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*Principles of Emergency*

*Management*

*Supplement*

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**September 11, 2007**

# Table of Contents

[Foreword 3](#foreword)

[Definition, Vision, Mission, Principles
4](#definition-vision-mission-principles)

[Definition 4](#definition)

[Vision 4](#vision)

[Mission 4](#mission)

[Principles 4](#principles)

[Principles of Emergency Management
5](#principles-of-emergency-management)

[1. Comprehensive 5](#comprehensive)

[2. Progressive 5](#progressive)

[3. Risk-driven 6](#risk-driven)

[4. Integrated 6](#integrated)

[5. Collaborative 7](#collaborative)

[6. Coordinated 8](#coordinated)

[7. Flexible 8](#flexible)

[8. Professional 9](#professional)

#  

# Foreword

In March of 2007, Dr. Wayne Blanchard of FEMA's Emergency Management
Higher Education Project, at the direction of Dr. Cortez Lawrence,
Superintendent of FEMA's Emergency Management Institute, convened a
working group of emergency management practitioners and academics to
consider principles of emergency management. This project was prompted
by the realization that while numerous books, articles and papers
referred to "principles of emergency management", nowhere in the vast
array of literature on the subject was there an agreed upon definition
of what these principles were.

The group agreed on eight principles that will be used to guide the
development of a doctrine of emergency management. This monograph lists
these eight principles and provides a brief description of each.

Members of the working group are:

Dr. B. Wayne Blanchard, CEM

Higher Education Project Manager

FEMA Emergency Management Institute

Lucien G. Canton, CEM, CBCP, CPP

Emergency Management Consultant

Director of Emergency Services (retired)

City and County of San Francisco, CA

Carol L. Cwiak, JD

Instructor, Emergency Management Program

North Dakota State University

Kay C. Goss, CEM

President

Foundation of Higher Education Accreditation

Dr. David A McEntire

Associate Professor

Emergency Administration and Planning Program

University of North Texas

Lee Newsome, CEM

Emergency Response Educators and Consultants, Inc.

Representative

NFPA 1600 Technical Advisory Committee

Michael D. Selves, CEM, CPM

Emergency Management and Homeland

Security Director

Johnson County, Kansas

President

International Association of Emergency Managers

Eric A. Sorchik

Adjunct Professor, School of Administrative Science

Fairleigh-Dickinson University

State Emergency Management Training Officer

New Jersey State Police (retired)

Kim Stenson

Chief, Preparedness and Recovery

South Carolina Emergency Management Division

Representative

National Emergency Managers Association

James E. Turner III

Director

Delaware Emergency Management Agency

Representative

National Emergency Managers Association

Dr. William L Waugh, Jr.

Professor, Public Administration and

Urban Studies /Political Science

Georgia State University

Representative

Emergency Management Accreditation Program

Dewayne West, CEM, CCFI

Director of Emergency Services (retired)

Johnston County, North Carolina

Past President

International Association of Emergency Managers

# EMERGENCY MANAGEMENT 

# DEFINITION, VISION, MISSION, PRINCIPLES

## 

## Definition 

> Emergency management is the managerial function charged with creating
> the framework within which communities reduce vulnerability to hazards
> and cope with disasters.

## Vision 

> Emergency management seeks to promote safer, less vulnerable
> communities with the capacity to cope with hazards and disasters.

## Mission 

> Emergency management protects communities by coordinating and
> integrating all activities necessary to build, sustain, and improve
> the capability to mitigate against, prepare for, respond to, and
> recover from threatened or actual natural disasters, acts of
> terrorism, or other man-made disasters.

## Principles

> Emergency management must be:

1.  **Comprehensive** -- emergency managers consider and take into
    account all hazards, all phases, all stakeholders and all impacts
    relevant to disasters.

2.  **Progressive** -- emergency managers anticipate future disasters
    and take preventive and prepara­tory measures to build
    disaster-resistant and disaster-resilient communities.

3.  **Risk-driven** -- emergency managers use sound risk management
    principles (hazard identifica­tion, risk analysis, and impact
    analysis) in assigning priorities and resources.

4.  **Integrated** -- emergency managers ensure unity of effort among
    all levels of government and all elements of a community.

5.  **Collaborative** -- emergency managers create and sustain broad and
    sincere relationships among individuals and organizations to
    encourage trust, advocate a team atmosphere, build consensus, and
    facilitate communication.

6.  **Coordinated** -- emergency managers synchronize the activities of
    all relevant stakeholders to achieve a common purpose.

7.  **Flexible** -- emergency managers use creative and innovative
    approaches in solving disaster challenges.

8.  **Professional** -- emergency managers value a science and
    knowledge-based approach based on education, training, experience,
    ethical practice, public stewardship and continuous improve­ment.

# PRINCIPLES OF EMERGENCY MANAGEMENT

## 1. Comprehensive 

Emergency managers consider and take into account all hazards, all
phases, all impacts, and all stake­holders relevant to disasters.

Comprehensive emergency management can be defined as the preparation for
and the carrying out of all emergency functions necessary to mitigate,
prepare for, respond to, and recover from emergencies and disasters
caused by all hazards, whether natural, techno­logical, or human caused.
Comprehensive emergency management consists of four related com­ponents:
all hazards, all phases, all impacts, and all stakeholders.

**All Hazards:** All hazards within a jurisdiction must be considered as
part of a thorough risk assess­ment and prioritized on the basis of
impact and likeli­hood of occurrence. Treating all hazards the same in
terms of planning resource allocation ultimately leads to failure. There
are similarities in how one reacts to all disasters. These
event-specific actions form the basis for most emergency plans. However,
there are also distinct differences between disaster agents that must be
addressed in agent or hazard-specific plans and these can only be
identified through the risk assessment process.

**All Phases:** The Comprehensive Emergency Man­agement Model[^1] on
which modern emergency manage­ment is based defines four phases of
emer­gency management: mitigation, preparedness, response, and recovery.
*Mitigation* consists of those activities designed to prevent or reduce
losses from disaster. It is usually considered the initial phase of
emergency management, although it may be a compo­nent of other phases.
*Preparedness* is focused on the development of plans and capabilities
for effective disaster response. *Response* is the immediate reaction to
a disaster. It may occur as the disaster is antici­pated, as well as soon
after it begins. *Recovery* con­sists of those activities that continue
beyond the emergency period to restore critical community functions and
manage re­construction.[^2] Detailed planning and execution is re­quired
for each phase. Further, phases often overlap as there is often no
clearly defined boundary where one phase ends and another begins.
Successful emergency management coordinates activities in all four
phases.

**All Impacts:** Emergencies and disasters cut across a broad spectrum
in terms of impact on infrastructure, human services, and the economy.
Just as all hazards need to be considered in developing plans and
proto­cols, all impacts or predictable consequences relating to those
hazards must also be analyzed and addressed.

**All Stakeholders:** This component is closely re­lated to the emergency
management principles of co­ordination and collaboration. Effective
emergency management requires close working relationships among all
levels of government, the private sector, and the general public.

## 2. Progressive

Emergency managers anticipate future disasters and take preventive and
preparatory measures to build disaster-resistant and disaster-resilient
communities.

Research and data from natural and social scien­tists indicates that
disasters are becoming more fre­quent, intense, dynamic, and complex. The
number of federally declared disasters has risen dramatically over
recent decades. Monetary losses are rising at ex­ponential rates because
more property is being put at risk. The location of communities and the
construction of buildings and infrastructure have not considered
potential hazards. Environmental mismanagement and a failure to develop
and enforce sound building codes are producing more disasters. There is
an increased risk of terrorist attacks using weapons of mass de­struction

Emergency management must give greater atten­tion to prevention and
mitigation activities. Traditionally, emergency managers have confined
their activi­ties to developing emergency response plans and co­ordinating
the initial response to disasters. Given the escalating risks facing
communities, however, emer­gency managers must become more progressive
and strategic in their thinking. The role of the emergency manager can
no longer be that of a technician but must evolve to that of a manager
and senior policy advisor who oversees a community-wide program to
address all hazards and all phases of the emergency management cycle.

Emergency managers must understand how to assess hazards and reduce
vulnerability, seek the sup­port of public officials and support the
passage of laws and the enforcement of ordinances that reduce
vulner­ability. Collaborative efforts between experts and organizations
in the public, private and non-profit sectors are needed to promote
disaster prevention and preparedness. Efforts such as land-use planning,
environmental management, building code enforcement, planning, training,
and exercises are required and must emphasize vulnerability reduction
and capacity building, not just compliance. Emergency management is
progressive and not just reactive in orientation.

## 3. Risk-driven 

Emergency managers use sound risk management principles (hazard
identification, risk analysis, and impact analysis) in assigning
priorities and resources.

Emergency managers are responsible for using available resources
effectively and efficiently to manage risk. That means that the setting
of policy and programmatic priorities should be based upon measured
levels of risk to lives, property, and the environment. NFPA 1600 states
that emergency management programs "shall identify hazards, monitor
those hazards, the likelihood of their occurrence, and the vulnerability
of people, property, the environment, and the entity \[program\] itself
to those hazards"[^3] The Emergency Management Accreditation Program
(EMAP) Standard echoes this requirement for public sector emergency
management programs.

Effective risk management is based upon (1) the identification of the
natural and man-made hazards that may have significant effect on the
community or organization; (2) the analysis of those hazards based on
the vulnerability of the community to determine the nature of the risks
they pose; and (3) an impact analysis to determine the potential affect
they may have on specific communities, organizations, and other
entities. Mitigation strategies, emergency operations plans, continuity
of operations plans, and pre- and post-disaster recovery plans should be
based upon the specific risks identified and resources should be
allocated appropriately to address those risks.

Communities across the United States have very different risks. It is
the responsibility of emergency managers to address the risks specific
to their communities. Budgets, human resource management decisions,
plans, public education programs, training and exercising, and other
efforts necessarily should focus on the hazards that pose the greatest
risks first. An all-hazards focus ensures that plans are adaptable to a
variety of disaster types and that, by addressing the hazards that pose
the greatest risk, the community will be better prepared for lesser
risks as well.

## 4. Integrated

Emergency managers ensure unity of effort among all levels of government
and all elements of a community.

In the early 1980's, emergency managers adopted the Integrated Emergency
Management System (IEMS), an all-hazards approach to the direction,
control and coordination of disasters regardless of their location, size
and complexity. IEMS integrates *partnerships* that include all
stakeholders in the community's decision-making processes. IEMS is
intended to create an organizational culture that is critical to
achieving unity of effort between government, key community partners,
non-governmental organizations (NGOs) and the private sector.

Unity of effort is dependent on both vertical and horizontal
integration. This means that at the local level, emergency programs must
be integrated with other activities of government. For example,
department emergency plans must be synchronized with and support the
overall emergency operations plan for the community. In addition, plans
at all levels of local government must ultimately be integrated with and
support the community's vision and be consistent with its values.

Similarly, private sector continuity plans should take into account the
community's emergency operations plan. Businesses are demanding greater
interface with government to understand how to react to events that
threaten business survival. Additionally, businesses can provide
significant resources during disasters and thus may be a critical
component of the community's emergency operations plan. In addition,
given the high percentage of critical infrastructure owned by the
private sector, failure to include businesses in emergency programs
could have grave consequences for the community.

The local emergency management program must also be synchronized with
higher-level plans and programs. This is most noticeable in the
dependence of local government on county, state and federal resources
during a disaster. If plans have not been synchronized and integrated,
resources may be delayed.

Emergency management must be integrated into daily decisions, not just
during times of disasters. While protecting the population is a primary
responsibility of government, it cannot be accomplished without building
partnerships among disciplines and across all sectors, including the
private sector and the media.

## 5. Collaborative

*Emergency managers create and sustain broad and sincere relationships
among individuals and organizations to encourage trust, advocate a team
atmosphere, build consensus, and facilitate communication.*

There is a difference between the terms "collaboration" and
"coordination" and current usage often makes it difficult to distinguish
between these words. Coordination refers to a process designed to ensure
that functions, roles and responsibilities are identified and tasks
accomplished; collaboration must be viewed as an attitude or an
organizational culture that characterizes the degree of unity and
cooperation that exists within a community. In essence, collaboration
creates the environment in which coordination can function effectively.

In disaster situations, the one factor that is consistently credited
with improving the performance of a community is the degree to which
there is an open and cooperative relationship among those individuals
and agencies involved. Shortly after Hurricane Katrina, *Governing*
magazine correspondent, Jonathan Walters wrote: "Most important to the
strength of the intergovernmental chain are solid relationships among
those who might be called upon to work together in times of high stress.
'You don't want to meet someone for the first time while you're standing
around in the rubble,' says Jarrod Bernstein, a spokesman for the New
York Office of Emergency Management." [^4] It is this kind of culture
and relationship that collaboration is intended to establish.

A commitment to collaboration makes other essential roles and functions
possible. Comfort and Cahill acknowledge the essential nature of
collaboration within the emergency management function: "In environments
of high uncertainty, this quality of inter-personal trust is essential
for collective action. Building that trust in a multi-organizational
operating environment is a complex process, perhaps the most difficult
task involved in creating an integrated emergency management
system."[^5] Thomas Drabeck[^6] suggests that collaboration involves
three elements:

1.  We must commit to ensuring that we have done everything possible to
    identify all potential players in a disaster event and work to
    involve them in every aspect of planning and preparedness for a
    disaster event.

2.  Having achieved this broad involvement, we must constantly work to
    maintain and sustain the real, human, contact necessary to make the
    system work in a disaster event.

3.  Finally, our involvement of all of our "partners" must be based on a
    sincere desire to listen to and incorporate their concerns and ideas
    into our planning and preparedness efforts. This element is probably
    the most critical because it is this sincere interest that engenders
    trust, cooperation and understanding and allows us to truly have a
    "team" approach to protecting our communities in times of disaster.

This principle can perhaps best be encapsulated by remembering: "If we
shake hands before a disaster, we won't have to point fingers
afterwards." [^7]

## 6. Coordinated 

Emergency managers synchronize the activities of all relevant
stakeholders to achieve a common purpose.

Emergency managers are seldom in a position to direct the activities of
the many agencies and organizations involved in the emergency management
program. In most cases, the people in charge of these organizations are
senior to the emergency manager, have direct line authority from the
senior official, or are autonomous. Each stakeholder brings to the
planning process their own authorities, legal mandates, culture and
operating missions. The principle of coordination requires that the
emergency manager gain agreement among these disparate agencies as to a
common purpose and then ensure that their independent activities help to
achieve this common purpose.

In essence, the principle of coordination requires that the emergency
manager think strategically, that he or she see the "big picture" and
how each stakeholder fits into that mosaic. This type of thinking is the
basis for the strategic program plan required under the National
Preparedness Standard (NFPA 1600) and the Emergency Management
Accreditation Program. In developing the strategic plan, the emergency
manager facilitates the identification of agreed-upon goals and then
persuades stakeholders to accept responsibility for specific performance
objectives. The strategic plan then becomes a mechanism for assessing
program progress and accomplishments.

This same process can be used on a smaller scale to develop a specific
plan, such as a community recovery plan; it is also an inherent
component of tactical and operational response. The principle of
coordination is applicable to all four phases of the Comprehensive
Emergency Management cycle and is essential for successful planning and
operational activities related to the emergency management program.
Application of the principle of coordination provides the emergency
manager with the management tools that produce the results necessary to
achieve a common purpose.

## 7. Flexible 

Emergency managers use creative and innovative approaches in solving
disaster challenges.

Due to their diverse and varied responsibilities, emergency managers
constitute one of the most flexible organizational elements of
government. Laws, policies and operating procedures that allow little
flexibility in the performance of duties drive more traditional branches
of government. Emergency managers are instead encouraged to developed
creative solutions to solve problems and achieve goals.

A principal role of the emergency manager is the assessment of
vulnerability and risk and the development of corresponding strategies
that could be used to reduce or eliminate risk. However, there can more
than one potential mitigation strategy for any given risk. The emergency
manager must have the flexibility to choose not only the most efficient
course of action but the one that would have the most chance of being
implemented.

In the preparedness phase, the emergency manager uses many resources to
create and maintain a well-organized community response structure. One
such resource is the development of a risk-based community emergency
operations plan. While most policies and procedures in government are
specific and designed to offer little room for interpretation, the
emergency operations plan is designed to be flexible and applicable to
all community emergency operations. It is based on the consequences of
the event, not the promulgating action.

The most dramatic phase of emergency management is response. In this
phase the emergency manager coordinates activities to ensure overall
objectives are being met. The emergency manager must be flexible enough
to suggest variations in tactics or procedures and adapt quickly to a
rapidly changing and frequently unclear situation. The emphasis is on
creative problem solving based on the event and not on rigid adherence
to pre-existing plans.

As part of the community team that will determine recovery priorities
the emergency manager must be capable of dealing with the political,
economic and social pressures in making these decisions. It is natural
to focus on short-term efforts in disaster recovery. However, the
emergency manager cannot lose sight of the long-term needs of the
community and it is this aspect of recovery that often must be driven by
the emergency manager.

Flexibility is a key trait of emergency management and success in the
emergency management field is dependent upon it. Being able to provide
alternate solutions to stakeholders and then having the flexibility to
implement these solutions is a formula for success in emergency
management.

## 8. Professional

Emergency managers value a science and know­ledge-based approach based on
education, training, experience, ethical practice, public stewardship
and continuous improvement.

Professionalism in the context of the principles of emergency management
pertains not to the personal attributes of the emergency manager but to
a commitment to emergency management as a profession. A profession, as
opposed to a discipline or a vocation, has certain characteristics,
among which are:

**Code of ethics** -- while no single code of ethics has yet been agreed
upon for the profession, the Code of Ethics of the International
Association of Emergency Managers, with its emphasis on respect,
commitment and professionalism, is generally accepted as the standard
for emergency managers.

**Professional associations** -- emergency managers seeking to advance
the profession of emergency management are members of professional
organizations such as the National Emergency Manager's Association
(NEMA) and the International Association of Emergency Managers (IAEM).
They also participate in appropriate state, local and professional
associations.

**Board certification** -- emergency managers seek to earn professional
certification through such programs as the Certified Emergency Manager
program of IAEM. Professional certification demonstrates the achievement
of a minimum level of expertise and encourages continued professional
development through periodic recertification.

**Specialized body of knowledge** -- the knowledge base for emergency
managers consists of three principal areas. The first is the study of
historical disasters, particularly as it pertains to the community for
which the emergency manager is responsible. Secondly, the emergency
manager must have a working familiarity with social science literature
pertaining to disaster issues. Third, the emergency manager must be well
versed in emergency management practices, standards and guidelines.

**Standards and best practices** -- the principal standards used in
emergency management are NFPA 1600 and the Emergency Management
Accreditation Program (EMAP) Standard. These two standards provide the
overarching context for the use of other standards and best practices.

[^1]: National Governors' Association. *1978 Emergency Preparedness
    Project: Final Report*. Washington, DC:NGA, 1978.

[^2]: William L. Waugh, Jr. *Living with Hazards, Dealing with
    Disasters: An Introduction to Emergency Management.* Armonk, New
    York: M.E. Sharpe, 2000.

[^3]: *NFPA 1600 Standard on Disaster/Emergency Management and Business
    Continuity Programs, 2007 Edition*, National Fire Protection
    Association, Quincy, MA. Section 5.3

[^4]: Jonathan Walters. GOVEXEC.com, December 1, 2005

[^5]: Louise K. Comfort and Anthony G. Cahill. *Managing Disaster,
    Strategies and Policy Perspectives.* Durham, NC: Duke University
    Press, 1988

[^6]: Thomas E. Drabek. *Strategies for Coordinating Disaster
    Responses*.  Boulder, CO:  Program on Environment and Behavior,
    Monograph 61, University of Colorado, 2003. 

[^7]: Michael D. Selves. Oral testimony before the United States House
    Subcommittee on Emergency Management of the Committee on
    Transportation and Infrastructure, April 26, 2007.