FA-166 / December 1996

RISK MANAGEMENT PRACTICES

IN THE FIRE SERVICE

FEDERAL EMERGENCY MANAGEMENT AGENCY

UNITED STATES FIRE ADMINISTRATION
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Risk Management Practices in the Fire Service
This publication was produced under contract EMW-95-C-4695 for the United States Fire

Administration, Federal Emergency Management Agency. Any information, findings,

conclusions, or recommendations expressed in this publication do not necessarily reflect the

views of the Federal Emergency Management Agency or the United States Fire Administration.
Acknowledgment

This text is possible because of many persons who have worked and written in the field of Risk

Management over the past fifteen years. The Appendix provides a list of organizations and

services and a select bibliography of publications that were used in the development of this text.

Many persons have made significant contributions to this text, The following have been of

particular help, for which we offer our sincere thanks: Murrey Loflin, Virginia Beach, Virginia

Fire Department; Bill Jenaway, Ring of Prussia, Pennsylvania Fire Department; Anthony Granito,

Emergency Service Insurance Program, Cortland, New York; Gerry Rosicky, George Rounds,

Bill Solly, General Motors Corporation; Chief Jon Alberghini of the Kingston, Massachusetts Fire

Department.
Table of Contents

About This Manual................................................................................................................... i

Purpose ............................................................................................................................... i

Overview................................................................................................................................ 1

Introduction ..................................................................................................................... 3

What Is “Risk”? .................................................................................................................. 4

Three Levels of Risk Management ...................................................................................... 5

Risk Management in the Community .................................................................................. 8

Organizational Risk Management ..................................................................................... 10

Operational Risk Management ......................................................................................... 12

Planning to Manage Risk ................................................................................................... 14

Chapter Summary.. ........................................................................................................... 17

Organizational Risk Management ............................................................................................ 19

Chapter Overview ............................................................................................................. 21

Definitions and Concepts .................................................................................................. 22

Losses and Loss Control .................................................................................................. 27

Organizational Risk Management System .......................................................................... 29

The Steps in the Process.................................................................................................... 33

Legal Responsibility .......................................................................................................... 47

Specific Areas of Concern for the Emergency Service Risk Manager .................................. 56

Chapter Summary................................................................................................................ 58

Operational Risk Management................................................................................................ 59

Chapter Overview.............................................................................................................. 61

Risk Management and Emergency Response....................................................................... 62

Managing Risk in Emergency Incidents............................................................................... 68

Application of Risk Management Policies ........................................................................... 77

Conducting Operations Safely ............................................................................................. 88

Preparation for Incident Command .................................................................................... 101

Chapter Summary.............................................................................................................. 115

Managing Information ........................................................................................................... 117

Chapter Overview............................................................................................................. 119

The Importance of Managing Information.......................................................................... 120

Pre-Incident Planning and Preparation ............................................................................... 121

Managing and Applying Information During Emergencies.................................................. 130

Special Information Management Considerations............................................................... 136

Chapter Summary.............................................................................................................. 139

Appendix .............................................................................................................................. 141

Organizations and Sources Providing Risk Management Information ................................. 143

Select Bibliography .......................................................................................................... 145
About This Manual

Purpose

The manual: a This manual is about risk management. Admittedly, the term “risk

comprehensive management” can be applied to a wide range of functions and activities.

resource guide Several special applications of risk management, however, are uniquely

significant to organizations that, in the course of delivering emergency services

to the public, cope with high risk situations as an integral component of their

missions. Such organizations include:.

fire departments

rescue squads

emergency medical services

other related organizations.

Risk management calls for a multi-faceted approach that encompasses many

elements, some of which are:

safety

health

financial impact

loss control.

It is a fundamental tenet of risk management that it be an ongoing, evolving,

regularly refreshed and continuously improved process.

The manual is designed as a comprehensive guide that helps fire and

emergency service providers understand the concepts that form the foundation

of risk management principles and practices, In addition, the manual directs

the reader to sources of additional information and operational examples. The

manual focuses on the practical application of risk management principles to

fire department operations.

Continued on next page

i
Purpose, Continued

How this

manual is

organized

The manual is divided into the following chapters:

About This Manual

Chapter One: Overview

Chapter Two: Organizational Risk Management

Chapter Three: Operational Risk Management

Chapter Four: Managing Information

Appendix

Each chapter includes a list of topics covered in the chapter, as well as

overview and summary sections.

i i
Overview

Introduction

Purpose of this This Chapter provides a basic risk management vocabulary and presents the

Chapter operational assumptions and concepts that form the foundation of a risk

management philosophy.

This Chapter helps prepare incident commanders and other emergency

responders by:

defining risk and risk management

describing the risk management mission

providing examples of operational risk management considerations

In this Chapter This Chapter covers the following topics.

Topic See Page...

Introduction

What Is “Risk”?

Three Levels of Risk Management

3

4

7

Risk Management in the Community 8

Organizational Risk Management 10

Operational Risk Management 12

Planning to Manage Risk 14

Chapter Summary 17

3
What Is “Risk”?

Definition To discuss risk management, we must first define what we mean by “risk.”

Unfortunately, the term “risk” has come to be used interchangeably in widely

disparate settings. As a result, its meaning can be blurred in the minds of

many.

A dictionary defines “risk” as a noun and a verb:

(noun) The possibility of meeting danger or suffering harm or loss, or

exposure to harm or loss.

(noun) A person or thing insured or representing a source of risk.

(verb) To expose to the chance of injury or loss.

Determining

factors

Three interrelated determining factors are inherent in all the definitions above:

the probability that an undesired event might occur

a harmful or undesirable consequence

the severity of the harm that might result.

Describing risk The probability of an occurrence can be described in subjective terms such

as “rare” and “high,’ or in numerical terms such as “one in a million,” “one in

three,” and “twenty percent.”

In the same way, harmful consequences are often ,expressed in descriptive

terms like “death,” “incapacitation,” “injury,” “disaster,” and “destruction,” or

in more concrete terms such as “loss of a $1.5 million facility” and “the

combined costs of medical payments, compensation, pension benefits, and lost

productivity” (in the event of a worker’s injury).

Probability and consequence can be combined and expressed mathematically

as the product of loss and probability, An insurance company, for example,

might describe a facility as a ten million dollar risk with a two percent

probability of loss. A financial analyst might calculate a ten million dollar

investment that has a two percent probability of loss as a $200,000 risk.

Continued on next page

4
What Is “Risk”?, Continued

The probability The probability of risk is two-pronged. It relates not only to the chance that

of risk something undesirable might happen, but also to the .probable outcome as

rated on a scale of negative consequences.

For example, based on statistical calculations, we can predict the number of

traffic accidents likely to occur per million miles driven. We can also predict

the number of injuries and fatalities that will come about as a result. However,

such a statistics-based approach will not tell us as individuals where or when

we might be involved in an accident ourselves. And further, those predictive

statistics certainly cannot tell us if our next accident will be a fender bender in

a shopping center parking lot on a sunny afternoon or a multi-vehicle pileup on

a dark two lane road on a stormy night.

Assessing risk The integration of probability and consequence. helps us plan our lives and

guides many of the routine personal and professional decisions we make

everyday.

Out of habit, we often apply the term “risk” to virtually any type or degree of

undesirable consequence or negative outcome--from a minor inconvenience to

a major disaster. For instance, we might talk about the “risk” of having to

share a sixty second elevator ride with an undesirable companion, or we might

talk about the “risk” of an earthquake devastating a region of the United

States.

Each situation carries with it a probability of occurrence and a potential degree

of harm that might result. When we subjectively weigh a “risk” in terms of the

undesirable consequence, we might place the outcome anywhere on a scale of

undesirability. In the examples above, we might measure the negative

outcome in lives lost and property damage in the millions, or simply by wishing

we had waited for the next elevator.

Continued on next page

5
What is “Risk”?, Continued

Relative risk We judge the consequences of specific unpleasant events on a broad scale of

relative undesirability. For example, a heart attack can lead to hospitalization,

therapy, and a long period of recovery. Or it can be fatal. Both potential

outcomes are undesirable. Clearly, though, recovery is the better alternative.

Often, a person who has recovered from a heart attack considers the

probability and potential consequences of having another and attempts to

mitigate that risk by changing exercise patterns, eating habits, and other

lifestyle choices.

Insurance risk An insurance company refers to the item, object, or person insures as “the

risk.” When we buy fire insurance, we make value judgments about how much

we are willing to pay to be compensated for a loss if our property is damaged

or destroyed by fire. When an insurance company sells us that policy, it is

making a value judgment about two aspects of probability:

the probability that a fire will occur

the probable extent of the loss that will result.

Probability, To determine a premium, an insurance company evaluates the probability of a

premiums, and loss occurring and the potential size of that loss. When it establishes the rate

profit for a fire insurance policy, a company takes into account many of the

property’s characteristics, including:

the type of structure

size

value

contents

activities that take place there

built-in fire protection systems

available fire department resources.

Insurers work those factors into a prediction that considers the loss history of

similar properties, the level of public fire protection and other influences, such

as local climate. The rate is ultimately based on the insurer’s loss experience

with similar risks and the probability and the potential scope of loss for the

insured property, over time. If predictions are not accurate for a specific

building, the insurer should still be profitable if its predictions are generally

accurate across a large number of insured risks.

6
Three Levels of Risk Management

Introduction In this section, we will examine the principles and practices of risk

management as they apply on three levels:

the community as a whole

the emergency response organization

emergency response operations.

The term risk management refers to any activity that involves the evaluation

or comparison of risks and the development of approaches that change the

probability or the consequences of a harmful action. Risk management

comprises the entire process of identification and evaluation of risks as well as

the identification, selection, and implementation of control measures that

might alter risk. Loss control is an element of risk management that is

discussed later in this chapter.

Those control measures, defined in the table, can be categorized as:

administrative

engineering

personnel protection.

Administrative

Engineering

Personal Protection

Guidelines, policies, and procedures

established to limit losses. Examples

include:

standard operating procedures

training requirements

safe work practices

regulations and standards

Engineered systems that remove or limit

hazards. Examples include:

apparatus design

mechanical ventilation

lock-out and tag-out of electrical hazards

Equipment, clothing and devices designed

to protect the worker. Examples include:

helmets

gloves

SCBA

tools

Make the task safe for the

worker

Make the task safe for the

worker

Make the worker safe from

the hazards

7
Risk Management in the Community

Introduction By having trained personnel and specialized equipment on hand, emergency

responders exemplify a community’s response to risk. In fact, the basic

mission of the fire, EMS, and rescue services is intimately related to the

control of risk throughout a community.

Fire control in Fire departments play a critical role in defending their communities against

the community fires and other situations that threaten lives and property.

Historical Note:

Public fire departments were organized primarily to defend communities against the risk of

conflagrations. Conflagrations grow from small fires that are not controlled in their early

stages and grow until they cannot be controlled. Before modem concepts of fire protection

were developed, conflagrations often devastated cities and towns.

Over the years, our increasing ability to limit the size of fires has almost, but not entirely,

eliminated the occurrence of urban conflagration. (The 1991 urban/wildland interface fire

that claimed twenty-five lives and destroyed more than 2700 structures in Oakland,

California, is evidence that conflagrations are still possible.)

Although most public fire departments now focus on the control of fires in

individual properties and the rescue of endangered occupants, the fire

suppression role of the fire department is still based on the need to protect the

community’s property and population. In that respect, the fire department is

part of the community’s fire risk management program. It exists to limit the

probable loss when a fire occurs.

Delivering fire A community expresses its assessment of its overall fire risk through the

control services resources it is willing to commit to its fire department. If the fire department

to the

community

is unable to perform its fire control mission, the community’s fire risk balance

could be compromised. The fire chief is responsible for:

managing the community’s fire risk

providing a set of services that are part of the risk management system (the

service delivery mission)

ensuring the department can perform its mission at all times.

Continued on next page

8
Risk Management in the Community, Continued

Risk In addition to fire control units, most of the other teams within fire

management- departments and other emergency response organizations also conduct

related missions activities directly related to community risk management.

Emergency medical services respond to urgent situations that are related to the

health and welfare of the community’s citizens. Emergency management

services protect the community from the effects of natural disasters. Rescue

teams safely remove citizens from dangerous predicaments, avoiding the risk

of injury or death that untrained, unprepared citizens might face if they tried to

perform that mission. Hazardous materials response teams protect the

population and the environment from the effects of uncontrolled releases of

hazardous materials, The common thread among the missions of all those

teams is the community’s need for protection from potentially harmful or

undesirable events.

Such teams play significant roles in reducing a community’s vulnerability to

one or more types of harm. Just the same, emergency response is typically

only one dimension of their total mission.

Risk Key activities that support risk management principles and practices include

management- fire prevention, code enforcement, public education, and other efforts that

related activities make citizens more aware of how to:

recognize potentially dangerous situations

prevent emergencies

respond effectively to an emergency.

Communities benefit from educational and motivational programs such as:

hazard recognition, avoidance, and elimination

standards that require automatic sprinkler systems and fire-resistive

construction

inspection and compliance enforcement.

Taken together, all these activities reduce a community’s vulnerability and are

an integral part of a community’s fire risk management system.

9
Organizational Risk Management

Introduction The responsibility of a manager to safeguard the assets of his or her

organization are just as applicable to an emergency response agency as to any

business or family. Although their mission is to manage community risk, fire

departments and other emergency service organizations must also be

concerned with risk to themselves. In several different ways, those risks can

keep the organization from successfully carrying out its mission. The fire

department is open to a variety of risks similar to those faced by every private

organization and enterprise.

There are interesting parallels between the two sectors. A risk manager in a

private enterprise tries to protect the assets of the enterprise and ensure that it

can stay in business. Similarly, a risk manager in a fire department tries to

protect public assets, including its personnel, facilities, and equipment--and

make sure the fire department can perform its mission.

Public and By the same token, the nature of the risks each organization faces and the

private risks--a impact of loss can be quite different. Just as a fire in a restaurant can put it out

comparison of business, a fire at a fire station can compromise the capacity of that fire

department to respond to fires. Many of the assets of the fire department are

just as essential to the ability to deliver emergency services as a kitchen is to a

restaurant’s ability to serve food. The critical difference--if a restaurant loses

business, its employees might be out of work, but the patrons can find

someplace else to eat. If a fire station burns down, the community as a whole

may be without adequate fire protection or emergency medical service.

Emergency Emergency response organizations are viewed as essential public services.

response as an Because that is so, emergency response managers should recognize that they

essential public

service

are responsible for ensuring that their organizations are always ready and able

to perform their missions, More than the average citizen or business manager,

emergency response managers must be aware of potential disruptions to

service. After all, they are expected to recognize and manage risk as part of

their everyday professional lives.

Continued on next page

10
Organizational Risk Management, Continued

A public trust The managers of public safety organizations are also custodians of public

funds and assets. They must restrict any undesirable outcome that costs

money, consumes public dollars, and reduces government’s capability to spend

those funds where they would do the most good.

For example, an agency could run up large bills replacing or repairing

damaged, lost, or stolen equipment and apparatus, It could incur high

expenses paying liability claims for vehicle accidents, paying medical bills for

injured members, legal expenses to defend against claims, and paying overtime

replacing them. In other words--the agency could be spending money to

compensate for circumstances that should have been avoided.

It is the manager’s responsibility to prevent such things from happening.

11
Operational Risk Management

Introduction This manual includes a section that deals specifically with the application of

risk management concepts to the operational practices of fire departments and

emergency response organizations. In that section, we address issues involved

in incorporating a “Risk Management Approach” within an organization’s

emergency activities The approach that is outlined--one that limits or reduces

the risk of personal injury or death--applies in particular to fire departments

and fire department members, but its underlying concepts apply to all types of

emergency response operations.

The goal: to Some risks are unavoidable and are accepted as part of the duty of a firefighter

reduce inherent or a member of a public emergency response system. When one’s mission is to

risk save the property and lives of people in danger, one must expect to encounter

danger. Emergency responders are recognized for their bravery because they

are willing to accepts risks the general public finds personally unacceptable.

Certainly, the nature of the activities of emergency responders exposes them to

a high level of inherent risk--risk that all too often results in line-of-duty deaths

and injuries.

Some risks are simply too great to take. Conditions or circumstances can exist

in which the proper response is not to take action--action that could certainly

place the lives of responders in danger. Training that prepares an emergency

responder to recognize and respect dangerous situations and to work safely in

a dangerous environment provides a considerable amount of counterbalance to

the risk inherent in the work itself The equipment that makes it possible to

survive and safely perform required actions also helps balance the risk.

Identification, Although we cannot always eliminate such danger from the work environment,

evaluation, and we can reduce the risk of injury or death if we:

control know the nature of the threat--Identification

determine the risk potential, based on signs and symptoms--Evaluation

incorporate risk management practices into our plan for conducting

operations-- Control.

Continued on next page

12
Operational Risk Management, Continued

New

applications of

accepted ideas

Operational

risk

management

involves a

higher level of

risk

The concepts of operational risk management have always been important

considerations for command officers and supervisors in fire departments and

emergency response organizations. Even so, the actual application of risk

management as a focal point of incident management is a relatively new

development.

A significantly higher level of risk management is involved in directing

emergency operations and in regulating the overall exposure of responders to

the risks of an incident. Emergency incident risk management expands the

standard approach to directing and conducting emergency operations by

incorporating risk evaluation and the assessment of optional approaches to the

problems at hand. Doing that serves as the basis for determining what levels

of risk are acceptable in different situations and guides incident commanders as

they make strategic decisions. To deliver emergency services with an

appropriate concern for the health and safety of the personnel who provide

those services, an incident manager or incident commander must balance the

approaches he or she takes.

1 3
Planning to Manage Risk

Introduction In 1987, the National Fire Protection Association (NFPA) adopted

NFPA 1500, Standard on Fire Department Occupational Safety and Health

Program. It was the first consensus standard to directly address many issues

that are related to the avoidance of injuries, fatalities, and occupational

illnesses emergency response personnel experience in the performance of their

duties. Considered radical by some at the time, the principles that form the

foundation of the standard have since been accepted and adopted widely

throughout the North American fire service.

NFPA 1500-- Revisions to. NFPA 1500 were adopted in 1992. The revised standard requires

1992: The Risk that a written plan--called a Risk Management Plan--be made part of a fire

Management

Plan

department’s official policies and procedures.

A Risk Management Plan establishes fundamental policy. The Plan serves as

documentation that risks have been identified and evaluated and that further, a

reasonable control plan has been implemented and followed. The components

of a Risk Management Plan required by NFPA 1500 are:

risk identification

risk evaluation

risk control techniques

program evaluation and review

The elements of a Risk Management Plan, as outlined in NFPA 1500, are

intended to apply to all aspects of a fire department’s operations and activities.

It is their application to emergency operations in particular, though, that makes

the Risk Management Plan a significant advancement in risk management.

Continued on next page

14
Planning to Manage Risk Continued

NFPA 1500 The following table summarizes the provisions of NFPA 1500 that include

Risk Management Plan requirements.

Paragraph

2-2.1

2-2.2

2-2.3

Requirement

The fire department shall adopt an official written risk

management plan that addresses all fire department policies

and Procedures.

The risk management plan shall cover administration,

facilities, training, vehicle operations, protective clothing

and equipment, operations at emergency incidents,

operations at non-emergency incidents, and other related

activities.

The risk management plan shall include at least the

following components:

Risk Identification: Potential problems

Risk Evaluation: Likelihood of occurrence of a given

problem and the severity of its consequences

Risk Control Techniques: Solutions for elimination or

mitigation of potential problems; implementation of the

best solution

Risk Management Monitoring: Evaluation of effectiveness

of risk control techniques.

Continued on next page

15
Planning to Manage Risk, Continued

NFPA 1500 The following table summarizes the provisions of NFPA 1500 Appendix that

Appendix include Risk Management Plan guidelines.

Paragraph

A2-2.3

Guidelines

Risk Identification: List potential problems for every aspect

of the operations of the fire department. The following

sources of information should be useful in the process:

a list of the risks to which members are or may be

exposed

records of accidents, illnesses and injuries, both

locally and nationally.

reports on inspections and surveys of facilities and

apparatus

Risk Evaluation: Evaluate each item listed in the risk

identification process, asking:

What is the potential frequency of occurrence?

What is the potential severity and expense of its

occurrence?

Consult:

safety audits and inspection reports

accident, illness, and injury statistics

applications of national data to local circumstances

professional judgment in evaluating risks unique to

the jurisdiction

Risk Control: Develop and implement strategies to:

eliminate or avoid the activity

reduce or control the risk

develop, adopt, and enforce safety programs and

standard operating procedures

provide training

conduct inspections

Risk Management Monitoring and Follow-up: Periodic

evaluations should be made to determine how effectively

the plan is working and identify modifications that

should be made.

16
Chapter Summary

Risk

management

concepts and

operational

practice

The application of risk management concepts to the operational practice of fire

departments is the primary focus of this manual. Throughout the manual, we

address specific challenges involved in incorporating a “Risk Management

Approach” into the delivery of fire department services. It is a goal of this

manual to assist departments and their leaders in their efforts to improve the

performance of their organizations and to reduce the risks their communities,

their organizations, and their individual members face virtually every day.

Key points Key concepts covered in this Chapter include:

Levels of risk depend on the interrelationship of three factors:

the probability that an undesired event might occur

a harmful or undesirable consequence

the severity of the harm that might result.

Individuals who provide emergency services accept a higher level of risk than

members of the general public--hopefully, we can learn to manage them.

Risk management is a dynamic system that must be managed, not a “worry of

the week” problem to be solved.

A significantly increased risk of injury or death is part of the environment in

which emergency responders are expected to perform their duties.

It is impossible to avoid many of the risks inherent in an emergency

responder’s work environment, but, through control measures, we take steps

to minimize those risks.

The risk of injury or death is reduced by control measures, including:

training, experience, protective clothing and equipment

implementation of appropriate strategies and tactics

avoidance of unnecessary risks

NFPA 1500, Standard on Fire Department Occupational Safety and Health

Program requires the establishment of a written Risk Management Plan.

Continued on next page

17
Chapter Summary, Continued

Key points (continued)

The application of risk management to emergency operations is intended to

recognize the inherent risks and assist an incident commander in implementing

appropriate plans and actions in dangerous situations. Development and

implementation of any community’s risk reduction efforts must address

engineering, education, and enforcement programs.

Fire departments must manage financial, liability, and safety risks within three

major categories:

risk to the community--Community risk

risk to the fire department organization--Organizational risk

risk during emergency operations--Operational risk.

18
Organizational Risk Management

1 9
2 0
Chapter Overview

Purpose The objectives of this Chapter are to:

define risk management and loss control

introduce the general principles of risk management and loss control as they

apply to organizations that deliver emergency services

present a five step risk management process that can be used by emergency

service providers

address legal responsibility as a component of risk management

address specific areas of concern relating to risk management for fire

departments and other emergency service providers.

In this Unit This Chapter includes the following topics:

Topic See Page...

Chapter Overview 21

Definitions and Concepts 22

Losses and Loss Control 27

Organizational Risk Management System 29

The Steps in the Process 33

Legal Responsibility 47

Specific Areas of Concern for the Emergency Service Manager 55

Chapter Summary 57

21
Definitions and Concepts

Risk The Oxford American Dictionary defines risk as:

1. The possibility of meeting danger or suffering harm or loss.

2. A person or thing insured or similarly representing a source of risk.

3. To expose to the chance of injury or loss, to accept the risk of.

NFPA 1500 defines risk this way:

“A risk is a measure of the probability and severity of adverse effects.” The

adverse effects result from an exposure to some type of hazard.l

The concept of risk includes two dimensions of probability--the probability

that an undesirable event will occur--and the probable magnitude or severity of

the undesirable consequences. “Risk” is used in several contexts to refer to

undesirable consequences that might occur in different situations. Those

consequences might include:

death

injury

property loss or damage

increased operating costs

payments for losses incurred by others

loss of the ability to provide service

inconvenience, and many other considerations.

Management Webster’s New World Dictionary defines management as:

“The act, art, or manner of managing or handling, controlling, directing”.

“Management” suggests an organized and directed approach that implements

evaluated techniques to control systems, events and people. Risk management

implements a “proactive” rather than a “reactive” approach to solving

problems or limiting risks. The term “risk management” refers to a systematic

effort to identify, evaluate and control risk(s) to reduce both the probability

that something might go wrong and the adverse effects (magnitude) if

something does go wrong.

Continued on next page

1

Reprinted with permission from NFPA 1500, Standard on Fire Department Occupational Health Program,

copyright © 1992, National Fire Protection Association. Quincy MA 02169. This reprinted material is not the

complete and official position of the National Fire Protection Association on the referenced subject, which is

represented only by the standard in its entirety.

22
Definitions and Concepts, Continued

Exposure Exposure is an important term related to risk management. Exposure is a

threat that some action or even non-action can lead to a loss of some kind.

Recognizing and identifying exposures is an essential step in any risk

management program.

Risk

management

Risk management incorporates a full range of measures that may be used to

limit, reduce or eliminate the probability that an undesirable outcome will

occur. It also includes all types of measures that can be used to limit, reduce

or eliminate the anticipated magnitude of the undesirable outcome, if it does

occur. Risk management measures may address the probability of the

occurrence, the probable magnitude of the outcome, or both.

Fire departments and other organizations that deliver emergency services are

involved in many situations that could result in undesirable outcomes,

including death or injury to members of the department while delivering

emergency services. Other undesirable outcomes include loss or damage to

the organization’s apparatus, equipment or facilities that would have to be

replaced or repaired. They would also include the death or injury of other

persons that could result from errors or omissions by the emergency service

providers, as well as damage to their property.

Managing organizational risk is not unique to fire departments. All

organizations must manage some types of risk. The nature of the activities

conducted by a fire department makes risk management a highly important and

challenging task. Some potential exposure areas and specific examples within

each of those areas are listed on Figure 1.

A fire

department’s

mission is risk

management

Managing risk for others is, in fact, the fire department’s mission. The

community is always at risk from an endless number of potential hazards or

sources that could cause harm. The mission of the fire department is to reduce

the probability of harm to the community that could result from different

harmful situations and circumstances. The fire department must manage its

internal (organizational) risk while it performs its mission of managing external

(community) risk. This manual addresses managing risk within fire

departments and other emergency service organizations.

Continued on next page

23
Definitions and Concepts, Continued

Supporting the Every fire department has the need to explicitly express its mission in the form

mission of a mission statement, That formal document can be the starting point for a

statement department’s risk management efforts and can form the base from which to

create a broad spectrum of risk management policies, processes, and

procedures to be implemented throughout every level of the entire

organization--top, middle, and bottom.

High risks Different activities that are performed by emergency service organizations

require special involve exposure to different kinds of risks. The primary mission of fire

attention departments is to reduce the probability that the community will be damaged

or destroyed by fire and the probability that deaths or injuries will result from

fires. The probability of fire occurrence is addressed through fire prevention

and public education activities, which are relatively low risk activities. Fire

suppression and rescue functions are conducted to limit the damage and other

negative consequences that result when a fire does occur and involves

significantly higher risk to the service providers.

Examples:

Emergency medical services reduce the risk of death or disability when

citizens are injured or suffer from serious illnesses,

Hazardous materials response teams address the risk that is created by

harmful substances that have escaped from their normal containment.

Confined space and technical rescue teams conduct high risk tasks that

require the highest level of risk management when responding to incidents

that other people or organizations are not prepared to manage.

Although each emergency service organization is associated with a dimension

of risk management at the community level, this manual is directed toward

management of internal risk--which includes all the things that can go wrong

when departments attempt to deliver the services that define their mission. It

also includes any undesirable outcomes that might result from non-emergency

activities and other functions the organization performs.

Continued on next page

24
Definitions and Concepts, Continued

Exposures: risk Figure 1 provides examples of key areas of potential exposure and associated

management

techniques

organizational risk management techniques.

Personnel

Failure to meet minimum performance

requirements

Establish minimum performances

Failure to properly train Establish and conduct performancebased training for all personnel

Failure to adequately equip

Training should conform to relevant

OSHA, NFPA, and other standards

Provide protective equipment that meets

NFPA standards.

Fire Inspection Practices

Failure to notify owners of hazards

Failure to pursue compliance

Require complete records of every

inspection

Consistently issue citations and seek

judicial intervention when hazards are

imminent

Administration

Level of service not defined

Incomplete records

Define level of service for all service

deliverables

Communication

Document and address all complaints

promptly (policy)

Failure to dispatch promptly

Failure to properly advise callers of Establish policy and procedure to

Ensure that specific dispatch policies are

in place and that performance is

monitored

potential delay address these issues

Figure 1: Exposures and Techniques

Continued on next page

25
Definitions and Concepts, Continued

Delivering

emergency

services

involves high

risk activities

Every person and every organization has to face a variety of risks in life.

Examples:

The risk of being involved in a traffic accident, or being injured in an accident.

The risk of your house being struck by lightning.

The risk of your being struck by lightning.

The risk of a floor collapse or the risk of being on the floor when it does

collapse.

Everyone also participates in some forms of personal and organizational risk

management, such as driving safely to avoid accidents and wearing seat belts

to limit injuries if an accident should occur. Fire departments and emergency

service organizations have a special need for risk management because:

they engage in high risk activities that expose them to elevated risk.

they are responsible for delivering critical emergency services to protect their

communities.

If we didn’t attempt to manage risk, we would be leaving our fate to chance.

There is a possibility we would soon be dead, injured, battered, broken-down

or incapable of protecting anything. The risk management process is a system

developed to limit both the probability that undesirable events will occur and

the magnitude of those consequences if they do occur. We will never be able

to eliminate all risks, but we can eliminate some, reduce many, and limit even

more.

Examples:

To reduce the probability of firefighters being injured, we develop and conduct

training programs. Driver training reduces the probability of vehicle accidents.

To reduce the magnitude of injury if a vehicle is involved in an accident, we

enforce a policy that requires the use of seat belts.

26
Losses and Loss Control

Loss control is a Loss control is a component of risk management, The objective of loss

component of control is to limit the consequences of risk. There are hundreds of potential

risk losses that are faced by fire departments, but essentially they fit into four major

management categories:

1. Personnel Losses. These losses include life loss, injury, and illness to

members of the department. People are important; they are our most

important asset and they must be protected.

2 . Property Losses. Fire department property includes vehicles, facilities and

equipment. Losses in this category could include; an apparatus that is

damaged or destroyed in an accident, a fire station that is damaged by a

fire, or a piece of equipment that is lost or stolen.

3. Down time Losses. These losses result when property is not available for

it’s intended use. An apparatus that is out of service as the result of an

accident is not available to respond. A fire station that is damaged by a fire

may not be able to house firefighters or apparatus.

4. Liability Losses. Liability is the obligation to compensate others for

losses and damages that are caused by our acts or omissions. The

frequency and magnitude of this type of loss for fire departments are

rapidly increasing. A person who sues the fire department for negligence

after being injured in an accident with a fire truck creates a significant

potential liability to the department.

Most losses can be related to some form of cost to the organization, Loss

reduction is intended to minimize these costs, which can be classified as direct

or indirect.

Continued on next page

27
Losses and Loss Control, Continued

Direct and

indirect losses

Life safety--that of the public and of our response team members--is always

the primary concern. The cost of loss can be high for individuals as well as

organizations.

Direct costs are usually easy to identify. The loss of a piece of equipment will

cost a certain number of dollars to replace. An apparatus involved in an

incident will cost “X” dollars to repair.

Indirect costs associated with these losses, such as the impact of not having

that piece of equipment available when it is needed might be difficult to

determine. There are many types of indirect costs that should be recognized.

For example, an injury to a firefighter often costs much more than the direct

costs associated with treating the injury. Direct costs would involve doctors’

bills and hospital expenses. Worker’s compensation insurance might pay for

that firefighter’s lost time and medical treatment, but higher claims could cause

the costs of insurance to increase. The injured firefighter’s position might

have to be filled using overtime. If the firefighter is permanently disabled, the

department might have to recruit and retrain a replacement. The firefighter’s

experience and knowledge might never be replaced. The department might

also have to pay for a doctor’s evaluation of the firefighter’s medical condition

and for a lawyer to process a disability pension.

28
Organizational Risk Management System

Introduction

NFPA 1500

mandates

planning to

manage

organizational

risk

No single

solution or

method

The fire department risk management program is a system of functions,

components, and activities designed to reduce the level of risk throughout the

organization, All department members are responsible for managing various

components of that system.

Section 2-3.1 of the National Fire Protection Association’s NFPA 1500,

Standard on Fire Department Occupational Safety and Health Program

states:

“The fire department shall adopt an official written departmental

occupational safety and health policy that identifies specific goals and safety

objectives for the prevention of accidents and occupational injuries, illnesses

and fatalities.”

NFPA 1500’s intent is to provide the framework for a safety and health

program for a fire department or any other organization that provides similar

services.

There is no single method or solution to manage risk. Numerous publications

provide a wide range of suggested methodologies for managing risk. The

Appendix references many of those publications. Determining how to manage

risk is a decision each department must make individually. The process must

be frequently reviewed and, where necessary, upgraded. Most importantly,

once a risk management process is instituted, it must be properly managed,

continuously evaluated, and updated at least annually.

Continued on next page

2 9
Organizational Risk Management System, Continued

The role of a In Emergency Incident Risk Management, A Safety & Health Perspective,

risk manager Murrey E. Loflin and Jonathan D. Kipp offer this profile of the Risk Manager:

“This individual will typically have oversight over the risk management

programs of several departments, emergency services among them. However,

many of the functions can be centralized, which will relieve the department’s

administrator from some of the risk management tasks. Most frequently, the

risk manager will handle relations with outside agencies such as insurance

companies and/or agents, and can be responsible for handling the insurance

needs of various departments. In addition, this individual is familiar with the

overall risk management process, and can serve as a valuable resource for

guidance and information.”2

Continued on next page

2

 Kipp, Jonathan D. and Loflin, Murrey E., Emergency Incident Risk Management. A Safety & Health Perspective,

1996.

3 0
Organizational Risk Management System, Continued

Goals and A risk management system is a dynamic process. To be effective, it should

objectives: the begin with the establishment of goals, followed by the establishment of

foundation of objectives to meet those goals. As in any system, the goals and objectives

the system should be:

clearly stated

understood

attainable

measurable.

Those who are expected to see that the goals are met should be involved in the

process.

Risk management should be looked upon as a continuous, on-going, standard

process for an emergency service organization. There will always be risks, and

there will always be room for improvement.

One of the fire department’s goals should be to minimize injuries. For

example, the objective might be established as:

“Limit on-the-job injuries to zero per year.”

To meet an objective, the department should establish specific plans or actions

that support its achievement. One action might be that all department

members participate in a training program designed to increase member

awareness of the causes of injuries. Another might be to ensure adequate

lighting is provided at incident scenes so members can identify and avoid safety

hazards.

Continued on next page

31
Organizational Risk Management System, Continued

Fundamental Any system for managing risk must provide for three fundamental steps:

steps: identification of risk

identification, evaluation of the probability and the potential magnitude of losses related to

evaluation, and those risks

control the establishment of appropriate control measures.

Agencies, organizations, and individuals have developed several different

models that can be used as a foundation for a fire department risk management

program. Most of the models use five to ten steps. The model presented in

this text uses five steps.

The essential steps of all of the models include the identification of risks and

the evaluation of the potential harm that can result. That is followed by the

identification, selection and implementation of control measures. The number

of steps depends on how these individual core steps are broken down.

No matter how many control measures are applied, it must be recognized that

losses will most likely occur and that control mechanisms for funding those

losses must also be provided.

32
The Steps in the Process

Five principal

risk

management

steps

The five steps illustrated below provide a solid foundation for developing a

risk management program.

Figure 2: Five Principal Steps of Risk Management

Continued on next page

33
The Steps in the Process, Continued

Step 1: This is the foundation of an integrated process for managing risks. Its purpose

Identifying risk is to identify the kinds of things that create risks to the fire department. A fire

exposure department’s exposure to risk stretches beyond emergency response and

training activities. Potential risks in all activities can be grouped in several

different ways. General areas of risk to consider include:

People: deaths, illnesses and injuries, health exposures.

Apparatus and vehicles: accidents, malicious acts, damage due to

mechanical failure, operator error.

Occupancies/Facilities: natural disasters, fires, malicious acts, failure to open

apparatus bay doors before driving out.

Equipment: theft, damage from use, damage from misuse, failure to close

doors before leaving.

Look to your own department first. Use incident, injury, accident and other

internal reports to identify local experience and trends.

Potential risks should also be identifiedthrough reading articles and reports

and analyzing data from other sources of information. Neighboring

departments that are “similar” might have experienced losses that can alert you

to specific potential losses. Comparing data with other organizations or

national averages could also identify problems that might not have been

recognized within the organization. A fire department that records one injury

per fire might consider that rate routine until it finds that surrounding fire

departments have less than one injury for every five fires.

Numerous professional and trade organizations can provide relevant risk

identification information: The International Association of Fire Fighters, the

International Association of Fire Chiefs, the National Fire Protection

Association, and the Risk and Insurance Management Society all provide

members with observations, considerations and recommendations related to

risk.

The Appendix provides a list of organizations and their addresses that can

provide valuable information.

Continued on next page

34
The Steps in the Process, Continued

Step 2: The evaluation of risk potential involves determining or estimating the

Evaluating risk likelihood that an event will occur and the consequences that will result if it

potential does. Probability is generally established by studying the frequency at which

incidents have occurred in the past. However, an undesirable event might not

have a local history. The fact that something has not happened to one

particular fire department in the past does not ensure that it will not happen in

the future. Similarly, the magnitude of a loss might be predictable from past

experiences, but it is important to remember that incidents with the most

severe consequences are usually the most rare.

Note.

If incidents with severe consequences occurred more often, we would be

compelled to prevent them. This is a simple illustration of the principles of

risk management.

The evaluation step should provide information to answer the following

questions:

1. What is our local experience?

2. What do we know about national experience?

3. What are the probabilities of different things happening?

4. What are the probable consequences if they do occur?

In evaluating risk potential, both the likelihood and loss potential need to be

addressed simultaneously.

In the book mentioned previously, Emergency Incident Risk Management, A

Safety & Health Perspective,3 Kipp and Loflin refer to using “frequency” and

“severity” as measures to evaluate risk potential. The text provides a

methodology and Sample Risk Management Plan that serve as effective tools

for integrating frequency and severity factors into a document with which to

put a department’s risks into priority.

Continued on next page

3Kipp, Jonathan D. and Loflin, Murrey E., Emergency Incident Risk Management, A Safety & Health Perspective,

1996.

35
The Steps in the Process, Continued

Step 2: Evaluating risk potential (continued)

Frequency is an estimate of how often a loss has occurred--or is likely to

occur--as a result of any of the risks determined during the identification step.

Severity, which constitutes the second half of the evaluation phase, estimates

the potential losses to the organization posed by the identified risk.

High Frequency

Low Severity

Severity or Magnitude

Low Frequency

Low Severity

Low Frequency

High Severity

Figure 3: Establishing Priorities for Risk Management Actions

Continued on next page

36
The Steps in the Process, Continued

Step 3:

Ranking and

prioritizing

risks

After considering the probabilities of occurrence and the probable outcomes,

the next step is to prioritize the risks and decide on the areas that need to be

addressed as priorities.

Generally, risks with the most severe potential outcomes are considered ahead

of risks with relatively minor outcomes. Those that are more likely to occur

are prioritized ahead of those that are less likely to occur. Doing that requires

a considerable amount of judgment and a thorough analysis of the practicality

of addressing certain types of risks.

Most organizations will be able to identify a fairly long list of risks that deserve

attention, They should be able to address several of them simultaneously or in

fairly rapid succession--including some that are relatively easy and inexpensive

and some that might require a major effort over a lengthy period of time. The

compilation of a prioritized list of areas needing attention is an important step

in managing risk.

Example:

The application of a band of reflective tape to the front, rear and sides of all

emergency vehicles to increase their visibility can be accomplished quickly and

inexpensively. On the other hand, the replacement or modification of existing

apparatus to provide fully enclosed seating areas for all crew members might

take several years and involve a considerable expense. Enforcing a policy that

requires all firefighters to remain seated with their seat belts fastened while

vehicles are in motion should not involve any expense or take more than a few

hours to implement.

Continued on next page

3 7
The Steps in the Process, Continued

Step 4:

Determination

and

implementation

of control

actions

Several factors must be considered in determining control actions. Those

factors are often interrelated; they will frequently make it difficult to act on

one without having an impact on another. Before implementing control

measures, the cost and associated benefits will have to be considered. The

benefits will frequently deal with improved safety and health to personnel--

even so, if they cost real dollars, someone will have to justify the cost. In

determining which control actions to implement, the following factors should

be considered:

predicted effect

time required

time to results

effort required

associated costs

insurance costs

expense funding

cost/benefit

mandated.

Continued on next page

38
The Steps in the Process, Continued

Factors to be

considered

Predicted Effect: What savings will likely result? This factor will require

the risk manager to estimate the predicted effect of control actions that

would be implemented. When considered in conjunction with the cost to

implement the control, it will determine the cost/benefit factor.

Time Required: How long will it take to implement the control measures?

Can the resources needed to control the risk be used more efficiently and

effectively during that time? Will other efforts be adversely affected?

Time to Results: This is not the same as time required. Long term results

are a very difficult “sell” in today’s environment. The community and those

responsible for allocating its tax dollars might not be patient. If the effort is

critical to the department’s risk management goals and results will not be

seen for an extended time, effective communication of the plan and its

benefits to the community, its leaders, and its elected officials, is essential.

Effort Required: How much is required and can that effort be more

effectively applied to other programs? Is there more than one solution? Will

one solution require less effort than others? If you’re looking for more

efficient ways to address a risk, involve the people it affects the most,

Associated Costs: How much will it cost--directly and indirectly? How do

you arrive at and document those costs? Cost alone will often determine if

a proposed control measure is implemented or ignored. It will always affect

where that measure appears on a priority list. Although it is a component of

the cost/benefit factor, it will also be viewed separately. As discussed

earlier, all factors need to be considered collectively. The determination to

implement control measures directly related to the safety or health of

workers must not be made based solely on cost. The risk manager,

however, must be able to properly establish, and then communicate both

direct and indirect costs.

Continued on next page

39
The Steps in the Process, Continued

Factors to be considered (continued)

Insurance Costs: Will initiating the control measure reduce the related

insurance cost? Will to implement it increase that cost? If so, is the cost

reduction or cost increase worth instituting or not instituting the measure?

Costs for almost all insurance programs are determined by viewing loss

experiences generically and also on a customer specific basis. Costs are

established by estimating anticipated losses. Departments with high accident

or injury rates will pay more. Those with less will pay less.

Funding Other Funding Mechanisms: Risk management requires a balance of other risk

control and risk financing measures. The measures or methods used should

support each other. They are essential to any risk management strategy.

Effective risk control efforts will limit the costs of risk financing while

financing will limit address costs when control measures fail. There are two

principal types of risk financing:

risk retention

risk transfer.

Risk retention relies on internal funds. Risk transfer, on the other hand, looks

outside the organization for money needed to pay for losses

Risk retention techniques include:

budgeting or expensing to pay for relatively inexpensive or small losses such

as minor damage to apparatus, equipment or facilities

establishing a reserve fund to address irregular losses

borrowing funds to pay for unexpected losses. In this case, the borrower has

an obligation to pay a specific amount for a given loss. The risk is therefore

retained and not transferred.

Risk transfer techniques include:

purchasing commercial insurance and contractually transferring the risk to

another entity.

insurance that transfers the financial burden for future risks to the insurer in

exchange for a fee

contractual transfers that involve another entity’s assuming responsibility for

the financial burden of a loss. This option is frequently referred to as an

indemnity clause.

Continued on next page

40
The Steps in the Process, Continued

Cost/benefit

analysis

Ranking and prioritizing risks is an integrated process that requires that the

frequency and severity of a risk be quantified and ranked in some way. Each

of the ranked risks should then be prioritized by evaluating a series of risk

factors. The risk manager will seldom have all the data required to make a

quantitative assessment and will have to rely on knowledge, experience and

judgment to make required assumptions.

The risk manager will need to consider all the factors above in developing a

cost/benefit analysis. Although the benefits will frequently deal with improved

safety and health of personnel, if they cost real dollars, someone will have to

prepare a “balance sheet” (cost/benefit analysis). The sheet will require real

and valid numbers. Someone will have to justify the numbers and prove the

benefits are worth the investment. Figure 4 presents a sample “balance sheet”

for conducting a cost/benefit analysis. Many of the publications referenced in

the Appendix also provide recommendations or models for conducting a

cost/benefit analysis. Figure 4 is intended to be a tool, and like any other tool,

can be modified. Use a tool that meets your needs. No matter how you

conduct a cost/benefit analysis, the value of your findings will depend upon the

quality of your data and your assumptions.

Continued on next page

41
The Steps in the Process, Continued

Cost/benefit analysis (continued)

ESTIMATED SAVINGS AFTER CONTROL COSTS:

Total Estimated Savings

Total Cost of Control

$7160

$ 325

I. CURRENT STATE: (Briefly describe assumptions and provide facts)

Example: There were 25 hand injuries that resulted from packing hose during the previous year.

Direct Costs: (describe assumptions or provide costs)

1. Hospital/Medical Costs - 25 X $250 = $6250

TOTAL DIRECT COSTS $6250

Indirect Costs: (describe assumptions or provide costs)

1. Additional Staffing to Fill Positions - 15 shifts x 180 per shift = $2700

TOTAL INDIRECT COST $2700

TOTAL CURRENT STATE COSTS $8950

II. FUTURE STATE: (describe assumptions or provide facts)

Example: Revised procedure and training will prevent 80% of all identified injuries

Direct Costs: (describe assumptions)

1. Hospital and Medical Costs - 5 x $250 = $1250

TOTAL DIRECT COSTS $1250

Indirect Costs: (describe assumptions)

1. Additional Staffing to Fill Positions - 3 x $180 = $540

TOTAL INDIRECT COSTS $ 540

TOTAL FUTURE STATE COSTS $1790

III. TOTAL ESTIMATED SAVINGS PRIOR TO CONTROL EXPENDITURES:

Total Cost Current State = $8950

Total Cost Future State = $1790

TOTAL ESTIMATED SAVINGS PRIOR TO CONTROL EXPENDITURES

IV. COSTS ASSOCIATED WITH CONTROL MEASURE (briefly describe)

Example: Revised operational procedure and shift training will reduce injuries by 80%.

Direct Costs: (list the direct costs associated with the proposed control measure)

1. Cost of Video = $325

TOTAL DIRECT COSTS $ 325

Indirect Costs: (list the direct costs associated with the proposed control measure)

1. Training - Shift Requirement - No Cost

TOTAL INDIRECT COSTS $ 0

TOTAL COSTS ASSOCIATED WITH CONTROL MEASURE: $ 325

V. TOTAL TOTAL ESTIMATED SAVINGS AFTER CONTROL COSTS $6835

Figure 4: Example of a Cost/Benefit Analysis Balance Sheet

Continued on next page

42
The Steps in the Process, Continued

Options and

categories of

control

measures

The means by which potential risks are addressed are referred to as risk

control options. Methods that are used to address the risks are categorized

into three risk control categories. The specific steps that are taken to control

the risks are referred to as risk control measures. In almost all cases, the

options, categories and specific methods selected are intended to limit the risk

potential.

There are three risk control options:

risk avoidance

risk reduction

risk transfer.

Risk control

options

Risk Avoidance:

Total risk avoidance is a sure route to reducing risks. It is usually the safest

solution but often the least realistic. Many times, it is no option at all. We

can’t stop going to fires and all fires present some risks. If an action, activity,

or condition poses a risk to the operation, consider whether or not it can be

avoided or eliminated entirely. Although we are required to respond to a

structural fire, we can choose not to enter the structure.

Risk Reduction:

Risk can often be minimized by planning, training, testing, maintenance of

standards, and enforcement of codes. The fundamental purpose of standard

operating procedures, planning, and training is to reduce the risk to personnel.

Proper selection, design, and maintenance of facilities and vehicles is intended

to reduce various forms of risk.

Continued on next page

4 3
The Steps in the Process, Continued

Risk control options (continued)

Risk Transfer:

It may be feasible to transfer our risks to other parties by purchasing insurance

or contracting out to other organizations to perform certain activities. Good

risk management practices should reduce insurance costs. In addition to

assuming a portion of the risk, many insurance companies provide valuable

assistance in identifying and reducing risks. By doing so, they intend to reduce

a department’s losses and the probability of claims.

Risk control

categories

When it is not possible to eliminate risks, they should be limited or minimized.

For example, although we can’t eliminate the need for firefighters to respond

to emergencies, we can minimize the risk they face while responding to and

operating at an incident.

Risks may be systematically eliminated or minimized by implementing control

measures. Control measures fit into three general areas which we call Risk

Control Categories. The general categories of control are:

administrative

engineering

personal protection.

Administrative controls, such as standard operating procedures, and

engineering controls, such as apparatus specifications, are directed toward

making the workplace safe for the firefighter. In contrast, personal protection

controls such as self contained breathing apparatus are focused on making the

firefighter safe for the workplace. When establishing a risk control program,

fire departments should use administrative and engineering controls to limit

exposure to risk before relying on personal protection control measures.

Continued on next page

4 4
The Steps in the Process, Continued

Three

categories of

risk control

Administrative Controls:

Administrative controls provide the foundation for a department’s risk control

program. They include:

emergency vehicle operation procedures and regulations

training requirements

enforcement of fire codes to eliminate hazards

pre-fire planning to identify hazards

accountability systems.

Consistent application and enforcement of administrative controls constitute an

essential administrative control. If you have a policy and don’t enforce it or a

required procedure and don’t require it, in reality you have neither a policy nor

a procedure.

Engineering Controls:

Engineering controls are intended to remove specific hazards from the

workplace. Fire departments use engineering controls to improve safety and

health in fire stations and on apparatus by designing improved components or

entire systems. Improving ventilation at a fire station to remove diesel exhaust

or relocating the siren on an apparatus to reduce noise in the cab, providing

foam for flammable liquid fires and lighting for night operations are examples

of engineering controls.

Personal Protection Controls:

Personal protection controls do not remove hazards from the workplace.

They are designed to provide an element of personal safety. Personal

protective clothing, self-contained breathing apparatus, PASS devices, and life

safety rope are examples of personal protection controls. When operating at

emergency incidents, firefighters are required to rely heavily on personal

protection controls.

Continued on next page

45
The Steps in the Process, Continued

Step 5:

Evaluate and

revise actions

and techniques

Risk

management is

a system, not a

solution

Risk management should be a continual process with established mechanisms

to monitor performance and evaluate progress, Risk management efforts

should yield positive results in terms of better outcomes, The change may be

sudden and obvious or it may take a long time to yield measurable results.

The evaluation stage should parallel the steps that were taken to identify risks

and seek confirmation that the process is working. It should focus on the

areas that were identified as requiring attention and provide follow-up to

determine if they actually result in the desired change in outcomes. In many

cases, this will include an improved focus on the problem areas, since a risk

management action plan can include a component to more closely monitor the

specific area of concern.

For example, if hand injuries were identified as a problem and new gloves

were issued as the solution, the frequency and severity of hand injuries should

be monitored to confirm that the desired impact is being achieved. Doing that

might include a more detailed process for categorizing hand injuries and

considering the effectiveness of the new gloves.

All actions should be evaluated routinely to ensure that they are achieving the

desired outcomes and are not creating other unanticipated problems. Risk

management is a process of balancing different factors. The balance can often

be influenced by any number of changing circumstances.

Kipp and Loflin define the risk management process as: “...A system for

treating pure risk; identification analysis of exposures, selection of appropriate

risk management techniques to handle exposures, implementation of chosen

techniques and monitoring of results.”4

The risk management process is intended to minimize losses. It is a dynamic

system and not a fixed solution. Most losses are avoidable costs, and no

department can afford to pay for avoidable costs. The results of

administrative, engineering and personal protection control systems will

determine the success of your risk management program.

4Kipp, Jonathan D. and Loflin, Murrey E., Emergency Incident Risk management. A Safety & Health Perspective,

1996.

46
Legal Responsibility

Introduction The risk that an individual or organization could be held legally responsible for

an undesirable outcome is one important consideration in risk management.

Organizations are generally considered to be legally responsible for any harm

that results from their acts or omissions, and are expected to conduct their

activities in a responsible manner that does not expose individuals or the

community to an unreasonable level of risk. That basic principle could apply

to a wide variety of “injuries”, including:

physical injury or fatality

damage to public or private property

damage to the environment

negative economic impacts on an individual or corporation

damage to an individual’s reputation.

Statutory

immunity

Because of the nature of the mission, many fire departments have limited

statutory immunity under state laws. Statutory immunity protects them from.

being held responsible for failure to provide adequate protection to save lives

or property from fires. That assumes the fire department did not cause the fire

and did not take any unreasonable actions that resulted in a greater loss.

Most legal decisions have found that the duty of a fire department is to protect

the community at large from fires, which does not include a specific duty to

protect individual citizens or their property. That gives the fire chief or the

incident commander a large measure of authority to make decisions concerning

whether it is reasonable or unreasonable to attempt to save property--based on

the risks to fire fighters that would be involved in attempting to save it.

This type of statutory immunity is usually limited to the delivery of specific

governmental services and may not apply to incident types other than fires.

Depending on the state and location, contracted companies and independent

volunteer organizations might not have the same statutory immunity. The

rules are different in different states and for different services, particularly for

emergency medical services--who have a direct service delivery relationship

with their patients.

Continued on next page

47
Legal Responsibility, Continued

Responsibility The fire department, like other public or private organizations, also has legal

to provide a responsibilities to manage the level of risk to which its members and

safe and healthy

workplace

employees are exposed in the performance of their activities. These duties are

defined by occupational safety and health laws and regulations as an

employer’s responsibility to provide a reasonably safe and healthy work

environment for its employees.

Virtually every human activity involves some degree of risk, and every

occupation involves at least some potential for injury, illness, or even death.

In most work relationships, the employer is considered to have almost

unlimited responsibility to manage the level of risk. There are few occupations

today where the willingness to accept a high risk of injury or death is

considered to be an important qualification.

Because they cannot be held responsible for hazards that might be present

where their work must be performed, fire departments and other emergency

response agencies have a relationship to occupational risk different from any

other type of organization. The nature of the work requires emergency

responders to accept situations as they are found and to deal with whatever

unplanned and uncontrolled event might ensue.

Although the risks involved in a specific situation might be beyond the ability

of the responding agency to predict or control, the nature of the risks is usually

predictable. Many risks are avoidable. Under those circumstances, fire

departments must be prepared to work as safely as is reasonably possible.

Figure 5 summarizes some key factors about the fire department’s work

environment that must be considered. It is important to note that these factors

apply only to the emergency response environment. The fire department has

the same responsibility as any other organization for the safety of its members

when they are working at a facility that is normally under the control of the

department.

Continued on next page

4 8
Legal Responsibility, Continued

Responsibility to provide a safe and healthy workplace (continued)

A fire department has extremely limited, if any, control over the

emergency location until it is called to respond to an emergency.

The work environment is not designed with the expectation

that the fire department might have to respond to work.

The nature of the work is dealing with situations that are too

dangerous for anyone else to handle.

The urgency of the situation usually does not allow a fire

department to the correct hazards that are present before

they take action.

Figure 5: Factors That Affect a Safe and Healthy Workplace

Continued on next page

49
Legal Responsibility, Continued

Acceptance of

risk

Fire fighters and other emergency responders knowingly accept the increased

risk of accidents, injuries, and potential death that is inherent in their work.

They willingly operate in an elevated risk environment. In most states, legal

precedents protect a property owner against negligence suits brought by

firefighters for injury or death resulting from an incident on their property.

What is the rationale behind such precedents? It is assumed that the firefighter

was:

aware of the risks involved in the activity

knowingly accepted them.

That principle has been challenged in cases in which the evidence indicates the

occupant or property owner was doing something that posed an unreasonable

risk to the responders. The property owner’s protection might be

compromised if hazards have been knowingly concealed or if the owner has

failed to correct fire code violations.

The requirement in NFPA 1500 to incorporate risk management in the process

of conducting emergency operations can be interpreted as increasing the duty

of fire officers to be responsible for the health and safety of the personnel they

command and supervise. That responsibility is different in some respects from

the duty to provide protection to the community.

Continued on next page

50
Legal Responsibility, Continued

An incident

commander

must have

responsibility

WITH

authority

Because the primary responsibility of a fire department is to protect the

community from fires, state and local laws usually provide a fire chief virtually

unlimited power to control and determine the fate of private property that is

burning or threatened by fire. An incident commander can “write off’ a

burning building by making the decision that the property cannot be saved

without excessive risk to the firefighters. In an extreme situation, the decision

could be to discontinue rescue operations because the slim possibility of a

successful rescue does not justify the risk to rescuers. The laws provide for

such discretionary power because it would be virtually impossible to conduct

emergency operations under the threat of being legally challenged over every

discretionary decision.

A fire chief must have the authority to make discretionary decisions for the

overall good and public safety of the community. In the absence of gross

negligence, the law provides a wide margin of protection for fire departments

and incident commanders.

Protection from It is within the legal rights of virtually anyone to file a suit against any

liability individual or organization for anything bad that happens to them There are no

guarantees that a fire department or fire chief will not be sued. The immunity

principles make it easier to defend against such suits and often to have them

dismissed as groundless. Still, it should not comes as a surprise to any public

official to become a defendant in a legal action, NFPA 1500 establishes a set

of risk management principles that could be cited to justify a decision not to

expose firefighters to excessive risks.

Occupational

safety and

health

regulations

OSHA (the Occupational Safety and Health Administration of United States

Department of Labor) enforces federal standards that apply to private sector

workers and employees of the Federal Government. The primary regulations

that apply to fire departments are OSHA’s 1910.120 (Hazardous Materials),

1910.134 (Respiratory Protection), 1910.154, 155, and 156 (Fire Brigades),

1910.1030 (Bloodborne Pathogens), and 1910.1200 (Hazard Communication).

Hazardous materials regulations are also enforced by the Environmental

Protection Agency where OSHA does not have jurisdiction. In addition, every

state has a regulatory structure to provide for the safety and health of workers.

Continued on next page

51
Legal Responsibility, Continued

“OSHA Plan

States”

Federal

regulations

establish

minimum

requirements

Other states

A regulatory

framework

Approximately twenty five states and territories (known as “OSHA Plan

States”) have agreements with the Department of Labor to enforce federal

standards through State agencies. Even though the Department of Labor does

not have jurisdiction over state and local government agencies, designated

state agencies in the “OSHA Plan States” are required to enforce federal

regulations on public agencies.

OSHA regulations establish a minimum standard. Individual “OSHA Plan

States’! may adopt equivalent or more stringent regulations. Those states also

determine if they will enforce regulations for volunteer fire departments and

other emergency response organizations, or if they will apply them to paid

workers only. Increasingly, the trend is to enforce the same regulations on

volunteer organizations and fully-paid departments.

OSHA itself enforces federal regulations in the remaining states, States that

do not have agreements to enforce the federal regulations generally adopt their

own regulations and determine how to apply them. For example, in some

states, the regulation of fire departments is assigned--not to an occupational

safety and health agency--but to the state fire marshal or a state agency

responsible for fire protection regulations.

Policies and enforcement programs differ significantly from state to state, so it

is important that each fire department and emergency response agency become

familiar with specific regulations that apply and the state agency that has the

authority to enforce them.

OSHA regulations and other federal and state regulations that apply to worker

health and safety do not specifically address operational risk management.

However, they do establish a regulatory framework that is intended to

establish a safe working environment. In most cases, the regulatory language

does not address the issue of an inherently dangerous occupation, but does

hold an employer responsible for recognizing hazards and taking appropriate

action to eliminate or minimize the risk of harm to the employees.

Continued on next page

52
Legal Responsibility, Continued

Consensus

standards

Where there is no specific regulation, most regulatory agencies have the ability

to refer to a consensus standard that addresses a specific issue. An agency

may also refer to an established consensus standard that establishes a

reasonable standard of care if it is more specifically applicable to a subject or

situation than the regulation that is in force.

In this manner, NFPA 1500 establishes a basic foundation for a risk

management approach to emergency operations. A fire department that

adopted and conscientiously followed the requirements of NFPA 1500 would

be in a very good position to show that is approaching risk management

proactively and responsibly. The same basic concept applies to all of the

provisions of NEPA 1500. A fire department that adopts and follows the

requirements of NFPA 1500 will meet or exceed the requirements enforced by

most regulatory agencies.

It is very difficult to determine if a fire department has an effective approach to

operational risk management without examining its application to specific

situations. A regulatory agency might examine a department’s standard

operating procedures and training programs to see what is documented, but it

is difficult to judge from the written procedures if a risk management approach

is routinely applied and if its application is reasonable.

Actions taken at a particular incident might be reviewed by a regulatory

agency to determine if appropriate procedures were followed.

Example:

An aerial ladder collapses at a fire, causing serious injury to a firefighter. Was

the ladder tested by a qualified individual or company within the previous

year? Was it regularly inspected for defects? Was the operator properly

trained?

Example:

A firefighter becomes lost in a burning building, runs out of air, and dies. Was

his or her SCBA properly maintained and tested? Was the air quality checked?

Was the firefighter wearing a PASS? Did they use a buddy system? Was

accountability used? Was there an appropriate incident command system in

place?

Continued on next page

53
Legal Responsibility, Continued

Consensus standards (continued)

Example:

A fire in a chemical facility results in a major ecological incident when water

runoff carries contaminants into a protected wildlife refuge. Did the fire

department take appropriate action to control or prevent the runoff? Did the

effort to control and extinguish the fire create a greater problem than letting it

burn? Is the fire department or the owner of the facility responsible?

In such cases, it is likely that the risk management approach defined in

NFPA 1500 would be used as a yardstick to determine if appropriate judgment

was used. There have been relatively few cases in which a fire department has

been fined or formal warnings have been issued for failure to comply with

occupational safety and health regulations at particular incidents--although

substantial fines have been assessed in some of those cases.5 There are no

known cases in which a fire department has been fined specifically for failure

to exercise appropriate risk management.

Documentation Because operational risk management requires a large measure of subjective

is essential judgment, its performance can be most easily evaluated after an incident

occurs. Risk management practices are most likely to be reviewed in two sets

of circumstances:

if a regulatory investigation is prompted by an accident that has resulted in a

death or injury

if a complaint is filed by a member of the department.

Continued on next page

5

Enforcement actions against fire departments are generally initiated by state occupational safety and health

authorities, which have jurisdiction over local government agencies.

5 4
Legal Responsibility, Continued

Documentation is essential (continued)

A fire department should be able to demonstrate that its individual officers and

members:

are competent and well trained in the duties they are expected to perform

are familiar with the regulations and current standards that apply to those

duties

follow established standard operating procedures and guidelines that are

consistent with the regulations and standards.

The department should also be able to show that it applies a consistent

approach to risk management to every incident.

55
Specific Areas of Concern for the Emergency Service Risk

Manager

Introduction The responsibility for managing risk in an organization that exists to provide

emergency public safety services is extremely challenging. On one side of the

equation, it can be easy to categorize many risks as inherent, and to let the

objective--saving lives and property--dominate the mission. On the other side

of the equation, an approach that is too conservative could render the service

ineffective.

In some situations, poor risk management judgment can create even greater

risks. For example, a fire department that arrives too late will be unsuccessful

at saving lives or limiting property losses, but a fire department that drives too

fast in order to arrive quickly may cause as many deaths as it prevents.

The only reasonable approach is to embrace a professional, responsible, and

systematic approach to managing risk and apply it unwaveringly to every

aspect and activity of the organization.

Balancing risks The balancing of risk factors is most critical at the scene of an emergency

at the scene of incident where situational judgment must be exercised by individuals at

an incident different levels within the organization--from the incident commander down to

the company officer and the individual firefighter who must decide what to do

in the face of a critical situation.

Continued on next page

56
Specific Areas of Concern for the Emergency Service Risk

Manager, Continued

Why risk has to

be managed

even during

non-emergency

times

Many risk factors can be managed in non-emergency times to regulate the

level of risk in operational situations.

Examples:

A ladder that is too expensive to test or repair becomes a major liability if it

collapses when it is being used at a fire. Self-contained breathing apparatus

that has not been thoroughly inspected, tested, and calibrated for over a year

might be “good enough” today, but it might not be good enough tomorrow if a

medical examiner determines inadequately maintained breathing apparatus

caused a firefighter’s death.

A poorly trained firefighter might be able to survive dozens of easy situations,

yet be unprepared for the first life-threatening emergency he or she faces. A

standard operating procedure that is routinely ignored because it is

inconvenient for the majority of situations could also be ignored in a situation

in which it is critically important. Knowing a building has a wood truss roof

might not seem important unless the attic is on fire.

57
Chapter Summary

Key points Most persons responsible for risk management in emergency response

organizations are not professional risk managers.

Just because something has not happened to one particular fire department in

the past does not ensure that it will not happen in the future. The magnitude

of a loss could be predictable from past experiences, but by the same token,

incidents with the most severe consequences are usually the most rare.

Many departments are--to a certain degree--effectively dealing with risk

without formal risk management programs.

Examples:

Most departments require firefighters to be trained to a certain level and to

wear full protective clothing when responding to a fire, Equipment is

inspected and maintained on a scheduled basis and various certifications are

required for specified responsibilities.

Such practices are intended to reduce risk. The risk management process

incorporates and expands those practices and provides a systematic approach

to safety and loss control. The risk management process is intended to

provide a comprehensive and detailed system for examining practical and cost

effective ways of addressing potential losses.

5 8
Operational Risk Management
60
Chapter Overview

Purpose The purpose of this Chapter is to provide practical information on how to

meet applicable national firefighter health and safety standards such as

NFPA 1500, Standard on Fire Department Occupational Health and Safety

Program, especially as it relates to risk management planning during

emergency operations.

The objectives of this Chapter are to:

explain the application of risk management to emergency operations

provide guidance on appropriate practices and judgmental factors that must

be considered in conducting emergency incidents

recommend ways to develop and improve operational risk management

skills.

In this Chapter This Chapter includes the following topics:

Topic See Page...

Chapter Overview 61

Risk Management and Emergency Response 62

Managing Risk in Emergency Incidents 68

Application of Risk Management Policies 79

Conducting Operations Safely 88

Preparation for Incident Command 101

Chapter Summary 115

61
Risk Management and Emergency Response

Background Operational risk management refers primarily to the risk of death or injury to

firefighters and other emergency responders that could result from the

performance of their duties. In a broader sense, it applies to other types of

accidents and undesirable events that could occur during emergency

operations.

Emergency responders knowingly subject themselves to elevated levels of risk

in the performance of their duties. Some of those risks are unpredictable and

unavoidable. On the other hand, many are well known and can be effectively

limited or avoided through the application of operational risk management

practices.

Acceptance of

risk

The acceptance of risk by emergency responders is intimately related to the

reasons fire departments and other emergency organizations exist. Firefighters

and emergency responders perform essential functions too dangerous for

ordinary citizens who are neither properly trained nor adequately equipped, or

who might not be physically able to perform such functions. Emergency

responders place themselves between the public and a variety of dangers to

protect the lives of others. They accept the increased risk to their own lives

that is often involved in protecting property.

Risk is an inherent component of the work emergency responders perform.

Their ability to work in an elevated risk environment sets emergency

responders apart from the general population. In order to survive, emergency

responders must effectively manage their exposure to risk by recognizing

danger, considering and weighing alternatives, and balancing anticipated

benefits with potential consequences. In some cases, doing that leads to the

conclusion that a given situation simply does not justify the risk involved in

taking action.

Continued on next page

62
Risk Management and Emergency Response, Continued

Risk

management

exists

throughout an

organization--

TOP

MIDDLE

BOTTOM

Risk management occurs at every level of an organization in an emergency

operation. It must begin at the top--where the incident commander must

determine the appropriate strategy for the incident--and extends down to

company officers who must evaluate conditions that define the risk exposure

for small groups of workers before they initiate and as they perform their

assigned functions. It extends still further throughout the entire

organization--top-middle-bottom--down to the individual firefighter or

emergency responder who must use the same type ofjudgment to decide on

personal actions in many situations.

Bravery in the

face of risk

Firefighters’ reputations are frequently associated with courage and bravery,

That perception often suggests that firefighters are willing to accept any risk to

their personal safety to perform their duties. Blind acceptance of risk used to

be virtually unlimited and unquestioned in the fire service. It was not unusual

as recently as twenty years ago for firefighters to be exposed to very high

levels of risk, with very little concern for their personal safety. Firefighters

were expected to follow any order without question and to accept any risk to

accomplish the mission. The most respected firefighters were often those with

the most obvious disregard for their own safety; those who demonstrated the

attitude that the fire must be defeated “at any cost.”

Today, we are moving toward a different perception of the relationship

between bravery and risk. Without question, we still respect, value, and honor

bravery and courage--particularly when a situation involves saving lives.

Even so, a contemporary sense of values requires a very different assessment

of appropriate and inappropriate risks. In many cases, that calls for

limiting the exposure of personnel to risks that they might be willing to

accept for themselves. A fire department’s definition of acceptable risk might

be more conservative than the level of risk an individual firefighter might

willingly accept. In the current value system, higher level officers are often

more responsible for limiting risk exposure than for demanding courage from

their forces.

Continued on next page

63
Risk Management and Emergency Response, Continued

Bravery in the face of risk (continued)

There are times when only a rescuer’s willingness to risk life and limb can save

a life. Bravery is still a respected and valued quality for emergency

responders. Medals of valor are given to individuals who are willing to risk

their own lives to save a total stranger. The general public admires the

heroism of firefighters and emergency responders, but no one expects them to

risk their lives where there are no lives to be saved.

Today’s risk

versus

protection

Today’s emergency responders have advanced clothing and equipment to

protect them, much more capable apparatus and equipment to work with and

much better training than previous generations. Even so, they must also face

some situations that are much more complicated. Their ability to perform

safely and effectively in high risk environments is highly dependent on their

ability to recognize the specific dangers that apply to each situation and to

work within the limitations of their protective clothing, protective equipment,

training, and incident management system (supervision, coordination, and

standard operating procedures).

Continued on next page

6 4
Risk Management and Emergency Response, Continued

What is

expected

The citizens and taxpayers who depend on fire departments and emergency

service providers for protection have varying perceptions and expectations

about the delivery of those services, Because of their willingness to risk their

lives to save others, firefighters and emergency responders are often the most

respected, admired and valued of all public employees and volunteers, The

general public clearly recognizes and values the courage and bravery of all

emergency responders, but recognizes that there are reasonable limits as to

what can be expected and what is a reasonable level of risk. The expectation

is that firefighters will act rationally and professionally--controlling threatening

situations without exposing themselves to unnecessary danger.

Fire departments and other emergency response organizations are expected to

take every reasonable step to protect their workers from accidents, injuries or

disabling occupational diseases. The general public expects fire departments

and emergency response organizations to provide their personnel with the

training, tools, equipment and support systems that are necessary to perform

safely as well as effectively. Taxpayers are generally willing to pay for things

emergency responders need, particularly when they are needed to save lives, if

those needs are clearly presented. It is not acceptable to the public for fire

departments to risk the lives of their members because they are not adequately

trained or equipped or because they do not apply appropriate judgment in

conducting emergency operations.

Continued on next page

65
Risk Management and Emergency Response, Continued

What is expected (continued)

The public recognizes that many aspects of emergency operations are

dangerous and unpredictable. It is almost inevitable that some deaths and

injuries will occur due to the nature of the work, but taxpayers do not want to

pay for firefighters’ injuries that result from taking unnecessary risks. No one

expects firefighters to risk their lives where there are no lives to be saved.

There is no logical reason for firefighters to risk their lives fighting fires in

abandoned structures.

The risk balance for an unoccupied structure might require conducting

aggressive offensive fire attack operations, but those operations always involve

some degree of risk. Using protective clothing, protective equipment, good

training, tactics, supervision and other factors reduce risk, but the risks cannot

be eliminated.

If a danger is recognized, it should be avoided. Are any risks acceptable in

operations? Only those that are:

directed toward saving property

inherent dangers of an unanticipated event

unknown hazards.

Most buildings and contents are insured, and the owners can protect their

property with automatic sprinklers or other systems. Firefighters should not

have to risk their lives to save property that can be effectively protected and

can be replaced. Those values are incorporated in the basic principles of

operational risk management found in NFPA 1500, Standard on Fire

Department Occupational Safety and Health Program.

Occupational The application of occupational safety and health laws to emergency

safety and operations is a relatively recent development. Although worker protection

health laws and laws were applied to many occupations in earlier days, it is only in the 1980s

emergency

operations

and 1990s that the same basic principles have been applied to firefighting and

other emergency services. The thought that the same principles could be

applied to emergency operations as to other occupations and activities is still

difficult for many people to accept. As a result, the degree to which

occupational health and safety laws, regulations, and voluntary consensus

standards are applied is still extremely variable from state to state.

Continued on next page

6 6
Risk Management and Emergency Response, Continued

The

fundamental

principle of

occupational

safety and

health

The fundamental principle of occupational safety and health laws is that an

employer (the fire department or emergency service organization) is

responsible for providing a reasonably safe and healthy workplace for an

employee. The application of this concept to emergency operations essentially

means an organization must:

recognize, identify, evaluate the dangers inherent in performing emergency

operations

take reasonable steps to protect employees from those dangers.

Determining what is reasonable in this context generally involves interpreting

standards that have been incorporated by reference into regulations such as

NFPA 1500. The expectation today is that firefighters must be properly

trained, supervised, and equipped to function as safely as possible, recognizing

the inherent risk factors that are involved in conducting emergency operations.

Review of

operations

Every incident commander should anticipate that the authority having

jurisdiction for occupational safety and health laws will thoroughly review any

incidents in which injuries or fatalities occur--using NFPA 1500 and other

applicable standards as benchmarks--to consider if actions taken were

reasonable under the circumstances. A fire department should expect that an

investigation would seek to determine if its members were provided with every

appropriate form of protection, including training and standard operating

procedures. There are relatively few cases in which fire departments have

been cited for taking inappropriate actions at emergency incidents, however,

that has occurred in a few cases and might increase in the future.

The best approach a fire department can take is to regularly review and

evaluate its own operations. That way a department can ensure all the

components to manage operational risk are in place and that established

procedures are consistently applied. The review will address administrative,

engineering, and personal protection risk management control methods. If

established policies, procedures, training and equipment are appropriate, and if

actions taken in conducting operations are reasonable, a detailed external

review of operations should not be a cause for anxiety.

6 7
Managing Risk in Emergency Incidents

Background Although risk management is recognized as an inherent and important

responsibility of fire departments and other emergency response agencies, it is

only in the relatively recent past that the need to actively manage risk during

emergency operations has been emphasized. Today we expect the officers

who command and supervise emergency operations to function as real-time

risk managers. Doing that often involves making critical decisions very

quickly and with limited information.

Risk Managing risk is a fundamental responsibility at every level of the incident

management is management process.

a fundamental

responsibility The specific recognition of risk management is relatively new, but most of the

basic principles have always been incorporated in the management of

emergency incidents. Fire officers have always been called-upon to make

decisions that weigh the risks of a particular course of action against the

potential benefits. The major change is the recognition of risk management at

the emergency scene as a well defined, value-driven process--not just a matter

of personal and situational judgment.

Develop An incident commander--who establishes the overall strategic plan for an

incident action incident--must identify and evaluate the risks involved in each situation. He or

plan and share

it

she must make conscious decisions about the acceptable level of exposure to

those risks. Supervisors at every level within the incident management

structure--who direct and regulate the activities of their subordinates--must be

guided by the incident commander’s strategic plan, including the risk

management considerations incorporated in the strategic plan. All supervisors

must also continually evaluate the particular risks present within their assigned

areas of responsibility.

Safe operation at any incident will require continuous identification,

evaluation, and control of changing conditions. The responsibility to identify,

evaluate, and manage risks extends to every individual operating at the

incident.

Continued on next page

68
Managing Risk in Emergency Incidents, Continued

NFPA 1500 NFPA Standard 1500, Standard on Fire Department Occupational Safety and

Health Program defines the basic principles of operational risk management.

The standard establishes specific expectations that the officer in command of

an emergency incident will manage the level of risk to firefighters as a

fundamental incident management responsibility.

The risk management approach described in NFPA 1500 should be used as the

basis for a fire department’s operational risk management policies. A policy

statement, supported by a system of standard operating procedures or

guidelines, should establish the specific manner in which all members of a

department--from the fire chief on down to the newest member--expect to

operate at emergency incidents. The principles have been widely adopted by

many fire departments as the standard operational approach to risk

management.

The section that specifically refers to operational risk management was

introduced in the 1992 edition of NFPA 1500. It is reproduced on the

following pages, Note that the text in plain type is the mandatory requirement.

The portions in italics are part of the NFPA 1500 Appendix, which is

explanatory and supplemental.

Continued on next page

69
Managing Risk in Emergency Incidents, Continued

NFPA 1500 (continued)

From NFPA 1500 - 1992 Edition

6-2 Risk Management

6-2.1 The incident commander shall integrate risk management into the regular functions of

incident command.

A-6-2.1 The incident commander has an ultimate responsibility for the safety of all fire

department members operating at an incident and for any and all other persons whose safety

is affected by fire department operations. Risk management provides a basis for

(a) Standard evaluation of the situation

(b) Strategic decision making

(c) Tactical planning

(d) Plan evaluation and revision

(e) Operational command and control

6-2.1.1 The concept of risk management shall be used on the basis of the following principles:

(a) Activities that present a significant risk to the safety of members shall be limited to

situations where there is a potential to save endangered lives.

(b) Activities that are routinely employed to protect property shall be recognized as inherent

risks to the safety of members, and actions shall be taken to reduce or avoid these risks.

(c) No risk to the safety of members shall be acceptable when there is no possibility to save

lives or property.

A-6-2.1.1 The risk to fire department members is the most important factor considered by the

incident commander in determining the strategy that will be employed in each situation. The

management of risk levels involves all of the following factors:

(a) Routine evaluation of risk in all situations

(b) Well-defined strategic options

(c) Standard operating procedures

(d) Effective training

(e) Full protective clothing and equipment

(f) Effective incident management and communications

(g) Safety procedures and safety officers

(h) Back-up crews for rapid intervention

(I) Adequate resources

(j) Rest and rehabilitation

(k) Regular evaluation of conditions

(I) Pessimistic evaluation of changing conditions

(m) Experience based on previous incidents and critiques

Continued on next page

7 0
Managing Risk in Emergency Incidents, Continued

NFPA 1500 (continued)

From NFPA 1500 - 1992 Edition

6-2.1.2 The incident commander shall evaluate the risks to members with respect to the

purpose and potential results of their actions in each situation. In situations where the risk to

fire department members is excessive, as defined by 6-2.1.1 of this section, activities shall be

limited to defensive operations.

A-6-2.1.2 The acceptable level of risk is directly related to the potential to save lives or

property. Where there is no potential to save lives, the risk to fire department members must

be evaluated in proportion to the ability to save property of value. When there is no ability to

save lives or property, there is no justification to expose fire department members to any

avoidable risk, and defensive operations are the appropriate strategy.

6-2.2 Risk management principles shall be routinely employed by supervisory personnel at all

levels of the incident management system to define the limits of acceptable and unacceptable

positions and functions for all members at the incident scene.

6-2.3 At significant incidents and special operations incidents, the incident commander shall

assign qualified personnel with the specific authority and responsibility to evaluate hazards

and provide direction with respect to the safety of operations.

A-6-2.3 A safety sector should be established at all major incidents and at any high risk

incidents. The safety sector would normally be assigned to operate under the fire department

safety officer or an assigned officer with this responsibility. If the designated safety officer is

not available and the need for a safety officer is evident, the incident commander should

assign one or more individuals to assume this responsibility on a temporary basis. Depending

on the specific situation, this assignment could require one or more members. All members

should be familiar with the basic duties and responsibilities of a safety sector:

Continued on next page

71
Managing Risk in Emergency Incidents, Continued

Systematic

approach

required--all

members must

be involved

The individual in command of an incident is specifically responsible for

managing risk at the incident, however, one person cannot be expected to

apply these principles to an incident if the organization has not integrated a

standard approach to risk management into its standard operating procedures

and its organizational culture. To be effective, risk management principles and

policies must be integrated into the entire operational approach of the fire

department or emergency response organization. They must be incorporated

within the duties and responsibilities of every officer, supervisor and member.

Most fire officers seem to feel that the risk management principles stated in

NFPA 1500 are generally in agreement with their personal beliefs. Still, many

fire officers initially expressed discomfort with the presence of a written policy,

as opposed to leaving a wide span of discretion to the individual incident

commander’s judgment. Their discomfort might have been a reaction to

changing from a system in which all command decisions were considered

prerogatives of an incident commander to a system in which an incident

commander can be held accountable for applying written policies.

Risk assessment The most important and difficult concept in the operational risk management

process is the actual determination of the types and levels of risk that are

present in each situation and the degree of risk that is acceptable for the

personnel who are operating at that incident. There is always some degree of

risk involved in conducting emergency operations. The incident commander

has to determine the limits of risk that are acceptable for each situation and

direct operations to ensure that those limits are not exceeded.

Continued on next page

7 2
Managing Risk in Emergency Incidents, Continued

Three

guidelines

define

acceptable

levels

Risk

management

drives the

strategic plan

There are three simple guidelines that define acceptable levels of risk:

1. Activities that present a significant risk to the safety of members shall be

limited to situations in which there is a potential to save endangered lives,

2. Activities routinely employed to protect property shall be recognized as

inherent risks to the safety of members, and actions shall be taken to

reduce or avoid those risks.

3. No risk to the safety of members shall be acceptable when there is no

possibility to save lives or property.

Those three statements place major responsibility on an incident commander to

first, identify and evaluate the risks that are present in each situation and then

exercise good judgment to determine when the level of risk is excessive.

Without good judgment, risk management policies are nothing more than

words on paper.

The strategic plan for a fire defines where, when, and how firefighters will

seek to control that fire. An incident commander’s most fundamental

responsibility is to establish and implement a strategic plan to conduct an

emergency operation. He or she must always weigh the exposure to danger

against the anticipated results of a strategic plan. Risk management is one

essential consideration in developing a strategic plan.

An incident commander’s choice of operational mode--offensive or defensive-

-defines the “rules” that apply to everyone involved in that incident. In

offensive situations, firefighters enter burning structures and attempt to control

a fire where it is burning. They expose themselves to all the risks present in

that environment. In the defensive mode firefighters avoid many of those risks

by staying out of the most dangerous areas and conducting operations that

limit the spread of a fire to an area that can be defended without exposing

participants to unnecessary risks.

Note: A parallel exists with every emergency operation in which incident

commanders must decide if the potential benefits justify exposing personnel to

the risks that are present.

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Managing Risk in Emergency Incidents, Continued

Initial risk

assessment

The determination of acceptable risk and the choice of operational mode

begins with the first arriving officer, who must assume command of the

incident and make an initial size-up. Even if the decision applies to only the

first arriving company, basic risk management policies must be applied to

determine appropriate actions--including the initial choice between offensive

and defensive operations.

At a fire incident, the first arriving company officer often has to decide if and

when it is appropriate to enter a burning structure to conduct offensive

operations. The choice depends on risk factors that are identified with respect

to the size, location and stage of the fire and the capabilities of the fire

suppression force.

Before an interior attack can be initiated, the officer must be assured that

firefighters and equipment available on the scene have the capability to

conduct a safe and effective interior operation. The initial risk assessment must

consider the possibility of saving lives, because the acceptable level of risk to

save a life is higher than the acceptable risk to protect property. It must also

consider the fire conditions and the risks they present to firefighters. If the

first unit does not deliver enough personnel to conduct a reasonably safe

interior attack operation, the interior attack might have to be delayed until

additional personnel arrive. If the situation is too dangerous for safe entry, the

plan should be limited to exterior operations.

Note: A similar determination must be made for many other types of

emergency incidents. For example, in a trench rescue situation, the decision

would be related to whether or not it is safe to have the first-arriving personnel

begin to dig to rescue a trapped victim. If the risk to rescuers is excessive, a

rescue attempt must wait until a specially trained trench rescue team arrives

with the appropriate equipment and shoring. The decision depends on where

and how the victim is trapped and the risk of further collapse that could turn

the rescuers into victims. Similarly, in a confined space rescue incident, the

first arriving officer must determine if personnel at the scene have the skills

and equipment that are needed to initiate a rescue operation. If not, the rescue

must wait until a specialized team responds.

Continued on next page

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Managing Risk in Emergency Incidents, Continued

Risk factors

known and

assumed

It is often impossible to obtain and verify all the pertinent information before

making important strategic decisions. The decisions that guide initial actions

must often be made with a limited amount of information, making allowances

for factors that are not known. A rapid size-up seldom allows for a full

evaluation of all the risk factors. An incident commander must consciously

differentiate between factors that are “known” and those that are based

assumptions, experience and standard approaches and must then place a

priority on either confirming these assumptions or revising them as soon as

factual information can be obtained.

Ongoing An incident commander is responsible for determining the operational mode--

incident offensive or defensive--for the entire duration of the incident. After making an

commander

responsibilities

initial strategic determination, an incident commander should define tactical

objectives and assign resources to perform specific functions. He or she must

also begin to establish a command structure to effectively supervise the

operation. Whenever command of an incident is transferred, the responsibility

for strategic risk management is transferred too.

Responsibilities Officers and supervisors assigned at each level of the incident management

at all levels organization must apply risk management policies within their areas of

responsibility--following the strategic plan and the associated “rules”

established by the incident commander. Keeping the incident commander

informed is one of their major responsibilities. That’s especially true if

changing conditions indicate the need to change the strategic plan.

The single most important reason to establish an effective incident

management structure is to ensure that operations are conducted safely. Every

individual in the incident management structure is responsible for monitoring

and evaluating risks and for keeping the incident commander informed of any

factor that could be a reason to reconsider the risk management balance.

A risk assessment should be reprocessed with every observation and progress

report. Every bit of new information that comes to the incident commander

should be considered to see if strategy or tactics should be changed.

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Managing Risk in Emergency Incidents, Continued

Roles and Every individual in the emergency response system has a role in operational

responsibilities risk management, as the table that follows indicates.

Incident Commander

Sector and company officers

Individual firefighters/

EMS personnel

Incident Safety Officer

On-Scene Risk Manager

Is expected to make strategic decisions based on risk

acceptance or avoidance. Decisions are incorporated in

the selection of offensive or defensive operations, a

major component of the strategic plan for the incident.

Are expected to supervise tactical operations based on

risk acceptance/avoidance in the situations they

encounter within the areas they supervise. Their

determinations must be consistent with the direction

provided by the incident commander. They must keep

the incident commander informed of any situations they

encounter that may have an impact on the strategic plan.

Might be called on to make personal decisions about risk

acceptance/avoidance when no officer is present, which

must also be consistent with the strategic plan and with

departmental policies. They also need to keep their

officers informed of any significant information.

Is the risk management consultant for emergency

operations. The incident safety officer is an advisor to

the incident commander and should provide an overview

of the situation specifically directed toward identifying

and evaluating safety concerns.

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Managing Risk in Emergency Incidents, Continued

Gathering

additional

information

The initial strategic plan is always subject to revision as the amount of

confirmed information increases and the degree of uncertainty decreases. An

incident commander must constantly seek out information to replace

assumptions or perceptions with verified facts. Officers assigned to supervise

different areas or functions are expected to provide regular progress reports to

an incident commander. In addition, an incident commander must ask

questions and actively seek information that is not always provided without

prompting.

An incident commander should not hesitate to assign individuals to

reconnaissance missions--to observe conditions firsthand, or seek out

information and report back to command post. An incident commander

should always have this capability, even if it requires calling for an additional

company or command officer to perform this important function. At major

incidents, reconnaissance can often be assigned to staff personnel who report

to the command post, especially to individuals known to be particularly

capable at gathering and managing information.

The role of the There should be a standard system for assigning an incident safety officer at

incident safety working incidents, preferably by dispatching someone (or more than one

officer person) with this specific responsibility. Whenever possible, the incident safety

officer should begin by making a 360 degree survey of the incident scene to

evaluate the overall situation--looking for:

problems

hazards

inconsistent observations

any other factor that could indicate a safety concern.

After making an initial survey, the incident safety officer should report to the

command post to discuss his or her observations and safety concerns with the

incident commander.

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Managing Risk in Emergency Incidents, Continued

Balancing

perspectives

The incident safety officer does not relieve an incident commander of the

responsibility for managing risk at an incident. By the same token, an incident

commander should be able to rely on the incident safety officer to provide a

balancing perspective on the situation.

An Incident Commander should look at a situation as:

“How to get the job done and operate safely.”

The Incident Safety Officer should look at the situation as:

“How to operate safely and still get the job done.”

In most cases, the two perspectives should lead an incident commander and

the incident safety officer to reach the same conclusions. If they do not, the

incident commander must recognize the possibility of a problem and rethink

the risk analysis.

78
Application of Risk Management Policies

Background An incident commander has to successfully balance two sets of factors:

those that determine the nature and extent of operations

those that address the safe conduct of operations

This section explores some of the complexities involved in trying to

consistently apply risk management policies to determining the nature and

extent of operations.

The operational risk management guidelines defined earlier establish a simple

framework that should serve as the basis for operational risk management

decisions. Many situations are complicated. It is often difficult to interpret

how a policy--stated in general terms--relates to a specific situation. An

incident commander is expected to:

use judgment and experience

make reasonable decisions in the application of policy guidelines.

An incident commander has a wide span of discretionary authority for making

risk management decisions. A strategic plan must not needlessly place the

lives of firefighters or emergency responders in danger, but it should not be so

over-cautious that it allows a fire to destroy property that could be saved--or

keeps other valuable functions from being performed. The ultimate test of a

risk management decision is whether or not a reasonable, well-informed

person would find the decision appropriate under the circumstances.

Experience and The circumstances responders actually encounter in emergency incidents are

judgment often very complex. That fact can make it extremely difficult to apply the

required policy guidelines to each particular situation. The application of policy

guidelines requires specific skills at obtaining, considering, and applying

information. A combination of experience and judgment are essential to

perform the actual evaluation of the risk factors.

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Application of Risk Management Policies, Continued

Unoccupied,

vacant, and

abandoned

buildings

As the table below indicates, the distinguishing characteristics of unoccupied,

vacant, and abandoned structures influence incident commanders’ decisions.

Fires in vacant, unoccupied or abandoned buildings are a problem to many fire

departments. The fundamental risk management guidelines state that the lives

of firefighters should not be risked where there is no possibility of saving lives

or property. That would restrict entry into many vacant or abandoned

structures to conduct interior operations--on the basis that there are no

occupants and there is nothing of value to be saved.

Unoccupied

Vacant

Abandoned

That it has contents and is suitable for

occupancy, however, no one is present at the

time of an incident.

That the interior space is not currently in use and

presumably has neither contents of value or

occupants. However, the structure itself might

be considered valuable property.

That it has no value that justifies the level of risk

associated with an interior offensive operation.

The first priority in a fire suppression operation is rescue. Many fire

departments operate with the assumption that there could be occupants in any

building. As long as it is reasonably safe to enter, they attempt to conduct a

search of every occupancy. If the structure (or part of it) is fully involved in

flames, there is no reasonable possibility that anyone could be alive to rescue

and no reason to conduct an interior search.

Unoccupied and vacant structures could justify operations that involve a

limited amount of risk. It could also be appropriate to enter an abandoned

building to conduct a rapid search if there is reason to believe that it might be

occupied by transients or other “unofficial” occupants. The deciding factors to

be weighed include:

the extent of the fire

the structural condition of the structure, and

whether it is truly abandoned or simply vacant.

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Application of Risk Management Policies, Continued

Judging the

risks of

abandoned

structures

Firefighters arriving at a small fire in an abandoned building might have to

consider the risks they could encounter in an interior attack versus the

consequences of not attacking the fire. There might not be any justification to

risk the lives of firefighters to save a worthless structure, but it could be

possible to justify making entry to extinguish an incipient stage fire or a fire

that is contained within a small area. If the fire can be safely controlled, an

interior attack might involve less risk than staying outside and letting the fire

grow.

This type of attack is justifiable only when not attacking and controlling the

small fire would expose firefighters to a greater risk. If entry is made in this

type of situation, it must be very cautious and closely supervised.

Risk to the

community

The risk evaluation might have to consider more than the structure that is on

fire. A fire that grows to fully involve a large abandoned building could create

a significant risk of fire spread to occupied exposures or to the surrounding

area. The incident commander might have to weigh the risks of an offensive

attack against the risk of fire spread to the exposures.

If the exposures can be protected without exposing the surrounding

community to excessive risk, the incident commander can evaluate the risks to

firefighters in relation to the building that is on fire. If the resulting fire cannot

be contained to the abandoned building, the risk evaluation should also

consider the potential consequences of a fully involved structure.

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Application of Risk Management Policies, Continued

Unusual There are many additional examples of situations in which good judgment is

situational risks clearly required, considering the health and safety of firefighters in relation to

the potential consequences of different strategies. The potential consequences

often have to be considered in determining the level of risk that is acceptable.

Example:

A building could be known to contain hazardous materials that would cause a

massive contamination problem if water runoff carried them into a nearby

river. That possibility could make it unacceptable to fight a fire, causing the

fire department to limit control actions to protecting exposures.

Example:

In another situation--should a fire be allowed to burn-- the release of toxic

products of combustion could result in the greatest risk. In some cases, the

risk of exposing firefighters to hazardous materials could make it unacceptable

to enter. In other cases, entering and controlling the fire before it reaches the

hazardous materials could be the best plan to protect the firefighters and the

community from a greater risk.

Continued on next page

8 2
Application of Risk Management Policies, Continued

Unusual

structural

situations

Firefighters should never assume a situation is “routine.” They should always

be looking out for situations that present unusual risks. Well developed

sources of information can uncover hundreds of factors that might draw

immediate attention to the possibility of high risk. When any of those factors

are seen or reported, an incident commander should automatically:

reprocess risk management decisions already made

reevaluate the strategy adopted for the incident.

In Fire Command (National Fire Protection Association, 1985), Chief Alan

Brunacini of the Phoenix, Arizona Fire Department points to three

components that comprise incident information management:

visual reconnaissance

pre-fire planning

familiarity with the location or situation

Examples:

Buildings with grade level entrances on different sides that lead to different

interior floor levels. That could cause confusion about the level where

different crews are operating--above, below or on the same level as the fire.

Buildings that have been remodeled, where interior supports may have been

removed or replaced with inadequate construction.

Buildings with extra roofs, floor coverings, or ceilings that conceal the original

construction. Such spaces make it impossible to evaluate the structural

characteristics, and might allow a fire to grow and extend.

Buildings with engineered lightweight structural systems, such as lightweight

wood trusses that are susceptible to sudden and early collapse.

Buildings with unexpected interior shafts or stairways that could allow a fire to

extend to an upper level.

Buildings with complicated interior arrangements and long travel distances to

entry and exit points.

Interconnections between buildings that cannot be easily interpreted from the

exterior arrangement.

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Application of Risk Management Policies, Continued

Evaluating

information

from different

sources

While conducting operations an incident commander should carefully evaluate

information and reports that come from sector officers or other individuals and

consider their consistency. Communication starts with knowing how to listen

carefully and critically. If information does not appear -to make sense, an

incident commander should question and verify it. An incident commander

should always take a pessimistic view of conflicting or uncertain information.

It is all right to hope for the best, but plans and actions should always

anticipate the worst predictable outcome.

Examples:

Reports from different sources that describe inconsistent fire conditions. One

observer might report “fire under control” while another reports heavy smoke

or fire conditions. The discrepancy suggests they are looking at different areas

or that one does not know about fire conditions that are evident to the other.

Crews operating in the area where the fire appears to be under control might

be in serious danger if they do not know where the fire is actually or still

burning.

Evidence of a significant interior fire that cannot be located should sound a

warning to the incident commander. Crews working in a smoke filled building

might be unable to find the fire at the same time the continuing or increasing

presence of heavy smoke suggests that a significant fire is burning somewhere

inside the structure. The risk of a sudden outbreak of fire or a structural

collapse increases with time spent on the scene.

An incident commander and other officers should look for unusual colors or

movement of smoke. Smoke movement often provides good information

about the size and extent of a fire. A distinct thermal column and rapid smoke

movement would suggest the presence of a hot fire, possibly in a concealed

space.

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Application of Risk Management Policies, Continued

The time factor One of the major challenges in operational risk management is the time factor.

The most critical decisions often have to be made very quickly and under great

pressure. An incident commander must be an efficient decision maker, able to

quickly:

recognize dangerous situations

evaluate information

make decisions.

Some emergency responders tend to be more inclined to take action than

to stop and compare the risks that could be involved in alternative

approaches. Individuals who have to make risk management decisions must

be able to gather and process information efficiently and to think clearly and

quickly in stressful situations. In some cases, they must slow down actionoriented individuals to provide time to evaluate the situation.

Time tends to work against a decision maker in high stress situations. The

time that is available to make decisions passes very quickly, while the time it

takes for information to be gathered and reported seems to take forever. It is

easy to lose track of time in a stressful situation. A system that reminds the

incident commander when each ten or twenty minute period has elapsed is a

valuable addition to an incident management system.

In many cases, particularly in fires where the structure is deteriorating as long

as the fire continues to bum, the risk factors will also change with time. If a

fire is not controlled, interior crews must be withdrawn and regrouped in safe

areas before a structural collapse occurs. Waiting to see what happens may

prove to be a fatal error.

Rules of thumb There are some “time factor rules of thumb” for structural collapse:

an ordinary construction building is susceptible to structural collapse after

twenty minutes of fire involvement.

a lightweight wood truss structure may collapse within ten minutes,

a fire in a fire-resistive building may withstand full involvement of a fire area

until all of the available fuel is consumed.

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Application of Risk Management Policies, Continued

Unacceptable

risk

There are many situations that require an incident commander to exercise

judgment to determine the acceptable level of risk. There are other situations

in which--under almost any conceivable circumstances--the level of risk is

clearly unacceptable. When an incident commander encounters such a

situation, he or she must be prepared to direct a course of action that avoids

the danger.

Examples:

Fighting fires that could involve explosives.

Continuing to conduct interior operations in a structure that exhibits signs of

imminent structural collapse, such as might result from structural weakness of

temporary repairs once made to correct structural defects. (Any individual

who spots evidence of such a condition should immediately see to it that the

incident commander is made aware of it.)

A fire department officer should:

have a good knowledge of situations that are outside the limits of acceptable

risk exposure

know how to quickly recognize and react to them.

Many risk-laden situations can be identified through inspection activities or

pre-fire planning visits. When situations are found that would create an

unacceptable risk, they should be documented in a manner that:

supports training and hazard awareness

provides critical information for an incident commander should an incident

occur at the location.

Continued on next page

8 6
Application of Risk Management Policies, Continued

Focus There are often many distractions at the scene of an incident that could keep

an incident commander from focusing on, and processing important risk

evaluation factors. That possibility reinforces the importance of making risk

assessment a standard part of the process of commanding incidents. If an

incident commander always thinks about risk factors, in every situation, risk

evaluation will become a priority among the distractions of a complex

situation.

Thinking ahead of the incident will also help an incident commander make

difficult decisions under time pressures, Many situations and circumstances

are predictable--whether it is an anticipated fire in a particular building or a

predictable situation that could occur in a variety of locations and

circumstances. If potential situations can be predicted and the risk factors can

be thoroughly evaluated in advance--when there are no time pressures--an

incident commander only has to recognize that situation when it occurs and

implement the planned strategy.

Example:

If an imminent risk of structural collapse is identified, the incident commander

should be prepared to immediately withdraw all companies from interior or

exposed positions, call for a roll-call accounting of all personnel, then re-group

the operating companies for defensive operations.

8 7
Conducting Operations Safely

Background The previous section dealt with the determination of the nature and extent of

operations, based on reducing the potential for risk to firefighters and

emergency responders at a reasonable and acceptable level in a wide variety of

situations. In this section, we will give equal consideration to the safe conduct

of operations--operations that limit risk to an acceptable level.

Avoidance of operational risks must begin long before an incident occurs. For

example, many operational risks could be avoided if fire prevention

activities were effectively implemented. When prevention fails, fire

departments respond and must face operational risks. To fully avoid

operational risk, a fire department would have to take such a cautious

approach that it would accomplish very little in the sense of saving lives or

property. In many cases, the best way to minimize overall risk is to take

decisive action--using all the force necessary to effectively control a problem

while it still can be managed.

Emergency operations must always be conducted as safely as possible. Even

during potential rescue situations, in which the maximum exposure to

risk is permissible, standard safety rules are not suspended. Whether the

acceptable level of risk is high or low, the operation must support safe

operations with every available skill and technological resource.

Definition of An acceptable level of risk means that--after taking every reasonable

acceptable risk precaution--there still exists a recognized possibility that firefighters could be

killed or injured. The threshold of acceptable risk is set higher when there is a

possibility of saving lives, not just property. This implies that it is acceptable

to risk the lives of firefighters to save property, however no property is worth

risking the life of a firefighter. The reality is that we can never eliminate the

possibility that something could happen that would result in an injury or

fatality but the possibility of injury or death must never be allowed to become

a significant probability.

Continued on next page

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Conducting Operations Safely, Continued

Accepting

inherent risks

The risks that are inherent in firefighting and other types of emergency

operations are considered acceptable, yet they are significant. After all, it is

very possible to be seriously--perhaps fatally--injured as the result of an

inherent risk. Why then are inherent risks generally considered acceptable?

The risks are considered acceptable only because firefighters and emergency

responders are:

trained

equipped

prepared

organized to conduct operations with a reasonable degree of safety in

dangerous environments. Their preparedness makes the inherent risks

acceptable.

Two modes of Operational firefighting strategy can be based on two distinctly different modes

operation

Offensive

Defensive

of operation: offensive and defensive. The table below describes both modes.

Firefighters are in close contact with

a fire--inside a building, exposed to

all the potential dangers that exist in

that environment. They are

dependent on their protective clothing

and equipment for protection.

Firefighters should be outside the

area of direct exposure. Still, many

things could happen to injure

firefighters. For example, the

incident commander must ensure that

all personnel stay outside an area

identified as dangerous, including

outside the range of falling walls.

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Conducting Operations Safely, Continued

Why incident

commanders

might change

strategy

Often, the story of an incident unfolds like this: The initial action occurs in the

offensive mode because occupants are believed to be inside and in need of

rescue. Then conditions change. They reach a point at which there is no

further possibility that lives can be saved. All occupants may have been

removed and accounted-for, or the fire may have grown beyond a point where

anyone could survive. When that happens, the incident commander has to

reevaluate the original determination of acceptable risk, now based on the

possibility of saving property. The overall situation might no longer support

continued interior offensive operations. If the incident commander determines

that the potential benefits no longer justify the risks, he or she must change the

strategy from interior offensive operations to exterior defensive operations.

When to change In any event, an incident commander must change the operational strategy

strategy whenever the level of risk to operating personnel deemed to be acceptable is

exceeded--either because the situation has changed from a life saving to a

property saving operation or because an interior offensive fire attack is not

controlling the fire. If that happens, firefighters must be removed from the

interior before they are trapped by flames or buried by a structural collapse.

An incident commander must always anticipate the likelihood of deteriorating

conditions and be prepared to change his or her strategy on extremely short

notice.

The incident commander should be outside at a command post where it is

possible to evaluate the “big picture” and direct operations in an environment

that is conducive to managing information and communications. The incident

commander often has to depend on other individuals to provide information

about changing conditions that are not visible from the command post,

particularly interior conditions. At the same time, interior crews have to

depend on the incident commander’s ability to evaluate conditions, because

their ability to evaluate a situation may be very limited. (It is difficult to

evaluate conditions effectively while wearing breathing apparatus and

operating a hoseline inside a smoke-filled building.) The incident commander

has to depend on others to report information, particularly risk-related

information and the interior crews have to trust the incident commander’s

judgment to decide when it is time to retreat.

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Conducting operations Safely, Continued

Implementing a When the strategy is changed from offensive to defensive, participants are

change in removed from the danger area to operate from positions where there is the

strategy least possible risk of accident or injury. To implement the change, an incident

commander should:

order all interior attack crews to immediately abandon their efforts and

evacuate to safe position. (This can be accomplished by a distinctive radio

notification and by other methods, such as sounding apparatus air horns.)

conduct a positive accountability check to ensure that all personnel have

evacuated and removed themselves to safe positions.

Interior crews must be prepared to react to a change in strategy without

hesitation or delay. An incident commander should initiate exterior attack

operations only after verifying the safety of all personnel through the personnel

accountability system.

Standard

operating

procedures

Standard operating procedures or guidelines establish the basic framework for

conducting emergency operations safely and effectively. Some procedures are

specifically directed toward safety; others support safe operations by

establishing a system of predictable and consistent operations. Coordination,

consistency, and standard approaches are all important and valuable

components of safe emergency operations. One key component of operational

risk management is to ensure that operations are always conducted in a

standard manner that incorporates a full range of safety considerations.

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Conducting Operations Safely, Continued

The need for a

consistent

approach to

safety

Consistency in operational risk management begins with:

establishing safety procedures

fully documenting them

train all members of the organization in the application of those procedures.

ensure that required procedures are consistently implemented at every

incident.

A consistent approach to safety requires that all the applicable standard

operating procedures are actually followed. The only thing worse than having

no safety procedures might be to have procedures that are not consistently

applied and enforced.

Consistent Approach To Safety

DO THE RIGHT THINGS

DO THEM THE RIGHT WAY

ENSURE THEY ARE BEING DONE THE RIGHT WAY

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Conducting Operations Safely, Continued

Components of Important safety-related components and considerations that should be

a basic established within a fire department’s basic operational system include all the

operational components listed below.

system

Basic Operational System

Components and Considerations

Information from pre-fire planning

Communications

An accountability system

Rapid intervention teams

Rest and rehabilitation

We will examine each component.

Information

from pre-fire

planning

Incident commanders are generally pressured by time and must rely heavily on

gaining information rapidly visually and by reconnaissance. Commanders

usually acquire visual information by personally surveying the scene.

Reconnaissance information is usually gathered by others who are assigned to

this task by the incident commander.

An incident commander can also obtain valuable information from formal prefire planning from other agencies, or from other activities that provide useful

information. Having access to previously generated sets of facts about a

structure or a given situation can:

provide an incident commander information that is more complete than

would be available through other methods

allow the incident commander to reallocate personnel who might have been

assigned to reconnaissance and obtaining information on the scene

save valuable time that would be needed to gather information.

Pre-fire planning and the management of information are critical components

of the incident risk management system.

Continued on next page

9 3
Conducting Operations Safely, Continued

Communications To direct an emergency operation, an incident commander must have an

effective communications system. All interior crews should have portable

radios to maintain contact with the incident commander or their sector

supervisor. A reliable two-way radio link between an incident commander

and each operating sector officer, group, company, attack team or other

organizational unit provides the means for:

operating personnel to call for assistance if they need to be rescued

the incident commander to direct personnel to evacuate a building or take

other actions when he or she recognizes an imminent hazard is recognized

or reported.

all personnel to be aware of any changes in the incident action plan.

A standard protocol should be established for transmitting emergency

messages to ensure that they receive priority over all other radio traffic. The

radio channel used for tactical communications at the incident scene should

be reserved for that purpose to ensure that unrelated radio traffic does not

block out critical messages.

The tactical channel should be used by all units working at the incident and a

designated individual at the command post must constantly monitor the

channel for messages related to safety-related situations or emergencies,

Where multiple radio channels are used, there should be one dedicated

channel to be used by any unit that needs emergency assistance. That

channel must be constantly monitored at the command post.

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Conducting Operations Safely, Continued

A personnel

accountability

system

A personnel accountability system should be routinely employed at

emergency incidents to keep track of the location, assignment and welfare of

all personnel operating in hazardous or potentially hazardous areas. The

system should keep track of individuals assigned to each company or team

working at the incident scene. It should be used to verify the status of each

company or team at regular intervals. An immediate priority must be placed

on locating anyone who is not confirmed to be safe when an accountability

check is made. A full accountability check should be made when designated

events occur, such as:

an evacuation of interior crews

a switch to defensive strategy

a report of personnel in trouble

the reaching of a benchmark

The ability to use an effective accountability system depends absolutely on:

an effective incident organization

a realistic span of control

capable supervisors at every level

recognized responsibilities at all levels

all players buying into the process

Rapid

Intervention

Teams

The assignment of one or more Rapid Intervention Teams at working incidents

provides the ability to immediately initiate a rescue effort to locate, rescue or

assist any firefighters (or anyone else) who are in trouble at the scene of an

incident. Rapid Intervention Team members should be standing-by wearing

their protective clothing with self-contained breathing apparatus ready for

immediate use. They should have forcible entry tools, rescue rope, and any

other equipment that could be needed quickly. At hazardous materials

incidents or other situations where special protective equipment is required,

the Rapid Intervention Team should be ready with the same level of protective

clothing and equipment as the entry team requires.

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Conducting Operations Safely, Continued

Rest and

rehabilitation

Crews who are fatigued are much more susceptible to accidents and injuries

than fresh, well rested crews. To avoid fatigue and exhaustion among crew

members, the standard operational approach should provide:

monitored periods of rest

rehabilitation

fluids at regular intervals

medical evaluation

Overhaul and

salvage

Many fireground injuries occur after the fire is under control, during salvage,

overhaul, investigation, and decommitment phases. That is when life safety

and property protection are no longer urgent priorities. That is when the

safety of firefighters should remain the primary concern. It is often advisable

to withdraw crews and assign sector officers or the incident safety officer to

make a complete survey of the damaged area before assigning personnel to

complete the remaining tasks. This survey can identify hazards that must be

avoided and determine where it is safe to operate. It also provides time to set

up portable lighting and ventilation fans to eliminate hazards before assigning

any crews to work in these areas.

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Conducting Operations Safely, Continued

Limiting risk by Fire suppression operations should be conducted by well-trained, wellcarrying out equipped firefighters, operating under an effective incident management

assigned

responsibilities

system and working in teams under the supervision of capable officers to

perform assigned tasks that have been coordinated within an incident action

plan.

The incident commander establishes the overall strategy that defines the

acceptable risk level for an incident. The responsibility for managing risk

extends throughout the incident management structure. It includes every

level--down to the individual firefighters who must be able to recognize

hazards and avoid unnecessary risks. The incident commander must

effectively communicate the strategic plan to every part of the organization

and ensure that everyone understands his or her assignment.

Whether or not they agree with the incident commander’s assessment of the

situation, subordinates are expected to follow the directions that come down

the chain of command. They have to feed information back up the chain of

command to keep their incident commander aware of what is happening.

There is no absolute measure or definition of an acceptable level of risk

exposure for individual firefighters in the performance of their duties. Some

individuals or crews might be willing to accept a higher level of risk than the

organization or the incident commander are willing to authorize. From their

limited perspective, they might be unaware of critical information, or they

might simply be willing to expose themselves to a higher level of risk.

A fire department establishes the context in which risk acceptance/avoidance

decisions are made. Risk management policies and approaches should be part

of the organizational culture, defined by policy, supported by training and

applied with experience, and judgment. Operating outside the established

system should never be accepted.

A consistent approach and application of safety procedures should establish a

basic level of operational safety for the organization. At each incident, the

incident commander adds situational judgment that defines the level of risk

exposure for that incident. The operational discipline of the organization must

require everyone to follow orders--even if they feel their actions are being

unnecessarily restricted.

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9 7
Conducting Operations Safely, Continued

Personal

protection

The ability of fire departments and emergency response organizations to

operate safely is constantly improving as improvements are made in personal

protective clothing and equipment. These advances have actually reduced the

risk of injury or death during operations that were already considered

“reasonably safe” in many situations. The margin of safety has been improved

for users who are performing the same operations.

Members must take time to ensure they are wearing appropriate

personal protective clothing and equipment. Check each other. No

exceptions.

The improvements in personal protection have also expanded the range of

conditions where firefighters can operate without being injured. In the past,

firefighters’ level of exposure was often regulated by the limited protection

provided by their protective clothing. Working with exposed ears, poorly

insulated gloves, and wearing coats and 3/4 length boots that provided limited

insulation, firefighters were able to sense the heat. They were often stopped

from further penetration by the threshold of pain. First and second degree

bums to ears, knees, and wrists often provided evidence that firefighters had

advanced as far as they could into a superheated atmosphere.

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9 8
Conducting Operations Safely, Continued

Protection is

limited

Firefighters should wear full protective clothing ensembles that meet current

standards. Breathing apparatus and PASS should be checked regularly and

function-tested at regular intervals to ensure they will perform reliably. The fit

of face pieces should be tested regularly. Firefighters should be trained to

achieve a high level of confidence and familiarity with their breathing

apparatus. Major advances--based on extensive monitoring of the

environment to which firefighters were exposed--were made in protective

clothing and equipment during the 1980s. Levels of exposure to different

temperatures were evaluated to establish performance standards for protective

clothing--including relative exposure to radiant, convective and conducted

heat. The new generation of protective clothing, which provides full body

protection, is designed to prevent bums in the environment that was measured

and to protect a firefighter who is caught in a flashover for ten to twenty

seconds. The level of risk to the firefighter is significantly reduced in relation

to the atmosphere for which it was designed.

Personal protective clothing and equipment provides limited protection from

the heat of a fire. It is very difficult to control the direct exposure of

firefighters who are engaged in interior fire attack operations. In many cases,

only the individual members who are actually making the attack are in a

position to evaluate the interior fire conditions.

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Conducting Operations Safely, Continued

Personal

protection

benefits and

concerns

Improved protection might also allow users to increase their penetration into a

fire atmosphere--knowingly or unknowingly. Although many injuries have

been prevented or reduced in severity with the protection that the new clothing

provides, the risk balance shifts in the wrong direction if the extra protection

causes firefighters to be exposed to a more dangerous situation.

How could that happen? Firefighters might be able get in deeper and control

fires where they could not previously penetrate, but they might also be unable

to sense the danger of a hotter atmosphere or rapidly increasing temperatures.

In this situation, they might unwittingly expose themselves to an increased risk

of severe injury.

An incident commander at an exterior command post cannot manage this type

of risk. If conditions appear to be too dangerous from an incident

commander’s vantage point, he or she must withdraw firefighters from the

interior. The operation must switch from offensive to defensive operations.

It is virtually impossible for an incident commander outside a structure to fully

evaluate conditions inside. In most cases, the risk of penetration into the fire

atmosphere can be monitored and evaluated only at the place it occurs. An

incident commander has to depend on company officers, sector officers and

the incident safety officer to help him or her:

observe and evaluate conditions

monitor the level of exposure

control the actions of the attack crews.

The advances that have been made in protective clothing and equipment must

be matched with closer supervision, coordination, and communications.

Training, standard operating procedures and experience are also important

factors in controlling the exposure to excessive risk and conducting safe

operations.

100
Preparation for Incident Command

Background As noted in the previous section, an incident commander has a wide span of

discretionary authority for making risk management decisions. There is no

easy way to develop good judgment; some individuals are more capable in this

regard than others. That factor should be considered in making promotions

and assignments. Experience is always valuable, but gaining experience takes

time, and experience can never address every situation an incident commander

might face. Also, there is always a first time for any occurrence to happen.

Incident commanders can improve their abilities and self-confidence in making

judgmental decisions through several different methods, beginning with a

thorough understanding of the basic policies and their application to specific

situations. Experience can be expanded and shared by:

training

studying reports of incidents that have occurred

attending critiques

carefully observing as many operations as possible.

Every fire officer and potential emergency incident commander must be

prepared to make critical risk management decisions. An effective incident

commander must be able to evaluate situations and predict outcomes, If the

outcome of a situation is predictable, the incident commander can take action

to minimize the exposure of operating personnel to danger. If the outcome is

not predictable--or the indicators are not recognized, situations might be left

entirely to chance.

To be prepared to make good risk management decisions, a command officer

has to develop a foundation of knowledge, judgment and experience. The

ability to predict outcomes and exercise good judgment must be based on

either personal or shared experiences. The risk assessment process should be

internalized well in advance of an incident in which its application might be a

matter of life or death.

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Preparation for Incident Command, Continued

Experience: a One of the best ways to develop a base of experience is to consciously identify

job requirement and evaluate the risk factors that apply to each emergency incident and to

practice making judgmental risk management decisions. The conscious

application of the risk evaluation process is a good start, but few individuals

have the opportunity to personally experience a full range of situations before

they are called upon to use their risk management skills.

A fire officer must be able to evaluate situations and predict their potential

outcomes, particularly high risk situations that might result in very bad

outcomes. If the danger is recognized, the incident commander should be able

to determine the appropriate course of action to reduce, minimize, or

completely avoid the risk. Judgment is important to differentiate risks that are

acceptable from situations that are too dangerous.

The need for

judgment

The application of risk management policies relies heavily on the judgment of

officers and supervisors, as well as individual firefighters and emergency

responders. A capable company officer or command officer must be able to

predict what is likely to happen in a wide variety of situations and to weigh the

risks against the potential benefits of different actions. Actual and potential

dangers must be recognized, evaluated, and placed in perspective in relation to

the three guidelines that define acceptable risk (referred to earlier). The ability

of trained and experienced officers to make appropriate risk assessments and

apply risk management policies requires good judgment.

Judgment is often associated with experience. Personal experience is

probably the easiest way to develop good judgment, but in today’s reality, a

total reliance on experience as the basis for judgment is inadequate. There are

far too many lessons to be learned about managing operational risk and too

few occasions to develop the necessary experience. In addition, there is no

assurance that the experience will come before the situation that requires the

best judgment. There isn’t time to wait for the experience to develop the

judgment.

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Preparation for Incident Command, Continued

Developing

judgment

A responsible officer must make a full spectrum of efforts to learn about the

subject matter that forms the foundation for good judgment, including:

taking courses that include operational safety

reading books

studying reports of incidents that have occurred in other jurisdictions

attending critiques

looking at buildings under construction and demolition

looking at buildings where fires have occurred

visiting properties to develop pre-fire plans

simulation-based training/critiques.

Training for officers and incident commanders should provide a thorough

understanding of the principles of operational risk management and the

opportunity to practice their application in exercises and simulations. That

type of training is essential to prepare individuals who might have to make

critical decisions in situations they have never personally experienced.

Even those officers who respond to a large number of incidents generally face

only a few situations that are truly challenging. The relatively large percentage

of situations that are uncomplicated and easily controlled tends to make it even

more difficult to rely on personal experience to recognize crises and act

appropriately. As a result, many incident commanders rarely get enough “real

world” experience to develop solid judgment and decision making skills.

That’s why training that provides the opportunity to develop command skills is

critically important, Simulations--followed by thorough, detailed critiques

provide essential learning experiences for all potential incident commanders.

Incident commanders must develop a discipline for managing incidents

systematically, by consistently applying the process and the principles to all

types of situations. The regular application of the process will help to develop

the habit of approaching every situation in a standard manner. This discipline

is essential to avoid the situation in which an incident commander, facing a

critical incident, has to apply an unfamiliar process to fulfill his or her risk

management responsibilities.

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Preparation for Incident Command, Continued

Judgment under There are times when critical risk management decisions must be made under

stress conditions of extreme stress, with incomplete information and with only

seconds to evaluate the alternatives. An incident commander must be

prepared to decide if a given situation justifies the exposure of responders to

the degree of risk that would be involved in implementing different strategies.

Those determinations must be based on judgment that allows an incident

commander to apply the principles of operational risk management.

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Preparation for Incident Command, Continued

Predictability The ability to anticipate the outcome of emergencies is an essential component

of a risk manager’s effectiveness. Once a dangerous situation is recognized, it

is usually possible to avoid or prevent the undesirable outcome.

As Gordon Graham, Risk Manager of the California Highway Patrol, has said,

“If it is predictable, it is preventable.”

An incident commander must have the ability to:

recognize dangerous situations

predict what could happen

take action to avoid the predictable danger.

An incident commander should never find himself or herself in the position of

having to say “I realized what could have happened, but all I could do was

hope for the best.” In many cases, the explanation for an unfortunate outcome

has been “we recognized the danger, but we took a calculated risk.”

Unfortunately, in many situations, that means somebody recognized danger

and yet did nothing to prevent the occurrence.

The incident commander should be pessimistic. When an incident commander

recognizes a risk factor that could result in a bad outcome, he or she should

make the avoidance of that bad outcome an integral part of the strategic plan.

The incident commander should evaluate the steps that will either prevent it

from happening or protect firefighters and emergency workers from harm if it

does happen. Possible risk reduction or avoidance actions must be:

considered in relation to the probability and potential consequences of the

negative outcome, and

balanced against the need to take action to control the emergency.

Do not rely on

good luck

An incident commander should never rely on good luck to make an operation

safe and to keep a predictable outcome from happening. Bad luck can ruin a

good operation. There are some unavoidable risks that are virtually outside of

anyone’s control, Those are the inherent risks of conducting emergency

operations. Fortune and misfortune definitely play a part in determining

outcomes, but they should have an impact only in circumstances that are

beyond the control of an incident commander.

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Preparation for Incident Command, Continued

Recognition of An incident commander must have the ability to quickly recognize and react to

dangerous

situations

dangerous situations. The process of looking out for indications of danger

should be a routine part of the incident management process. It extends to

everyone involved in operations at the scene. The incident commander--and

everyone else involved--should always be on the lookout for indications of

potential danger.

Balancing

probabilities

and

consequences

Risk management always involves balancing probabilities and consequences.

There is at least a remote possibility that any burning building could collapse

because of some undetected flaw in the construction. That said, it is also true

that firefighters cannot effectively control structure fires if they stay out of

every burning building. They must be able to recognize buildings that have

characteristics that make them more susceptible to structural collapse. There

is no excuse for having firefighters buried in the rubble of a building that

exhibited recognizable warning signs or characteristics prior to collapse.

In emergency operations, it is often necessary to work with the recognition

that something bad could happen. It would be impossible to take effective

action without facing some danger. There are some overwhelming potential

dangers that are always at least remote possibilities. A trained and

experienced officer must develop the ability to recognize dangerous situations

and predict outcomes. Once the danger is recognized, the risk assessment has

to consider the probabilities and potential consequences to decide if the

predictable outcome is unacceptable.

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Preparation for Incident Command, Continued

Training and

education

It is difficult to train an individual to exercise good judgment. Judgment is

highly dependent on experience, which must be acquired and internalized,

however, the fundamental principles and application of risk management can

be learned. Training should also allow an individual to learn about different

situations that have occurred, so that the indicators can be recognized--even if

the individual has never had the personal experience.

Example:

A fire officer must know that lightweight wood truss construction floors and

roofs are likely to collapse without warning if the trusses become involved in a

fire--even if he or she has never actually seen it happen. An officer must know

about the risk, recognize the type of construction, and know where it is likely

to be encountered. Similarly, an officer must know about the risk of a

BLEVE, even if he or she has never encountered a burning propane tank. Fire

officers should also learn to beware of buildings with entrances on multiple

levels that might contuse companies operating on different floor levels. They

should recognize occupancies that are likely to have hazardous contents.

Important experience can be acquired through training that gives an officer the

opportunity to relate risk factors and indicators to predictable outcomes.

Proven methods include:

classes

lectures

books

videotapes and other media

simulations and critiques

Standard texts such as Francis L. Brannigan’s Building Construction for the

Fire Service provide essential information that enables officers to recognize

high risk situations.

Fire officers should also study published incident reports--particularly reports

about incidents that result in injuries, fatalities or close calls--to determine

significant factors in each case. Doing that should prepare an officer to

quickly recognize situations that indicate an increased level of risk, such as

buildings with lightweight construction components or components that are

susceptible to sudden failure.

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Preparation for Incident Command, Continued

Critiques Participation in incident critiques should be an important part of the learning

process for everyone who responds to emergency incidents. Fire officers

should carefully review every incident in which they have been involved and

use each new experience to expand their personal risk evaluation skills.

Looking back--after having seen the outcome--at each significant incident

allows the participants to focus on the accuracy of their observations and their

analysis of the situation.

The learning experience in a critique can be shared by others who were not

involved in the incident or in the direction of the operation. One of the most

important values of a critique comes from the capacity to replay--in light of the

known outcome--the thought process that went into making strategic and

tactical decisions. Officers who were involved in the decision making process

should discuss what they saw and how they interpreted the situation, then

explain the decisions that were made based on that information. A critique

provides an opportunity for others to share the experience of using information

and observations to predict outcomes.

Observation Personal experience should also be supplemented by observing as many

incidents as possible. It is often revealing to stand back at a safe distance and

watch what is happening at an emergency scene. The “big picture” might be

quite different from the narrow perspective that is available to the participants,

who might be seeing only a small part of the situation. Monitoring radio

traffic also helps to compare visual observations with information reported

over the radio from different positions and vantage points. A fire officer

should also develop the skill to look for risk indicators in occupancies and

locations where they may have to respond at some time in the future. Pre-fire

plans should be developed for high risk occupancies, particularly where the

risk indicators are not easily recognized. An observant risk evaluator should

always be looking for indications of risk factors.

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108
Preparation for Incident Command, Continued

Observation (continued)

Some of the most important characteristics of fire behavior can often be

interpreted by observing the behavior of smoke and flames and their

relationship to the building. Visual clues may also provide important evidence

of structural weaknesses. The incident commander should try to establish the

command post at a location that provides a good view of a fire scene. If the

incident commander cannot make a personal 360 degree size-up, he or she

should assign personnel to make a full visual survey and report back to the

command post.

Practice The incident commander must have a well developed sense of the priorities

that will have to be applied to actual situations, based on actual incidents that

have occurred and on hypothetical situations that can be imagined or

predicted. Aspiring incident commanders should try to apply this value

system to situations that are likely to occur in the particular area where they

may be called upon to make those decisions. Working out situations in

advance can prove to be extremely valuable when the real situations have to be

confronted.

Investigations The investigation of accidents that occur during emergency operations is an

essential component of operational risk management, Those events:

illustrate the weaknesses of established approaches

identify areas in which improvements are needed.

Although some injuries are unavoidable, they should never be considered

acceptable. All injuries should be investigated. The results should be used to

reduce the probability of a reoccurrence. In fact, the primary purpose of any

safety investigation should always be to reduce the probability of future

accidents.

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Preparation for Incident Command, Continued

Investigations (continued)

Line of duty deaths must always be thoroughly investigated to determine the

cause and the steps that are necessary to absolutely keep it from happening

again, A fire department should be prepared to immediately launch a full scale

safety investigation when a death or injury occurs. (The Guide for the

Investigation of a Line of Duty Death, published by IAFC and the Standard

Protocol for an Autopsy for a Firefighter Line of Duty Death, published by

USFA, are recommended references.)

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Preparation for Incident Command, Continued

An example of The following section includes portions of a Major Fires Investigation Report

an investigative developed by the U.S. Fire Administration after a fire in Seattle claimed the

report lives of four firefighters on January 5, 1995. The Report demonstrates the

complexity of a major incident and the difficulties that can be encountered in

trying to identify, evaluate and manage the risks that might be present.

RISK ASSESSMENT

The importance of conducting fire suppression operations with a “risk management

approach” is emphasized in NFPA Standard 7500, the Standard for a Fire Department

Occupational Safety and Health Program. The application of the risk management concept to

this incident is particularly significant. The risk assessment must be based on a combination of

factors including a size-up of the structure and the fire conditions. The Incident Commander

seldom has complete knowledge of all the potential risk factors during the early stages of an

incident. Operations must often be initiated based on the best information that is available and

then adjusted as additional information is obtained.

The fire occurred in a building that was occupied by two operating businesses and was

reported by a tenant who detected smoke. The situation observed on arrival appeared to be

an exterior fire extending to the interior. The structure appeared to have many of the

characteristics of a heavy timber structure. These observations would support the initiation of

an interior attack. The initial strategic plan was an offensive attack, intended to keep the

exterior fire from penetrating into the building.

An east to west attack direction was identified by the first arriving officer and approved

by the Acting Deputy Chief who assumed command of the incident. Additional companies

were assigned to the west side to prevent extension of the fire and specifically directed to

avoid a conflict with the interior attack crews. The plan was effectively communicated to all of

the operating crews. At this stage of the operation, it was not known or suspected that that the

fire was actually in the basement or that the basement contained a structural element that

would result in a sudden floor collapse.

A pre-fire plan might have made the Incident Commander and other officers more

aware of the arrangement of the structure and could have resulted in earlier recognition of the

fire in the basement. It is questionable whether the “flaw” in the structure that resulted in a

sudden floor collapse would have been recognized when a pre-fire plan was developed.

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111
Preparation for Incident Command, Continued

An example of an investigative report (continued)

As the incident progressed, the attack plan appeared to be successful. The visible

exterior fire was controlled and there were no reports of significant interior involvement from

the attack crews. The fact that they had not encountered any significant fire involvement on

the ground floor was not reported, so it was assumed that the attack plan was working.

The main body of fire had been located in the basement, under the attack teams, by a

company assigned to the west side of the fire, but this information was not reported back to

the Incident Commander, because its significance was not recognized. This critical factor

could have caused the Incident Commander to evacuate the interior crews before the floor

collapsed under their feet.

Progress Reports - The Incident Commander often has to depend on progress

reports and information from other observers to evaluate the effectiveness of the attack plan.

One of the primary responsibilities of company officers and division or sector officers is to keep

the Incident Commander informed through regular progress reports. The Incident Commander

should be informed immediately of any factors that could impact on the overall strategy for the

incident, To evaluate interior progress, Division Supervisors must either go inside, where the

companies are operating, or depend on company officers to keep them informed with accurate

reports.

At this incident the assigned Division Supervisors did not transmit any progress reports,

positive or negative, to the Incident Commander. The company officers who were leading the

interior attack teams did not provide any progress reports or information on interior conditions

to their Division Supervisor, who was located outside the building. He could see that the

interior was heavily charged with smoke, but did not know that the companies were

encountering very little fire inside. He did not have any information to provide progress reports

to the Incident Commander and was not asked for a report.

The Division Supervisor on the west side saw the large fire in the basement, moments

before the collapse occurred, however, the significance of this observation was not recognized

and it was not reported. It was assumed that the Incident Commander knew about the fire in

the basement The presence of interior attack crews immediately above was not known to the

crews who found the fire.

In the absence of progress reports, the Incident Commander had to rely on other

indicators to evaluate the effectiveness of the attack plan. The exterior fire was knocked down

and there were no reports to suggest that the interior crews were having difficulties controlling

the fire. These observations suggested that the strategic plan was working. A progress report

from either Division Supervisor could have caused the other to recognize the inconsistency

and would have alerted the Incident Commander to the problem.

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112
Preparation for Incident Command, Continued

An example of an investigative report (continued)

Battalion Chiefs - The lack of progress reports appears to be related to the lack of

aides or assistants to support the Division Supervisors. The Battalion Chiefs, who are normally

assigned as Division Supervisors, do not have aides.

The Battalion Chiefs were overloaded, trying to direct operations and perform

accountability functions at the same time. Seattle uses a “passport” accountability system,

which requires a control point to be established outside the building, near each entry and exit

point. The Battalion Chiefs were performing this function, as well as trying to monitor two

separate radio channels. These responsibilities kept them outside, at secondary command

posts, where they had to rely on company officers to inform them of interior conditions.

A Battalion Chief would need a “partner” to be able to go inside the building and at

least one assistant to stay outside to perform the accountability function. This would require at

least two assistants to be assigned to each Battalion Chief.

Reconnaissance - It was difficult to visually size-up the situation from a single vantage

point. The configuration of the buildings made it difficult to interpret the interior arrangement

without a pre-fire plan or a 360 degree size-up. Differences in grade levels made it difficult to

lap all the way around the structure to determine the arrangement and access points.

The visible smoke and fire conditions were. difficult to relate to the actual location and

magnitude of the fire inside the structure. All except one of the companies and command

officers responding on the first alarm approached the fire from the same direction and all saw

the large volume of flames against the west wall of the structure. This observation was

interpreted as an exterior fire threatening to extend into the building.

The view from the Command Post was obstructed by trees and vegetation which made

it difficult to visually size-up the structure. The area where the fire was venting from the

basement to the exterior was below the street level and out of sight from the Command Post.

Operating Companies - The interior attack crews never encountered any significant

interior fire involvement on the upper level; they found only a few spot fires near the floor

which they quickly controlled. They did not realize the fire was in the basement, directly below

them, because the concrete floor prevented smoke and flames from penetrating through.

The initial conditions were heavy smoke and moderate heat, which was consistent with

their expectations. When rooftop ventilation was accomplished and the heated gases were

released, the interior atmosphere cooled, which is usually an indicator of good progress. They

believed that their efforts were successfully keeping the fire out of the building.

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Preparation for Incident Command, Continued

An example of an investigative report (continued)

Engine 5 could not advance the line out onto the roof, because of the electrical power

line that had dropped in their path. This kept them from closely examining the west wall of the

two story section, which would have allowed them to see that the visible fire was actually

venting out of the basement.

Engine 2 located the door into the fire area and determined that a large area of the

basement was heavily involved in fire. Because of the assignment they had been given, they

expected the attack crews to be pushing the fire toward them, so they prepared to defend their

position. They did not recognize that no one else was aware of the large interior fire or that the

interior crews were directly over it.

In retrospect, it can be determined that very different interpretations of the structure and

the fire were being made from different vantage points. The individuals making these

observations did not recognize the significance of their information to the Incident Commander.

This emphasizes the value of a complete 360 degree size-up of the fire scene, as early as

possible, by the Incident Commander or by an individual who can report in person to the

Incident Commander with a “full picture” of the scene.

114
Chapter Summary

Key points In this Chapter, we have discussed how to apply risk management principles

and practices to the planning, conduct, and evaluation of emergency response

operations.

Clearly, the nature of emergency response itself carries with it some degree of

inherent and unavoidable risk. Many of those risks can be readily identified

and evaluated. However, no incident should be considered routine. That is

why the presence of inherent risk only intensifies the need to implement sound

risk management strategies at every level of an emergency response

organization and before, during, and after every phase of emergency incident

operations.

Experience and reality-based training help an emergency response officer

develop the judgment incident command demands. Written policies and

standards provide risk management guidelines. Personal protective equipment

provides measurable margins of safety All that is true. Still, it takes diligent,

watchful, ongoing application of consistent safety-minded practices--during

every emergency response operation--to effectively reduce risk to acceptable

levels and afford all personnel the highest levels of protection possible.

115
116
Managing Information

117
118
Chapter Overview

Purpose The ability to assemble and process incident-related information is an essential

skill for people who direct emergency operations. This Chapter presents

several approaches to managing information to support operational risk

management.

In this Chapter This Chapter includes the following topics:

Topic See page...

 Chanter Overview 119

The Importance of Managing Information

Pre-Incident Planning and Preparation

120

121

Managing and Applying Information During Emergencies 130

Special Information Management Considerations 136

Chapter Summary 139

119
The Importance of Managing Information

Assessing risk

Two categories

of information

Risk assessment decisions have to be based on information about the risks that

are present and significant in each situation, so that the incident commander

can predict what is likely to happen. An individual who has accurate, timely,

reliable and complete information is in a much better position to evaluate risk

than one who is working with fragments of information and large quantities of

confusion. The incident commander seldom knows everything about a

situation at the beginning and sometimes does not find out about important

factors until the operation is over.

Information considerations for risk management fall into two interrelated

categories:

pre-fire (or pre-incident) planning and preparation

information management and application during emergencies

Pre-fire (or pre-incident) planning is a crucial component of the risk

management process Pre-fire planning activities are intended to gather, store

and retrieve information that will be valuable when a fire or other emergency

incident occurs.

What makes it so important? The two most important reasons to develop

pre-incident plans are to:

recognize hazards

compile pertinent information about those hazards that will help an incident

commander implement the risk management process.

The ability to acquire and manage information during an emergency incident is

an important component of incident management and operational risk

management. The incident commander’s ability to achieve a safe and desirable

outcome necessarily involves managing the risks that apply to each situation,

In order to successfully manage risk and many other aspects of the incident,

the incident commander needs to quickly and efficiently gather and process

information.

120
Pre-Incident Planning and Preparation

Introduction Pre-fire planning and hazard awareness activities can greatly improve the

ability of fire departments and other agencies to deal with operational risk.

The more that is known about a property before an incident occurs, the easier

it becomes to manage the incident and the related risk. An effective program

will allow responders--in advance of an incident--to:

recognize risks

fully evaluate them

develop appropriate tactical plans.

The goal of pre- Pre-fire plans are often developed to support effective tactical operations, but

incident their ability to provide hazard awareness information might be even more

planning significant. That is because, first and foremost, a pre-fire plan should inform

an incident commander of safety hazards. To do that, the information in the

plan has to be:

timely

accurate

accessible

Let’s look just a little closer at that third point, accessibility. Emergency

responders must be able to find the information they need when they need it.

What good is accurate information--made available on a timely basis--if it is

not also in a format readily accessible to those who need it the most?

Three steps in

pre-incident

planning

A pre-incident plan should make significant information available to the

incident commander when the incident occurs. The most critical information

relates to hazards that would be difficult or impossible to identify or evaluate

at the time of the incident. Prior awareness may be the only way to account

for these risks. Creating prior awareness takes three distinct steps:

gathering information

recording and storing information

retrieving and applying information

In addition, the information should be reviewed at regular intervals and

updated as necessary when changes occur.

Let’s discuss each step.

Continued on next page

121
Pre-Incident Planning and Preparation, Continued

Information

gathering

methods

The most common method of developing pre-fire plan information is to assign

the first-due company to gather information by touring target locations and

other structures whose features present potential problems (such as

lightweight truss construction). That approach serves the dual purpose of

providing an on-site familiarization tour along with the gathering of

information.

Other methods include:

assigning a special team or group within the fire department to develop prefire plans

entering information directly from information submitted for building,

occupancy

reviewing hazardous materials and special use permits

requiring building owners to submit plans in a specific format that meets the

requirements of the department. (Some cities have adopted ordinances that

require owners of high rise buildings and hazardous materials occupancies to

obtain fire department approval of detailed pre-fire plan guide books--

developed by licensed contractors in accordance with strict criteria.)

Whatever the method used, a standard format--such as the one that follows--

should be established to enter basic information about each location and

particular facts that apply to certain categories of buildings or occupancies.

Continued on next page

122
Pre-Incident Planning and Preparation, Continued

Example of a Pre-Fire Plan Form

General Information

Name of Occupancy

Response: Initial:

Access Considerations:

Hydrant Locations: N

Key Box Location:

Fire Command Center:

Contact: Position

Address

Working

S E W

Utility Shut-off Location

Phone

Specific Information: Scope

Size of Occupancy:

Height:

Occupancy

Classification:

Fire Flow Required:

Stories: Length: Total Area:

Rating:

25% 50% 100%

Construction: Materials used: (1-4)

Type: Rating:

Fire Spread Concerns:

Frame: Support:

Occupancy Risk:

Specific Concerns:

Protection (Built-in)

Detection/Alarm:

Sprinkler Protection Pump:

Stand Pipe Coverage:

Fire Doors:

Ventilation Systems:

Rated Assemblies:

Other Considerations

Panel Location:

Control Room:

123
Pre-Incident Planning and Preparation, Continued

Example of a Pre-Fire Plan Form (Continued)

Exposures:

Life:

Exterior:

Interior:

Special Hazards:

Environmental:

Weather Factors:

Other Information:

Date of Pre-Fire Plan: By:

Date of Occupancy Sketch (See reverse side): By:

Continued on next page

124
Pre-Incident Planning and Preparation, Continued

The objective of The objective of every pre-incident site visit should be to gather and organize

site visits as much information as possible about the locations where incidents might

occur, particularly properties known to be complicated or hazardous.

Any information--for example, NFPA 704, Standard on Fire Hazard

Materials--that would make an incident commander aware of a hazardous

situation, should be considered important That is particularly true if the

information would not be readily apparent or easily identified during an

incident

The value of site Fire suppression companies should regularly visit occupancies in their response

visits areas to identify hazards and plan effective operations. Why? A pre-fire

planning visit makes it possible--before an emergency occurs--to detect,

evaluate, and record all types of hazards found at that site.

Examples:

The presence of construction components that are susceptible to sudden

failure, such as lightweight wood truss roof and floor assemblies, should be

prominently noted.

Unusual occupancy characteristics, such as hazardous materials storage or

open shafts should be identified to alert responding companies and inform the

incident commander of the hazards that are likely to be present.

In addition, familiarization visits allow a potential incident commander to

update the recorded information and consider specific risks and the potential

benefits of different strategies that might be employed if an incident were to

occur at the location.

In the same way, officers should review pre-fire plan information from time to

time, as a training exercise, to become familiar with the documented

information and to ensure that it is routinely updated to reflect any changes

that have occurred.

Continued on next page

125
Pre-Incident Planning and Preparation, Continued

Storage, Over the years, fire departments have developed many different systems with

processing, and which they gather and store pre-fire plan information. In many cases, the

retrieval of information processing system has been structured around the capabilities of

information:

system options

the hardware and software that happens to be available, rather than designing a

system to meet specific needs. Many departments still rely on traditional

paper-based systems. In recent years, though, information technology has

made remarkable advances and significantly improved departments’ gathering ,

storage and retrieval capabilities.

Paper-based

systems

Some systems are based entirely on paper maps, diagrams and printed

information. Frequently, information is kept in three-ring binders and carried

in the cabs of fire apparatus. Other departments maintain filing cabinets in fire

stations or communication centers. Some systems place pertinent information

on the premises where an incident might occur. There it can be accessed by

units when they arrive at the scene of a call. Storing a pre-fire plan on the

premises is particularly useful for occupancies such as high rise buildings that

have complex alarm and fire suppression systems

Obviously, the effectiveness of a paper-based system is limited by the ability to

organize, store and retrieve information on paper.

Continued on next page

126
Pre-Incident Planning and Preparation, Continued

Moving away

from paperbased systems

A second type of system uses more efficient information storage, such as

microfiche readers that can store photographic images of tens of thousands of

pages of information in a small space. Transferring information from paper to

micro-fiche is unavoidably labor-intensive, and retrieval systems and

equipment are relatively delicate. Despite those potential drawbacks, microfiche systems are extremely valuable when used in support of large scale

operations in a high density urban environment, With a micro-fiche reader, an

incident commander in a mobile command post vehicle can access enormous

amounts of vital information.

Examples:

Block-by-block aerial photographs of a city

Hydrant and sewer maps of each block and adjacent area

Footprint and floor-plan drawings of individual buildings.

Typewritten supplementary information about:

buildings

occupancies

specific processes

special hazards

Continued on next page

127
Pre-Incident Planning and Preparation, Continued

Applications of Advancements in technology have made it easier to store and process vast

advanced amounts of pre-fire planning information as electronic images in computer

information systems. It is now possible to store tens of thousands of pages on electronic

technology media such as CD-ROM disks. The same two practical limitations that have

affected the use of earlier technologies such as micro-fiche have an impact on

electronic storage systems as well. They are:

the effort required to gather and organize the information

the availability of the appropriate hardware to retrieve it.

Several systems have been developed as components of computer aided

dispatch (CAD) systems to automatically retrieve information associated with

a specific address when a team is dispatched to an incident at that location.

Capabilities currently existing range from New York City’s system--which can

print out a few lines to alert responding companies of specific hazards

associated with each address--to the system in Fairfax County, Virginia, which

can store several pages of text information and line drawings in a CAD system

accessible from mobile digital terminals.

The newest versions of mobile digital terminals have significantly increased

capabilities to store graphic and text information and can be coupled to

CD-ROM units that can store thousands of plans.

Continued on next page

128
Pre-Incident Planning and Preparation, Continued

Factors that The purpose of pre-fire planning is to put information in the hands of an

drive gathering, incident commander. Choices among gathering, storage, and retrieval systems

storage, and must always be made with that purpose in mind.

retrieval

decisions One of the most important considerations in entering and managing

information should be the easy retrieval of the information when it is needed to

support an incident commander’s planning and risk assessment priorities. The

system should:

be readily available

be easy to use

be accurate

clearly emphasize the most critical factors.

Examples:

If explosives are stored in a building, the basic, drawing should include a

prominent notice of that hazard. The incident commander should not have to

look in a text page under “contents” to make that determination.

If a warehouse is used to store iron pipe fittings, that “low-risk” factor can be

noted in the secondary information pages.

If a building’s construction incorporates an unprotected lightweight wood

truss roof, that should be prominently noted in a manner that draws the user’s

attention.

Effective use of Graphics presentations should use standard symbols and color coding to

graphics convey important information efficiently. Information that is less timesensitive might be accessed by referencing text pages. Drawings should

provide enough information to support operational needs. They should be

“user friendly.” More detailed drawings and information, less likely to be

critical during an incident can be documented as secondary reference

information.

129
Managing and Applying Information During Emergencies

Introduction An effective pre-fire plan system must be capable of putting the significant

information at an incident commander’s disposal when an incident occurs. The

dispatch system should inform responding units when there is a pre-fire plan

available for an occupancy and the records management system should make

the information immediately available.

Early command The principles of incident management emphasize the need for one person to

be in overall command of every incident, from beginning to end, although the

identity of that individual might change during the incident.

If action takes place before command is established, an incident commander

has to start the process from behind to try to catch up with the situation. To

evaluate exposure to risks, an incident commander must know where

companies are operating and what they are doing. An incident commander

who has to start up the command process after all the first alarm units are

committed is likely to spend the most critical decision-making time just trying

to figure out who is where doing what.

A delay in establishing command adds risk to a situation because it interferes

with the prompt identification, evaluation and processing of the risk factors.

Risks that have not been identified cannot be evaluated or managed. When

effective command is initiated from the outset of operations, an incident

commander should have effective control over all the action taking place and

should be in a better position to focus on evaluating risks. When the identity

of the incident commander changes, an orderly transfer of command process

ensures that continuity of information is maintained. For that reason, the

officer assuming command responsibility for an incident will, in many cases,

keep the previous incident commander involved at the command post for that

exact purpose.

Continued on next page

130
Managing and Applying Information During Emergencies,

Continued

The

management

process

structures the

flow of

information

The incident management process is also intended to structure the flow of

information--up, down and through the entire chain of command. Company

officers and sector/group/division supervisors move information up the chain

of command, just as they move orders and instructions down the chain of

command. Effective communications are essential to make the system work.

Officers at different levels in the organization routinely make risk evaluation

and risk management decisions within the scope of their responsibilities.

Those decisions must be coordinated with the strategic plan that is directed by

the incident commander. They must also be coordinated with other units,

when the recognized risks may impact on their tactics.

Although an incident management structure is intended to facilitate risk

management and information flow, it can have the opposite effect if the

officers assigned to supervise different areas focus entirely on their own

specific assignments or functions and consequently fail to fulfill their

responsibilities for coordinating actions with other groups. Coordinating

between activities is often as important as supervision over individual

functions. Supervisors must pay attention to what is happening around them

as well as what is happening under their direct supervision.

Continued on next page

131
Managing and Applying Information During Emergencies,

Continued

Consequences

of failure

The failure to communicate significant information up and down the incident

management structure is one of the most common breakdowns that leads to

firefighter injuries and fatalities. Post-incident analysis of fatal incidents often

reveals that critical observations were made by individuals on the scene, but

the information was not effectively communicated. In many cases, the

individual who had the information did not recognize its significance or realize

that it was not known by the incident commander. In other cases, the

information would only have been significant if its inconsistency with

information coming from a different vantage point had been realized. I f

neither observer reports their observations, the inconsistency is unlikely to be

recognized.

Example:

In several incidents, groups of firefighters have died when floors gave way

under them while they were searching for, or trying to extinguish, fires on one

floor level when the main body of fire was actually on the level below them. In

some cases, other crews were working on the lower floor level, aware of the

fire, but unaware that crews were working directly above the fire. At some

incidents, individual firefighters noted factors that indicated the fire was below

them--such as a very hot floor or small fires breaking out at the floor level--but

did not recognize the significance of their observations until after the incident.

Deaths might have been avoided if information had been communicated in a

manner that caused the incident commander to recognize the situation and

remove the crews who were operating directly over the fire.

Continued on next page

132
Managing and Applying Information During Emergencies,

Continued

Command

support staff

Risk management responsibilities might be compromised if officers within the

incident command structure do not have anyone to assist them with support

functions, including information management.

An officer responsible for supervising an area or function must be aware of

tactical activities taking place in that area as well as the risk factors present.

An officer who is preoccupied with managing information and resources could

lose track of the actual activities occurring within his or her areas of

responsibility. That might become a problem for the incident commander as

well as for supervisors at other levels of the incident management structure.

Information management is recognized as an important component of incident

command.

An incident commander should have one or more assistants at the command

post to assist in managing information and handling communications. In the

“fully expanded” ICS and IMS systems specific responsibilities are defined for

information management units (notably RES-STAT for maintaining resource

status information and SIT-STAT for maintaining information related to the

situation).

A sector officer often requires one or more staff assistants to help keep track

of information (including accountability tracking) and to ensure that effective

communications are maintained with the incident command. A standard

system for managing information at a command post or within a sector is an

important component of an effective incident management system.

Continued on next page

133
Managing and Applying Information During Emergencies,

Continued

Providing

support

In many fire departments, the responsibility for supporting the incident

commander and sector officers used to be assigned to chiefs’ aides who acted

as both chauffeurs and staff assistants for chief officers. Budget constraints

(and the image of an officer being chauffeured) have caused many fire

departments to eliminate this position. A variety of other approaches have

been developed to provide an equivalent capability to support command

officers at the scene of an incident.

One option is to dispatch additional command officers to working incidents to

assemble a command support staff who can effectively manage incidents.

Some departments routinely dispatch as many as four chief officers to working

one-alarm fires to fill pre-designated staff positions, including safety officer.

They may be supplemented by a special command post vehicle that responds

with its own crew to perform command support and information management

functions.

Another option is to train and dispatch pre-designated companies to perform

this function at working incidents.

Command To control the information necessary to manage an incident, fire departments

support systems should use systematic approaches, including:

standardized tactical reference worksheets

status boards

accountability tracking systems

A standard approach allows for incidents to be expanded or contracted, for

command to be transferred, and for the command structure to be adjusted,

without losing track of important information.

Continued on next page

134
Managing and Applying Information During Emergencies,

Continued

System design

considerations

All forms and systems should be designed for upward integration so that

information developed early can be easily incorporated into an expanding

command support system if the incident grows.

Information management systems should be user-friendly and should use color

and format to visually assist the user in organizing information. Forms and

worksheets can be designed to provide reminders and guide the user through

complex situations, with check boxes to indicate that functions have been

addressed and blanks to fill in information. Where appropriate, forms should

include spaces for drawn-in diagrams and sketches or for pre-printed plans,

maps, data sheets or printouts from computer systems. The walls of command

post vehicles should be set up to locate the same information in the same place

every time with “free form” space left for unusual information that could be

important for unusual incidents.

All components of an information management system should fit together.

Sector officers should have clipboards with grease pencils or writing

instruments that can be used outdoors, regardless of the weather. When

passport accountability systems are used, individual name tags should fit onto

company or team boards, the company boards should fit onto sector boards

and there should be designated spaces on the walls of command post vehicles

to mount the sector boards. If information is stored in computers, it should be

formatted to print out in a format that is compatible with other forms and

worksheets.

Forms and worksheets should provide a record of an incident that will be

valuable for critiques and analysis. Even so, the first priority should be to

assist command officers and company officers in managing incidents. The

officer who concentrates on filling out forms perfectly might fall into the trap

of failing to manage the incident or the risks.

135
Special Information Management Considerations

Hazardous

materials

Fire departments should require occupancies that process, store or use

hazardous materials might be required to submit inventory information and

material safety data sheets (MSDS). Fire departments should have systems

that make such information immediately available to units responding to a

reported incident at that location. Pre-incident information should include:

where hazardous materials will be found

how it is stored

how much of it is stored or used

how it should be handled.

The information should also include:

appropriate emergency actions

personal protective clothing and equipment requirements

evacuation requirementsand distances

any other information that would be significant in the event of an emergency.

One of the advantages of pre-incident planning is that it provides for all the

time needed to fully research a situation before it occurs, Instead of

attempting to obtain and interpret information about a hazardous material that

is already involved in an active incident, the research can be conducted in

cooperation with the party responsible for the premises and with access to

every available expert and source of information, A fire department might not

be able to anticipate every situation that can occur with hazardous materials,

but it should be able to assemble enough information to be prepared for most

incidents that occur in fixed facilities.

Continued on next page

136
Special Information Management Considerations, Continued

Technical Advance planning and practice can increase the safety of all types of technical

rescue planning rescue operations. Although such incidents can present many complex and

unpredictable challenges, some factors are predictable. Standard operating

procedures should be developed for specific types of operations and their

application should be incorporated in pre-incident plans for location where

those incidents can be anticipated.

Particular attention should be directed toward locations where the potential

need for technical rescue operations can be anticipated. Such sites include:

major construction sites

bridges and tunnels

popular recreational climbing areas

swift water boating areas

It is also possible to develop a standard operating procedure for a specific type

of technical rescue incident that can be applied at any location. A standard

operating procedure is a generic pre-incident plan, which is applicable or

adaptable to a variety of situations.

Confined spaces Occupancies where workers occasionally enter areas or equipment that meets

the definition of a confined space are required to make provisions for rescue.

In addition, they must make the location available to the designated rescue

team for familiarization and training. Confined space entry certificates are

required for entrants and will provide essential information about the space

and the hazards, When a fire department is made aware of this type of hazard,

the full procedure that would be used for entry into the confined space should

be researched, planned, documented and practiced. The rescue plan should be

regularly reviewed for training purposes by the companies that would be

expected to respond to the location.

In January, 1993, the Occupational Safety and Health Administration (OSHA)

issued its final rule on confined space safety--1910.146. The regulation affects

fire departments that respond to confined space incidents.

Continued on next page

137
Special Information Management Considerations, Continued

Arson

intelligence

One of the most difficult problems for fire departments is how to deal with

information related to arson threats. It would be difficult to justify

withholding this information from the fire suppression forces, because advance

notice could allow them to identify hazards and avoid unnecessary risk if an

anticipated fire actually occurs. In most cases, the appropriate action would

be to try to prevent the arsonist from starting the fire to avoid the risk of

deaths or injuries and the resulting destruction. Sometimes the increased

presence of fire department units conducting pre-fire planning sufficiently

deters and discourages an arsonist.

In some special cases, the appropriate law enforcement tactic might be to

establish surveillance over the property in an effort to capture the arsonist in

the act. That is particularly true when the information is confidential and the

case is part of a major conspiracy. When that happens, fire suppression units

that would respond to the location should be advised of the threat and the

surveillance. They should review all available pre-fire plan information. A

determination would have to be made if their presence at the location to

develop a pre-fire plan would jeopardize the investigation. That is a special

form of risk management decision that would occur in advance of a fire.

138
Chapter Summary

Key points To be effective, risk management decisions must be based on accurate, timely,

and complete information about hazards that are present and significant.

Fire departments should design and implement management information

systems that enable:

pre-incident planning

on-site incident risk management

Paper-based systems can be effective, but modern information technology is

rapidly developing more efficient and more effective ways, such as electronic

storage and retrieval systems that provide incident commanders with

information that helps them recognize, evaluate, and control risks during

emergencies.

Communication up, down, and across the incident chain of command is

essential to make maximum use of all available information, facilitate the risk

management process, and prevent loss and injury.

Incident commanders must be aware at all times of special circumstances and

conditions at each emergency location that could affect risk management

decisions.

139
140
Appendix

141
142
Organizations and Sources Providing Risk Management

Information

American Society of Safety Engineers

1800 E. Oakton Street

Des Plaines, IL 60018

Emergency Services Insurance Program

McNeil Building

17-29 Main Street

P.O. Box 5670

Cortland, NY 13045

Fire Department Safety Officers Association

P.O. Box 149

Ashland, MA 01721

International Association of Fire Chiefs

4025 Fair Ridge Drive

Fairfax, VA 22033

International Association of Fire Fighters

Occupational Safety and Health Department

1750 New York Avenue, N.W.

Washington, DC 20006

Justice Institute of B.C. Fire Academy

4198 West 4th Avenue

Vancouver, British Columbia, V6R 4K1, Canada

Learning Resource Center

National Emergency Training Center

16825 South Seton Avenue

Emmitsburg, MD 21727

National Fire Academy

16825 South Seton Avenue

Emmitsburg, MD 21727

Continued on next page

143
Organizations and Sources Providing Risk Management

Information, Continued

National Fire Protection Association

Batterymarch Park

P.O. Box 9101

Quincy, MA 02269

National Institute for Occupational Safety and Health

Appalachian Laboratory for Occupational Safety and Health

944 Chestnut Ridge Road

Morgantown, WV 36505

National Safety Council

444 N. Michigan Avenue

Chicago, IL 60611

Occupational Safety and Health Administration

Publication Information (202) 219-9631

Public Information (202) 219-8151

(or contact your local or regional office)

Public Risk Management Association

1117 N. 19th Street

Suite 900

Arlington, VA 22209

Risk and Insurance Management Society, Inc.

655 Third Avenue

New York, NY 10017-5637

United States Fire Administration

16825 South Seton Avenue

Emmitsburg, MD 21727

Volunteer Firemen’s Insurance Services, Inc.

P.O. Box 2726

York, PA 17405

144
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Continued on next page

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Select Bibliography, Continued

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146