• 911 calls
• Radio, video and data communications among responders
• Situation Reports (SITREPS)
• Technical specialists from organizations such as the National Weather Service
• Reports from field observers
• Geospatial products, such as GIS, etc.
• Print, online, broadcast, and social media
• Risk assessments
• Terroristic or violent threats
• Surveillance of disease outbreaks
• Structural plans and vulnerabilities

You have completed the National Incident Management System (NIMS) Management Characteristics lesson.

This lesson introduced:

• Common Terminology
• Modular Organization
• Management by Objectives
• Incident Action Planning
• Manageable Span of Control
• Incident Facilities and Locations
• Comprehensive Resource Management
• Integrated Communications
• Establishment and Transfer of Command
• Unified Command
• Chain of Command and Unity of Command
• Accountability
• Dispatch/Deployment
• Information and Intelligence Management

The next lesson will provide an overview of the ICS Functional Areas and introduce the roles of the Incident Commander and Command Staff.