The objectives of this unit are as follows:

• Describe the delegation of authority process.
• Describe scope of authority.
• Define management by objectives.
• Explain the importance of preparedness plans and agreements.

Authority is a right or obligation to act on behalf of a department, agency, or jurisdiction.

• In most jurisdictions, the responsibility for the protection of the citizens rests with the chief elected official. Elected officials have the authority to make decisions, commit resources, obligate funds, and command the resources necessary to protect the population, stop the spread of damage, and protect the environment.
• In private industry, this same responsibility and authority rests with the chief executive officer.

Ask the participants:

Within your jurisdiction or agency, who has the authority for protecting citizens and responding to incidents?

Acknowledge the participants’ responses. If not mentioned by the participants, add the following:

• In most jurisdictions, the responsibility for the protection of the citizens rests with the chief elected official.
• Along with this responsibility, by virtue of their office, these people have the authority to make decisions, commit resources, obligate funds, and command the resources necessary to protect the population, stop the spread of damage, and protect the environment.
• In private industry, this same responsibility and authority rests with the chief executive officer.

The process of granting authority to carry out specific functions is called the delegation of authority. Delegation of authority:

• Grants authority to carry out specific functions.
• Is issued by the chief elected official, chief executive officer, or agency administrator in writing or verbally.
• Allows the Incident Commander to assume command.
• Does NOT relieve the granting authority of the ultimate responsibility for the incident.

Ideally, this authority will be granted in writing. Whether it is granted in writing or verbally, the authorities granted remain with the Incident Commander until such time as the incident is terminated, or a relief shift Incident Commander is appointed, or the Incident Commander is relieved of his or her duties for just cause.

A delegation of authority may be needed:

• When the incident is outside the Incident Commander’s jurisdiction.
• When the incident scope is complex or beyond existing authorities.
• When required by law or procedures.

A delegation of authority may not be required if the Incident Commander is acting within his or her existing authorities. For example: •

• An emergency manager may already have the authority to deploy response resources to a small flash flood.
• A fire chief probably has the authority (as part of the job description) to serve as an Incident Commander at a structure fire.

Ask the participants if they can think of other instances when a delegation of authority may not be necessary.

Ask the participants:

When would an Incident Commander in your jurisdiction or agency need a delegation of authority?

Acknowledge the participants’ responses. Tell the participants that if they are not sure of when a delegation may be required, then it is important to clarify their authorities with their agencies or jurisdictions.

A delegation of authority should include the following elements:

• Legal authorities and restrictions.
• Financial authorities and restrictions.
• Reporting requirements.
• Demographic issues.
• Political implications.
• Agency or jurisdictional priorities.
• Plan for public information management.
• Process for communications.
• Plan for ongoing incident evaluation.

The delegation should also specify when the incident will be achieved prior to a transfer of command or release.

The final responsibility for the resolution of the incident remains with the chief elected official, chief executive officer, or agency administrator. It is imperative then that the chief elected official, chief executive officer, or agency administrator remain an active participant, supporter, supervisor, and evaluator of the Incident Commander.

Ask the participants:

How do you ensure that the delegating authority remains an active part of the incident response?

Facilitate a discussion among the participants. Add any advice you may have based on your past experiences.

ICS is managed by objectives. Objectives are communicated throughout the entire ICS organization through the incident planning process.

Management by objectives includes:

• Establishing overarching objectives.
• Developing and issuing assignments, plans, procedures, and protocols.
• Establishing specific, measurable objectives for various incident management functional activities.
• Directing efforts to attain them, in support of defined strategic objectives.
• Documenting results to measure performance and facilitate corrective action.

The process for establishing and implementing incident objectives involves the following steps.

• Step 1: Understand agency policy and direction.
• Step 2: Assess incident situation. 
• Step 3: Establish incident objectives.
• Step 4: Select appropriate strategy or strategies to achieve objectives.
• Step 5: Perform tactical direction.
• Step 6: Provide necessary followup.

The Incident Commander must have a firm grasp of the policies and direction of his or her agency or jurisdiction. Laws, regulations, and policies of that agency or jurisdiction will govern the Incident Commander’s scope of authority to act and, therefore, the objectives established.

Note that the ICS-300 course presents more training in setting objectives and the planning process cycle.

In an initial incident, a size-up is done to set the immediate incident objectives.

The first responder to arrive must assume command and size up the situation by determining:

• Nature and magnitude of the incident.
• Hazards and safety concerns:
• Hazards facing response personnel and the public
• Evacuation and warnings
• Injuries and casualties
• Need to secure and isolate the area
• Initial priorities and immediate resource requirements.
• The location of the Incident Command Post and Staging Area.
• Entrance and exit routes for responders.

Ask the participants:

What additional factors might you consider when conducting a size-up?

Acknowledge the participants’ responses. Share any other factors that you have learned are important through your own experiences.

Throughout the incident, objectives are established based on the following priorities:

• First Priority: Life Safety
• Second Priority: Incident Stabilization
• Third Priority: Property Preservation

Ask the participants for examples of each type of priority. Present examples based on your experience.

Incident objectives must describe what must be accomplished and provide substantive direction for work at the incident.

\For full effectiveness, incident objectives must be:

• Specific – Is the wording precise and unambiguous?
• Measurable – How will achievements be measured?
• Action Oriented – Is an action verb used to describe expected accomplishments?
• Realistic – Is the outcome achievable with given available resources?
• Time Sensitive – What is the timeframe (if applicable)?

Incident objectives, strategies, and tactics are three fundamental pieces of a successful incident response.

• Incident objectives state what will be accomplished.
• Strategies establish the general plan or direction for accomplishing the incident objectives.
• Tactics specify how the strategies will be executed.

The Incident Commander is responsible for establishing goals and selecting strategies. The Operations Section, if it is established, is responsible for determining appropriate tactics for an incident.

An Incident Action Plan (IAP) covers an operational period and includes:

• What must be done.
• Who is responsible.
• How information will be communicated.
• What should be done if someone is injured.

The operational period is the period of time scheduled for execution of a given set of tactical actions as specified in the IAP.

The Incident Commander, as well as the Command and General Staffs, should have a working knowledge of jurisdictional and agency preparedness plans and agreements.

Preparedness plans may take many forms. The most common preparedness plans are:

• Federal, State, or local Emergency Operations Plans (EOPs).
• Standard operating guidelines (SOGs).
• Standard operating procedures (SOPs).
• Jurisdictional or agency policies.

• EOPs are developed at the Federal, State, and local levels to provide a uniform response to all hazards that a community may face.
• EOPs written after October 2005 must be consistent with the National Incident Management System (NIMS).
• NIMS is mandated by Homeland Security Presidential Directive (HSPD) 5, which directs the Secretary of Homeland Security to develop and administer a National Incident Management System. According to HSPD-5:
• “This system will provide a consistent nationwide approach for Federal, State, tribal, and local governments to work effectively and efficiently together to prepare for, respond to, and recover from domestic incidents, regardless of cause, size, or complexity. To provide for interoperability and compatibility among Federal, State, tribal, and local capabilities, the NIMS will include a core set of concepts, principles, terminology, and technologies covering the incident command system; multiagency coordination systems; unified command; training; identification and management of resources (including systems for classifying types of resources); qualifications and certification; and the collection, tracking, and reporting of incident information and incident resources.”

NIMS states that:

• Mutual aid agreements and assistance agreements are agreements between agencies, organizations, and jurisdictions that provide a mechanism to quickly obtain emergency assistance in the form of personnel, equipment, materials, and other associated services.
• Jurisdictions should be party to agreements with the appropriate jurisdictions and/or organizations from which they expect to receive, or to which they expect to provide, assistance.

Note: The United States has a trust relationship with Indian tribes and recognizes their right to self-government. As such, tribal governments are responsible for coordinating resources to address actual or potential incidents. When local resources are not adequate, tribal leaders seek assistance from States or the Federal Government.

For certain types of Federal assistance, tribal governments work with the State, but as sovereign entities they can elect to deal directly with the Federal Government for other types of assistance. In order to obtain Federal assistance via the Stafford Act, a State Governor must request a Presidential declaration on behalf of a tribe.

• Mutual aid is the voluntary provision of resources by agencies or organizations to assist each other when existing resources are inadequate.
• When combined with NIMS-oriented resource management, mutual aid allows jurisdictions to share resources among mutual aid partners.
• At a minimum, mutual aid agreements should include the following elements or provisions:
• Definitions of key terms used in the agreement;
• Roles and responsibilities of individual parties; 
• Procedures for requesting and providing assistance;
• Procedures, authorities, and rules for payment, reimbursement, and allocation of costs;
• Notification procedures;
• Protocols for interoperable communications;
• Relationships with other agreements among jurisdictions;
• Workers compensation;
• Treatment of liability and immunity;
• Recognition of qualifications and certifications; and
• Sharing agreements, as required.

Plans may include information about:

• Hazards and risks in the area.
• Resources in the area.
• Other formal agreements and plans.
• Contact information for agency administrators and response personnel.
• Other pertinent information.

Ask the participants:

What preparedness plans, agreements, and standard operating procedures must you follow in responding to incidents?

Acknowledge the participants’ responses. Point out that they should make sure to know which preparedness plans, agreements, and standard operating procedures they must follow.

Are you now able to:

• Describe the delegation of authority process?
• Describe scope of authority?
• Define management by objectives?
• Explain the importance of preparedness plans and agreements?

Next, ask the participants if they have any questions about the content presented in this unit.

Answer any questions. The next unit presents information about the functional areas and positions.