The Delegation of Authority & Management by Objectives lesson introduces you to the delegation of authority process, implementing authorities, management by objectives, and preparedness plans and agreements.

Lesson Objectives

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

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

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

• In most jurisdictions, the responsibility for the protection of the citizens rests with the chief elected official. Elected officials have the authority to make decisions, commit resources, obligate funds, and command the resources necessary to protect the population, stop the spread of damage, and protect the environment.
• The Authority Having Jurisdiction (AHJ) is the entity that creates and administers processes to qualify, certify, and credential personnel for incident-related positions. AHJs include state, tribal, or Federal government departments and agencies, training commissions, NGOs, or companies, as well as local organizations such as police, fire, public health, or public works departments.
• In private industry, this same responsibility and authority rests with the chief executive officer.

An Incident Commander's scope of authority is derived:

• From existing laws, agency policies, and procedures, and/or
• Through a delegation of authority from the agency administrator or elected official.

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

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

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

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

An emergency manager may already have the authority to deploy response resources to a small flash flood.

A fire chief probably has the authority (as part of the job description) to serve as an Incident Commander at a structure fire.

A delegation of authority is needed:

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

When issued, delegation of authority should include:

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

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

_______________________ is assigned as Incident Commander on the __________________ incident.

You have full authority and responsibility for managing the incident activities within the framework of agency policy and direction. Your primary responsibility is to organize and direct your assigned and ordered resources for efficient and effective control of the incident.

You are accountable to _____________________________ or his/her designated representative listed below.

Financial limitations will be consistent with the best approach to the values at risk. Specific direction for this incident covering management and other concerns are:

 ________________________________ will represent me on any occasion that I am not immediately available. This authority is effective: _________.

____________________________________

Agency Administrator

____________________________________

Incident Commander

________________________

Date and Time

ICS is managed by objectives. Objectives are communicated throughout the entire ICS organization through the Incident Action Planning Process.

Management by objectives includes:

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

The steps for establishing and implementing incident objectives include:

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

In an initial incident, a size-up is done to set the immediate incident objectives. The first responder to arrive must assume command and size-up the situation by determining:

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

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

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

Overall priorities for an incident define what is most important. These are not a set of steps, you do not complete all life safety actions before you start any efforts to stabilize the incident. Often these priorities will be performed simultaneously.

For full effectiveness, incident objectives must be:

• Specific and state what's to be accomplished
• Measurable and include a standard and timeframe
• Attainable and reasonable
• In accordance with the Incident Commander's authorities
• Evaluated to determine effectiveness of strategies and tactics

EXAMPLE: Establish a controlled perimeter around the incident within 45 minutes (by 6 p.m.)

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

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

For example:

• Objective: Stop the spread of hazardous materials from a tractor-trailer accident into the river by 1800 today.
• Strategy: Employ barriers.
• Tactic: Use absorbent damming materials to construct a barrier between the downhill side of the accident scene and Murkey Creek.

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

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) - a standard indication or outline of policy
• Standard operating procedures (SOPs) - a set of step-by-step instructions compiled by an organization to help workers carry out complex operations
• 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 should be consistent with the National Incident Management System (NIMS).

Click on this link to access the NIMS Resource Center. 

Click on this link to access the Comprehensive Preparedness Guide (CPG) 101: A Guide for All-Hazard Emergency Operations Planning.

NIMS states that:

• Mutual aid agreements establish the legal basis for two or more entities to share resources. Mutual aid agreements may authorize mutual aid between two or more neighboring communities, among all jurisdictions within a state, between states, between Federal agencies, and/or internationally.
• 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.

Click this link to review the Resource Management and Mutual Aid page within the NIMS Resource Center.

Mutual aid is the voluntary provision of resources by agencies or organizations to assist each other when existing resources are inadequate.

NIMS resource management describes how mutual aid allows jurisdictions to share resources among mutual aid partners.

Mutual aid agreements might include some of the following topics:

• Reimbursement: Mutual aid services are either paid or unpaid (e.g., based on providing reciprocal services). Some mutual aid agreements specify reimbursement parameters.
• Recognition of Licensure and Certification: Guidelines to ensure recognition of licensures across geopolitical boundaries.
• Procedures for Mobilization (Request, Dispatch, and Response): Specific procedures for parties to request and dispatch resources through mutual aid.
• Protocols for Voice and Data Interoperability: Protocols that specify how different communications and IT systems share information.
• Protocols for Resource Management: Standard templates for packaging resources based on NIMS resource typing definitions and/or local inventory systems.

Mutual aid agreements and assistance agreements are used at all levels of government:

• Local jurisdictions participate in mutual aid through agreements with neighboring jurisdictions.
• States can participate in mutual aid through the Emergency Management Assistance Compact (EMAC).
• Federal agencies offer mutual aid to each other and to States, tribes, and territories under the National Response Framework (NRF).

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

You have completed the Delegation of Authority & Management by Objectives lesson. You should now be able to describe:

• The delegation of authority process.
• Scope of authority.
• Management by objectives.
• The importance of preparedness plans and agreements.

The next lesson will discuss functional areas and positions.