exploring leadership styles of first responders and
TRANSCRIPT
Exploring Leadership Styles of First Responders and Response Time during
Hurricane Ike
Dissertation
Submitted to Northcentral University
Graduate Faculty of the School of Business and Technology Management
in Partial Fulfillment of the
Requirements for the Degree of
DOCTOR OF BUSINESS ADMINISTRATION
by
RAYMOND E. STEPHENS
Prescott Valley, Arizona
April 2013
Copyright 2013
Raymond E Stephens
APPROVAL PAGE
Exploring Leadership Styles of First Responders and Response Time during
Hurricane Ike
by
Raymond E Stephens
Approved by:
_______________________________________________ ________________
Chair: Dr. Kenneth Gossett, Ph.D. Date
Member: Dr. Joseph DiRenzo, Ph.D.
Certified by:
_______________________________________________ ________________
School Dean: A. Lee Smith, Ph.D. Date
Abstract
Modern emergency managers and leaders face extraordinary challenges in the need to
increasingly prepare for and respond to disasters as members of partnerships and
networks. Leadership development can directly affect an organizations ability to perform
at its best. The problem addressed in the current study was that first responders, leaders,
and support agencies do not respond appropriately to hurricanes because of the leadership
styles employed which can result in the unnecessary loss of life, property, and livelihood
of thousands of the affected population. This research was a qualitative single-case study
utilizing 20 police, firefighters, and emergency personnel in Galveston, Texas who
participated in a two-week study using questionnaires. Results indicated that participants
chose a transformational style of leadership over other leadership models. Although prior
research indicated that situational leadership model may be the best model for crisis
situations survey responses indicated that it was the second choice after transformational
leadership traits. The respondents did indicate that Laissez-faire leadership styles were
not a desired style for crisis management. Findings also showed a perception of a lack of
willingness of senior community leaders to discuss issues with first responder issues.
Recommendations included: local leadership need to develop a leadership-training
program for all levels of employees, other similar communities should be contacted so
that leadership can learn from their past successes and failures, equipment and personal
support for first responders should be a priority during hurricanes, and city officials and
first responders should conduct training to enhance their ability to quickly and efficiently
respond to the next hurricane or major crisis. Future research involving leadership during
times of crisis should be addressed so response times and results can be improved.
Acknowledgements
Thank you for the love and support from my wife Jodie, and children Gunnar,
Gage, and Lauren. This journey has taken many years and if was not for many of my
former commanding officers in the United States Marine Corps and my family I would
have not finished this journey. Enough cannot be said about the guidance and help that I
have received from Dr. Kenneth Gossett. You are one great mentor! Thank you to Dr.
DiRenzo for all of your help in making me in this achievement.
Table of Contents
List of Tables .......................................................................................................................x
Chapter 1: Introduction ........................................................................................................1
Background ....................................................................................................................3
Problem Statement .........................................................................................................5
Purpose of the Study ......................................................................................................6
Theoretical Framework ..................................................................................................7
Research Questions ........................................................................................................8
Nature of the Study ........................................................................................................9
Significance of the Study .............................................................................................10
Definition of Key Terms ..............................................................................................11
Summary ......................................................................................................................15
Chapter 2: Literature Review .............................................................................................17
Leadership Types .........................................................................................................20
Leaders Versus Managers ............................................................................................24
Crisis Leadership .........................................................................................................26
Crisis Situations, Criticality of Response Time, and the Golden Hour .......................30
Hurricanes ....................................................................................................................34
Support Agency Challenges .........................................................................................35
Ineffective Leadership Styles and Organizational Culture for Crisis Management ....42
Effective Leadership Styles and Organizational Culture for Crisis Management .......47
Summary ......................................................................................................................63
Chapter 3: Research Method ..............................................................................................68
Research Method and Design ......................................................................................71
Participants ...................................................................................................................74
Materials/Instruments ..................................................................................................75
Data Collection, Processing, and Analysis ..................................................................77
Methodological Assumptions, Limitations, and Delimitations ...................................86
Ethical Assurances .......................................................................................................88
Summary ......................................................................................................................89
Chapter 4: Findings ............................................................................................................91
Results ..........................................................................................................................91
Evaluation of Findings ...............................................................................................107
Summary ....................................................................................................................111
Chapter 5: Implications, Recommendations, and Conclusions .......................................114
Implications................................................................................................................115
Recommendations ......................................................................................................121
Conclusion .................................................................................................................126
References ........................................................................................................................129
Appendixes ......................................................................................................................143
Appendix A: Letter to Participants ...........................................................................144
Appendix B: Informed Consent Form ......................................................................145
Appendix C: Survey Questions .................................................................................146
List of Tables
Table 1. Survey Participants by Years of Experience and Level of Education ................ 93
Table 2. Leadership Styles of Police Officers .................................................................. 94
Table 3. Leadership Styles of Firefighters ........................................................................ 97
Table 4. Leadership Styles of Emergency Personnel and Leadership ............................ 100
Table 5. Culture and Leadership Styles and how they affect Operations Positively ...... 104
Table 6. Culture and Leadership Styles and how they affect Operations Negatively .... 105
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Chapter 1: Introduction
The lack of leadership at numerous levels of government to formulate an effective
disaster management plan has cost lives, prolonged suffering, and left Americans
justifiably concerned that the government is no better prepared to protect its people now
than it was before September 11, 2001 (Davis, 2006). Since 2007, many investigations
have been conducted to determine how to prevent the mistakes that leaders and response
agencies had during previous hurricanes (Davis, 2006). The failure of leadership by
many local and state organizations during previous hurricanes such as Katrina often did
not result from the actions of first responders, but occurred due to a set of organizational
leadership errors that led to a downward spiral of destruction for residents of the city of
New Orleans (Davis, 2006).
Resilience, tolerance of ambiguity, and charisma help determine a leader’s ability
to endure a crisis. According to Lengnick-Hall (2003), the term resilience means "growth
or adoption though disruption rather than just to recover or bounce back". Likewise,
Lengnick-Hall (2003) suggests that resilience "includes the ability to turn challenges into
opportunities" and to "more than bounce back from the edge of catastrophe...to move
forward with even greater vigor and success than before". A consensus among these
definitions implies that those with resilience to deal with crisis will inevitably turn
adverse situations into challenges for individual or organizational growth. The challenge
may lead to a positive outcome. In a crisis, individuals' interpretation of the complexity
or nature of the crisis may vary depending upon perceptions, experiences, or sets of
events within the organization (Hunter, 2006). Thus, organizational leaders' tolerance of
ambiguity may vary upon one's interpretation of a particular event.
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The resilience of individuals in crisis can be vital to saving lives and limiting
damage (Hunter, 2006). The manner in which employees and other constituents
demonstrate resilience in a crisis is affected by the behavior of the organizational leader
(Hunter, 2006). Although there is minimal empirical research directly linking resilience
and leadership, several theories have been developed linking the two (Hunter, 2006).
Luthans and Avolio (2003) contend that the capacity for resilience is an important
component of authentic leadership development. Dumdum (2002) found support in a
meta-analysis study that transformational leadership behaviors maybe positively related
to subordinate resilience. Transformational leaders can convert a crisis into an
"intellectual stimulation promoting subordinates' thoughtful, creative, adaptive solutions
to stressful conditions, rather than hasty, defensive, maladaptive ones (Bass, 1990).
Based upon the definition of resilience, Bass suggests that the transformational leader
may encourage resilience through the opportunity for growth during crisis.
For transformational leadership to work, those at the top of the command
structure (elected and unelected) must be committed to the transformation (Lester, 2007).
This means that the president, governors, congress, and state legislatures must be on
board (Lester, 2007). Otherwise, the important procedures and decisions should be
worked out while the disaster unfolds. The leadership of the various levels involved will
want to exercise their authority during these situations (Lester, 2007). Considering the
various type of crisis, one must acknowledge that each crisis will require a different
leadership response. For example, a crisis leader in a product recall situation will
demonstrate different leadership skills than a leader in a natural disaster situation.
Similarly, a crisis leader will deal with workplace violence differently than one handling
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employee sabotage. As situations change, leaders must modify their approach in handling
the situation. The need to identify which type or combination leadership style that is
most effective during crisis is important as it will help in the development of stronger and
more effective leaders in the future.
Background
Crises result from natural and human made disasters, catastrophes, revolutions,
and rapidly changing emergencies (Farazmand, 2009). To prepare for disaster
management, federal, state, and local government employees, along with members of the
private sector, spend millions of dollars annually on university leadership courses,
executive development programs, and off-site retreats for mid-level and senior managers.
Despite this, leadership is still considered the weakest link in emergency management
(Kramer, 2007). Ineffective leadership has plagued the emergency management
community for years. The rapid pace of change in the world today includes everything
from advancements in technology, workforce diversity and product preferences by
organizations and communities (Jones, 2010). Ensuring communities are prepared to
deal with disasters is one of the many tasks that emergency managers are given
(Sommers & Svara, 2009).
Leaders in emergency management must have the ability to respond to
unpredictability while blending responsiveness with elected officials and careful
delineation of responsibility in handling emergencies (Sommers & Svara, 2009).
Because of the emergency management process and numerous leadership failures during
Hurricane Katrina, federal, state, and local government officials were promoted to devise
new methods of preparing for disasters, train new leaders and involve all levels of
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emergency responses. Not all agencies failed during Hurricane Katrina. For example,
the U.S. Coast Guard was praised as one of the most effective factors in reducing the loss
of life in the aftermath of the Hurricane. Following Hurricane Katrina, Hurricane Ike was
the first major hurricane to make landfall during which the implementation of new
leadership practices influenced the success or failure of responses and recovery efforts.
Exploring leaders’ successes and failures during Hurricane Ike helped identify the
weaknesses and strengths within local levels of government and private sector employees
to prepare for future disasters.
Identifying what type of leadership style is most effective for emergency
management is a fundamental part of fixing the problems associated with emergencies
(Crawford, 2005). Transformational leaders, rather than transactional, or laissez-faire
leaders are believed to be best suited to handle emergencies (Bass, 1990; Crawford,
2005). A number of factors contribute to the disinterest in emergency management
activities. Unfortunately, many emergency managers focus on matters deemed to be of a
higher priority when in fact are not at the time of the crisis (Sommers & Syara, 2009).
Many of the managers have a low perception of risk and have attended too few
emergency management courses in mainstream public administration, curriculum, and
training (Sommers & Svara, 2009). Other factors include the low priority assigned to
emergency management by the public and elected officials, the low prestige of
emergency managers in their communities, and a lack of resources and staffing for
emergency preparedness functions (Sommers & Svara, 2009).
Leadership issues are also applicable to the private sector. Emergency
management officials cannot succeed without the support and assistance of local leaders
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and businesses within the affected communities (Naime & Montgomery, 2006). It is
common practice for agents of the hundreds of agencies responsible for disaster recovery
to do business in a traditional way by following a pre-disaster contingency plan (Naime
& Montgomery, 2006). Private sector and business leaders need to have access to
advanced methods and leadership roles during emergencies so that they do not rely on
pre-disaster policies as they would have in the past (Naime & Montgomery, 2006).
Problem Statement
The problem addressed in this study was that first responders, leaders, and support
agencies do not respond appropriately to natural disasters because of the leadership styles
employed or utilized by their managers or supervisors which can result in the
unnecessary loss of life, property, and livelihood of thousands of the affected population
(Anderle, Mitchell, Nastally, Sarver & Owens 2009; Burby, 2006). It is estimated that
Hurricane Katrina cost over $600 billion and Hurricane Ike is at $ 22 billion in losses
(Anderle, Mitchell, Nastally, Sarver & Owens 2009; Burby, 2006). The leadership
development program of many organizations not only affects the performance of their
duties but also has a fiscal impact (Hayward, 2011). Leadership in emergency
management operations go far beyond search and rescue, medical care, shelter and
feeding and restoring lifelines (Waugh & Streib, 2006). Emergency management
leadership includes mitigation of risks to prevent or lessen the impact of the disaster,
emergency planning and training, and search and rescue missions, restoring lifeline and
basic services (Waugh & Streib, 2006). Many leaders still do not comprehend both the
emergency manager’s role and the emergency response role of emergency personnel
(Waugh & Streib, 2006). Identifying what type of leader style is more effective during
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times of crisis will help communities during future natural disasters. The most common
types of leaders are (a) laissez-faire, (b) transactional, and (c) transformational (Bass,
1990: Bennis, 1993). Leadership development can directly affect an organizations ability
to perform at its best (Bradford, 2011). Without understanding the effective leadership
styles of first responders many of the same issues may lead to continued leadership
failures and negative impact on populations affected by these natural disasters.
Purpose of the Study
The purpose of this qualitative single-case study was to explore the leadership
styles of first responders and the organizational culture of police officers, firefighters, and
emergency personnel in Galveston, Texas who conducted successful recovery operations
during Hurricane Ike. During crisis situations it is almost always the police, firefighters
and emergency personnel that respond first. In each scenario each one of these
organizations must deal with different situations that often required a certain leadership
level. This leadership level is either natural or developed by a leadership program or
organizational atmosphere. The type and style of leadership directly affects the
performance of the individuals, peers, or subordinates in all of these organizations and
their performance in crisis situations. A qualitative single-case study was appropriate for
the research study and the design was utilized to represent Hurricane Ike in Galveston,
Texas, with a sample of 20 participants. The unit of analysis consisted of emergency
response organizations in Galveston, Texas.
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Theoretical Framework
To prepare for future emergencies, lapses in leadership traits, including leadership
types, ineffective and effective leadership styles and organizational culture during times
of crisis management, and support agency failures, need to be explored (Kapucu,
Augustin, & Garayev, 2009). Decades of academic analysis has led to more than 350
definitions of leadership and leadership styles (Jones, 2010). Disasters need to be
addressed with additional leadership capabilities because extreme events can overwhelm
local capabilities and damage emergency response systems (Naim & Montgomery, 2006).
Therefore, leaders at all levels must adapt and rebuild the response system, even while
they are addressing the pressing needs of a disaster (Naim & Montgomery, 2006).
Leadership expert Bennis (2000) believed that leadership has three major contexts
that include (a) commitment, (b) complexity, and (c) credibility (Bennis, 2000). Leaders
can minimize or maximize the effects of the trigger event(s) by their actions and
competence in dealing with an especially difficult set of overlapping and, frequently,
inconsistent tasks (Naim & Montgomery, 2006). Poor leaders who lack the critical
competencies required in extreme conditions can maximize catastrophic events.
Disasters in the Gulf Coast have shown that some leaders and members of local
government and private businesses are lacking in contingency planning. It is important to
note that not all agencies are lacking. The maritime community has incorporated the
Maritime Transportation Security Act of 2002 and the S.A.F.E. Port Act of 2006 to have
contingency plans for all disaster types. The problem is that many other agencies and
government groups do have these contingency plans. There are two versions of
contingency planning. The first is framed to assure business continuity in the face of
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some man-made or natural disaster (Simpkins, 2009). Another form of contingency
planning is uncertainty planning and is more relevant to Hurricane Ike and other disasters
(Simpkins, 2009). In contingency planning, the various issues associated with emergency
response operations are considered to minimize the loss of life and disruption of daily
activities once the disaster has ended (Simpkins, 2009).
Little research has been conducted on the role of leaders during disasters prior to
the September 11, 2001, terrorist attacks and hurricanes such as Hurricane Katrina.
Common leadership qualities for emergency managers include negotiation, facilitation,
and consensus building (Danczyk, 2008). Leadership qualities include knowledge,
human characteristics, personal actions, interpersonal relations, and management skill
sets (Danczyk, 2008). Many important qualities are learned during fieldwork such as
actually participating in a crisis prior to being placed in charge of future operations
(Danczyk, 2008). Many leaders responsible for emergency preparedness operations are
not experienced in the field (Danczyk, 2008). Leaders must translate their intentions into
reality; without this, leadership cannot lead (Bennis, 2000). The qualities previously
mentioned assist the leader to make an informed decision and assist with the expression
of intention.
Research Questions
Many leaders still do not comprehend both the emergency manager’s role and the
emergency response role of emergency personnel. The type and style of leadership
directly affects the performance of the individuals, peers, or subordinates in all of these
organizations and their performance in crisis situations. During crisis situations it is
almost always the police, firefighters and emergency personnel that respond first. In this
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qualitative single-case study the leadership styles and culture of police officers,
firefighters, and emergency personnel in Galveston, Texas, who conducted response and
recovery operations during Hurricane Ike, was explored. By addressing these questions a
foundation of understanding about leadership styles and the organizational culture used
during response and recovery operations during Hurricane Ike established a
recommended leadership style that can be used for future hurricane mitigation. The
guiding research questions are as follows:
Q1. What were the predominant leadership styles that were used by police
officers during Hurricane Ike?
Q2. What were the predominant leadership styles that were used by firefighters
during Hurricane Ike?
Q3. What were the predominant leadership styles that were used by emergency
personnel during Hurricane Ike?
Q4. What are the strengths and weaknesses of these leadership styles in allowing
first responders to do their jobs quickly and efficiently?
Q5. What is the relationship between leadership styles and organization culture
that can be learned from the response and recovery operations employed
during Hurricane Ike?
Nature of the Study
The main areas explored in this study were the leadership styles, organizational
culture, behaviors, and functions of first responders, leaders, and support agency
personnel who participated during emergency management operations in Galveston,
Texas during Hurricane Ike. A qualitative single-case study was appropriate for the
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research study, as this approach allowed a more robust exploration of leadership culture
during crisis management (Trochim & Donnelly, 2008). In the study, leadership styles
and organizational culture were explored to represent Hurricane Ike. To obtain the data
surveys which provide the highest percentage of return, highest accuracy, highest degree
of completeness, and highest overall reliability and validity was used (Miller, 1991). The
qualitative research interview and survey method is readily accepted by most participants
in research studies (Miller, 1991). An interview and survey allows researchers to
appreciate another person’s perspective that is assumed to be meaningful and knowable
and able to be accurately described (Patton, 2002).
To establish consistency among leaders interviewed and members of private
organizations in the study, individuals must have been in their position prior to Hurricane
Ike. The nature of the study was to explore leadership styles and organizational culture
during Hurricane Ike. A scholarly review of literature on leadership and organizational
culture helped establish a conceptual understanding of the requirements needed for a
successful leader during disasters. By documenting the changes, other leaders are able to
build upon the successes and failures and improve organizational performance during
future hurricanes or disasters.
Significance of the Study
The predominant leadership styles used during disasters was explored throughout
this qualitative single-case study. National horror was elicited during Hurricane Katrina
when Americans were seen dying, suffering, and left to fend for themselves (Jones,
2010). The reality is that government and agency leaders in United States did have the
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assets, money, and ability to respond to Hurricane Katrina victims, but it did not utilize
them fully (Jones, 2010).
Exploring the leadership practices used by Galveston, Texas emergency
management agency employees and private community organization members during
Hurricane Ike allow leaders to be better prepared to deal with future disasters. New
Orleans’ residents were the first from a major American city to be completely cut off
from life necessities such as water, food, power, and phones (Gibbs, 2005). The response
and recovery actions displayed during Hurricane Ike was explored to identify if the
lessons learned after Hurricane Katrina were incorporated into response and recovery
actions during Hurricane Ike. Experts consider Hurricane Katrina to be the turning point
for disaster preparedness and Hurricane Ike was the first time new knowledge from
earlier disasters was put into action (Department of Homeland Security, 2009). It was
important to explore the way leaders approached decision-making, aligned individuals to
their visions, built trust, motivated, and communicated with staff members during
Hurricane Ike.
Definition of Key Terms
Citizen corps. Citizen corps are a vital grassroots component of the USA
Freedom Corps, which was designed to help coordinate volunteer activities that make
communities safer, stronger, and better, prepared to respond to emergencies (Federal
Emergency Management Agency, 2009a). Members of citizen corps work closely with
FEMA and members of all levels of government (Bullock, Haddow, Coppola, &
Yeletaysi, 2009).
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Community emergency response teams. Members of emergency response
teams educate people about disaster preparedness for hazards that may affect their area,
and train them in basic disaster response skills, such as fire safety, light search and rescue
organization, and disaster medical operations. Members can assist others during disasters
(Herbert, 2005).
Crisis. Crisis operations are multiorganizational, transjurisdictional, polycentric
response networks. In crisis operations, lateral coordination, not top-down command and
control, is required (Helsloot, 2008). A crisis is also be defined as a low probability,
high-impact event that threatens the viability of the organization and is characterized by
ambiguity of cause, effect, and means of resolution as well as by a belief that decisions
must be made swiftly (Simola, 2005). When the two definitions are combined, a crisis is
an event that, in the existing contextual situation, poses a threat to an individual, family,
community, or organization (Porsche, 2009).
Federal Response Plan (FRP). The creators of the FRP established a process
and structure for the systematic coordination and effective delivery of federal assistance
to address the consequences of a major disaster or emergency declared under the Robert
T. Stafford Disaster Relief and Emergency Assistance Act (Bullock et al., 2009). The
plan contains 71 federal disaster recovery programs that assist local governments during
disasters (Bullock et al., 2009).
First responder. First responders prevent, protect against, respond to, and assist
in the recovery from emergency events (United States Government Accountability
Office, 2005). First responders are controlled by city leaders and members of local
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organizations and compete for resources that are also needed by schools and for other
city-related priorities (United States Government Accountability Office, 2005).
Leadership styles. This is the style of leadership used to influence others to
accomplish a common goal (Bass, 1990). The most common leadership styles are (a)
laissez-faire, (b) transactional, and (c) transformational (Bass, 1990). A transformational
leader appears to be the most successful during times of crisis.
Mitigation. Mitigation is used to reduce the loss of life and property. Mitigation
is a hazard management strategy that takes place prior to an emergency or disaster.
Mitigation identifies what could cause a disaster, how to stop it, and how to prepare for it
(Federal Emergency Management Agency, 2009b). Hazard mitigation teams are
available for state and local governments to help reduce losses during disasters (Federal
Emergency Management Agency, 2009b).
National Hurricane Plan (NHP). The NHP is used to help protect communities
and residents from hurricane hazards through various projects and activities. Established
in 1985, members of the NHP also conduct assessments and provide tools and technical
assistance to state and local agencies to develops hurricane evacuation plans (Federal
Emergency Management Agency, 2009b).
National Infrastructure Protection Plan (NIPP). The NIPP is used by leaders
to build a safer, more secure, and more resilient American nation by preventing,
deterring, neutralizing, or mitigating the effects of deliberate efforts by terrorists to
destroy, incapacitate, or exploit elements of the nation's critical infrastructure and key
resources and to strengthen national preparedness levels in a timely response, and rapid
recovery in the event of an attack, natural disaster, or other emergency (Department of
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Homeland Security, 2009b). In support of the NIPP, the emergency support function
(ESF) provides a structure used by individuals to coordinate federal interagency workers
providing federal support to incidents.
National Response Plan (NRP). The NRF is used by members of the nation as a
disaster response playbook, which provides guidelines for first responders at all levels.
Key principles, roles, and structures of participants who respond to incidents to ensure a
coordinated, effective national response are defined in the NRF (Federal Emergency
Management Agency, 2009b). Information on the establishment of disaster field offices
near the disaster is provided in the NRP (Federal Emergency Management Agency,
2009b). Local government officials must be able to respond to disasters for at least 72
hours before federal assistance arrives (Federal Emergency Management Agency,
2009b).
Preparedness. Preparedness is used to describe a state of readiness to respond to
an emergency, crisis, or manmade, accidental, or natural disaster. Preparedness includes
those activities, programs, and systems that exist before an emergency and are used to
support and enhance responses to an emergency or disaster (Bullock et al., 2009).
Preparedness involves an integrated combination of planning, training, exercises,
personnel qualification and certification standards, and publication management
processes and activities (Herbert, 2005).
Recovery phase. The recovery phase begins as the disaster is ending and
continues until the community is back to normal. The immediate goal of those involved
in the recovery phase is to restore the infrastructure of the community. Recovery
encompasses both long-term and short-term goals. Short-term measures include relief
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and rehabilitation and long-term measures include reconstruction (Lindell, Prater, &
Perry, 2007).
Saffir-Simpson Hurricane Scale. In the Saffir-Simpson Hurricane Scale related
wind speeds for potential damage are broken down. A category one hurricane has lighter
winds compared to storms in higher categories. A category four hurricane would have
winds between 131 and 155 mph and, on average, would cause 100 times the damage of
the category one storm (Federal Emergency Management Agency, 2009a).
Support agencies. Support agencies refers to organizations such as the American
Red Cross, electric companies, and gas companies in which employees support the
national response plan of providing essential life support items such as food, water,
shelter. Because the term is broad, it is not possible to include it as part of a literary
review, but is essential to the outcome of the study (Federal Emergency Management
Agency, 2009).
Summary
In chapter 1, a description of the impact of Hurricanes Katrina and Ike on the
Texas Gulf Coast was given. The problem statement included an explanation of the
importance of exploring changes in leadership styles and organizational culture since
Hurricane’s Katrina and Ike made landfall. The objective of this research was to identify
the changes in the way leaders conducted operations during Hurricane Ike and evaluate if
these changes corrected the issues associated with the failures during Hurricane Katrina.
Officials of the Federal Emergency Management Agency declared that Hurricane Ike was
the third most destructive storm ever to make landfall in the United States with Hurricane
Katrina being the most destructive (Texas Office of Rural Community Affairs, 2009).
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According to Texas Office of Rural Community Affairs personnel, Hurricane Ike
required the evacuation of over 1.29 million people and cost over $29.4 billion.
Thousands of citizens went without food, water, shelter, and power for over a
month because of the inability of government agents and members of support agencies to
coordinate a solid and effective plan to distribute the needed supplies (Texas Office of
Rural Community Affairs, 2009). These issues are similar to those that the citizens of
New Orleans and surrounding areas experienced during Hurricane Katrina. Major issues
experienced during the hurricane included lack of external agency coordination, problems
associated with the delivery of emergency material to affected areas, lack of support by
agency members, including insurance companies, and the inability to coordinate federal
and state assets in a timely manner (Adams, 2005). By studying a sample of 20
participants including firefighters, police officers, and emergency personnel in Galveston,
Texas, all major areas of the emergency management community were represented in the
study.
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Chapter 2: Literature Review
This literature review was created with a focus of emergency management
leadership and the challenges associated with different leadership styles. The
Northcentral Library provided many databases to assist in the research. The following
databases were used in the research: ProQuest, Sage Journals online and Sage
Knowledge. The literature was drawn from disciplines of government leadership
research, disaster recovery studies, public administration, and emergency management
studies.
In the literature review, leadership styles and organizational culture, both
ineffective and effective during times of crisis, such as Hurricane Ike was explored.
Because of the study, emergency leaders and support agencies will be better prepared for
hurricanes in the Texas Gulf Coast. By identifying gaps in the literature, the reasons
behind the inability of federal, state and local government agents and members of support
agencies to respond in an adequate manner to hurricanes, resulting in the devastation of
lives, property, and capital can be identified (United States Government Accountability
Office, 2009). The purpose of this section was to find examples of qualitative single-case
studies, which reinforced or denied the validity of using a qualitative single-case
technique for this study (Pennington, 2009). The research strategy included scholarly
peer reviewed ProQuest publications from the Northcentral (NCU) Library. The research
did include resources from dates earlier than 2005, but the resources did provide accurate
and meaningful information to the study. Although textbooks are not preferred for
doctoral studies some of the NCU doctoral program textbooks were used as they
provided a wealth of information on the research process. Qualitative research is
18
appropriate for answering questions such as what and why in studies (Borrego et al.,
2009). A qualitative design should be used in cases where subjectivity analysis is
favored over objective analysis. Qualitative research was appropriate for the study of
emergency management leaders and first responders in Galveston, Texas.
As the reality materializes that we are vulnerable to threats of terrorist attacks and
to natural hazards that can surpass the impact of historic events, it is important to ask how
we organizationally prepare for, respond to, and recovery from extreme events in ways
that minimize the effects on our social and economic systems (Harrald, 2006). Managers
and organizations have been led to believe that proactive planning and preparations are
key elements of crisis management efforts (Hunter, 2006). A commonality among all
organizations is that each faces known and unknown threats (Hunter, 2006). The more
predictable the threat, the more likely the organization may be prepared to deal with the
situation. No organization can feasibly prepare for every unimaginable crisis event
without exploiting a tremendous amount of resources. Researchers have shown that
leadership and culture directly affects the mitigation of, preparation for, and recovery
from natural and manmade disasters (Silvia & McGuire, 2010). Many studies show that
we fail to learn from past disasters and that effective leaders study and implement lessons
learned from pervious mistakes (Donahue & Tuohy, 2006).
There have been a number of field and laboratory studies of group behavior
during crises. Stouffer, Suchman, DeVinney, Star, and Williams (1949) studied the
reaction of troops to the crisis of battle. Hovland and Sears (1949) studied some social
effects of economic crises at the societal level. Festinger, Riecken, and Schacter (1956)
studied the differences between individual and group responses to crisis. Mintz (1951)
19
studied the effect of reward structure and fear during crisis. Before 1958, only one study
was conducted where there was an investigation of the effects of crises on leadership.
Hamblin (1958) performed a laboratory study about leadership during crisis to test two
hypotheses: leaders have more influence during periods of crisis than during non-crisis
periods and groups tend to replace their old leader with a new leader if the old leader
does not have a solution to a crisis problem. Both hypotheses were confirmed.
Building learning organizations where past mistakes are capitalized upon
increases leadership effectiveness during future crisis-situations (Senge, 2006).
Leadership is an essential personal characteristic and skill that is necessary for the
successful management of and recovery from a crisis such as Hurricane’s Katrina and
Ike. The literature gaps discussed in this literature review included (a) failure of
leadership and culture, (b) lack of scholarly information regarding Hurricane Ike in the
Texas Gulf Coast, (c) support agency challenges, (d) and failure of the Federal
Emergency Management Agency to implement all assets available in a timely manner
during previous hurricanes. An assessment of the leadership styles, organizational
culture, and strengths and weaknesses of first responders and support agencies used
during Hurricane Ike is discussed. The literature review is organized into the following
subtopics (a) leadership types, (b) leaders verses managers, (c) crisis leadership, (d) crisis
situations, (e) hurricanes, (e) support agency challenges, (f) ineffective leadership styles
and organizational culture for crisis management, (g) effective leadership styles and
organizational culture for crisis management, and (h) summary.
20
Leadership Types
Researchers have focused on leadership for an extensive time, and leadership is
widely known as a scholarly subject worthy of research and recognition. Leadership
during an uncertain, urgent, and important situation could take many forms (Sommor,
2008). After extensive research, Bass and Avolio (2010) found that although all
leadership types affect leadership outcomes, their effects, effectiveness, and satisfaction
differ. The transformational and transactional leadership behaviors are most rewarding
and effective. Laissez-faire leaders are the least effective (Bass & Avolio, 2004). The
full range of leadership model (FRL) is a hierarchical model in which leadership function
ranges from passive-ineffective to more active-effective leadership behaviors (Bass &
Avolio, 2004). Leadership functions range from passive-ineffective (laissez-faire) to
more active-effective leadership behaviors (transformational and transactional) (Bass &
Avolio, 2004).
Laissez-faire or passive/avoidant leaders are hands off managers who are crisis
driven while providing little guidance a majority of the time (Bass, 1990). Followers
need guidance and details from leaders when they need immediate assistance or normal
job assignments change (Gozubenli, 2009). These types of leaders are absent when
needed, which leaves their followers to conduct much of the decision-making on their
own (Bass & Avolio, 1993). As a result, many followers often wonder if they are doing
their job correctly (Bass & Avolio, 2010). Followers such as initial first responders need
sound guidance from individuals who understand their roles and are confident enough to
make hard decisions that may affect the lives of people.
21
The moderate active form of leadership, management by exception (active) can be
effective in some situations given that leaders who practice this behavior not only take
corrective actions in the event that something goes wrong but also actively monitor
mistakes and deviances (Gozubenli, 2009). This type of leadership can be required when
employees are highly skilled, experienced, educated, and when leaders must supervise
large numbers of people (Bass & Avolio, 2004). Moderate form leadership behavior
includes negative feedback on corrective transactional leadership behavior but its overuse
might increase dissatisfaction and stress among followers (Bass & Avolio, 2004).
Representing active, positive, and high performing leadership, all five
transformational leadership behaviors (attributed idealized influence, behavioral idealized
influence, inspirational motivation, intellectual stimulation, and individual consideration)
and contingent reward behavior are the most effective leadership behaviors that have
significant positive effects on followers (Gozubenli, 2009). The use of transformational
leadership behaviors is the most effective because those followers who trust and respect
their leaders (Bass & Avolio, 2004). These followers are motivated by the speeches of
their leaders who encouraged them to think differently and whose basic needs are
identified by their leaders (Bass & Avolio, 2004). Many of these followers are more
likely to exert extra effort, perceive their leaders as effective, and remain satisfied with
their leaders (Bass & Avolio, 2004).
There is an agreed assumption that a leader can use both transformational and
transactional leadership behaviors, especially contingent reward (Bass & Avolio, 2004).
The most effective leaders are transformational and transactional leadership behaviors
combined (Gozubenli, 2009). The contingent reward provides direction and helps build
22
trust, dependability, and consistency among followers because these leaders clarify
expectations and offers of rewards and recognition, which are essential for
transformational leadership to obtain acceptable levels of performance (Bass & Avolio,
2004).
During a crisis groups or individuals emerge to help and the need leadership as
seen with the citizens of New Orleans after Hurricane Katrina is very high(Sommor,
2008). Robbins and Coultar (2005) defined leadership as the process of influencing a
group towards the achievement of goals and someone who can influence others and has
managerial authority. According to Bass (1990), leadership theory and research have
historically focused on the great man theory or the study of an inherited trait (Gerhardt,
2006). Leaders or managers who have the ability to adopt a leadership pattern for the
needs of the current time are more apt to be successful during critical times (Miner,
2006). Leadership is about action challenging, inspiring, connecting, and doing but at the
same time remaining focused on the future (Cameron & Green, 2008).
Good leadership creates good for the social or organizational order but bad
leadership can create social disorder (Fox, 2009). Negative leadership creates bad
decision-making, frustration, dysfunctional organizations, and unintentional results (Fox,
2009). Such negative consequences may result from a leader who fails to look inside,
mirroring or acting as they believe followers think they should act, narcissistic behavior,
emotional illiteracy, and what is called the edifice complex, wherein they fear their
legacy will be destroyed (Bass, 1990; Northouse, 2007). Early studies of leadership
during the 1920s and 1930s established a baseline for seven leadership traits associated
with successful leaders (Robbins & Coultar, 2005). The seven traits are (a) drive, (b)
23
honesty, (c) integrity, (d) desire to lead, (e) self-confidence, (f) job-relevant knowledge,
(g) intelligence, and (h) extraversion (Robbins & Coultar, 2005). These traits are not the
only traits that researchers have identified as part of successful leaders, but they are
common themes (Robbins & Coultar, 2005).
Bennis and Nanus (1985) interviewed 90 people, made up of 60 CEOs (Lincoln,
2005). The researchers identified five key skills in the 90 leaders:
1. The ability to accept people as they are, not as you would like them to be.
2. The capacity to approach relationships and problems in terms of the present
rather than the past.
3. The ability to treat those who are close to you with the same courteous attention
that is extended to strangers and casual acquaintances receive.
4. The ability to trust others, even if the risk seems great.
5. The ability to do without constant approval and recognition from other.
The researchers stated that important characteristics of leaders also include persistence
and self-knowledge, a willingness to take risks and accept losses, commitment,
consistency, and a desire to be challenged (Bennis & Nanus, 1985). In 2002, Yukl stated
that leadership is associated with such terms as power, influence, authority, management,
administration, and control (Yukl, 2002). The functions of leadership include helping to
interpret the meaning of events, creating alignment on objectives, encouraging and
facilitating collective learning, obtaining necessary resources and support, developing
and empowering people, and promoting social justice and morality (Yukl, 2002).
The power and influence that leaders have are distinct concepts (Yukl, 2006). A
leader will have some form of power, but the outcome of the leader-influenced behavior
24
on the follower may result in commitment, compliance, or resistance (Fox, 2009).
Leadership and followership are equally important to any organization and during times
of crisis leaders need to have both (Fox, 2009). Finally, a good leader can influence
change that will increase the effectiveness of the organization as a whole (Madsen &
Gigi, 2005). This effectiveness is critical to any successful response and recovery
operation.
Each leadership practice is specific to the individual organization. For example,
the leadership of Houston Police Department uses different methods and roles than the
leaders of the local Community Emergency Response Teams discussed later. The
challenge is to find the right kind of leadership that will produce the best results during
crisis-situations. To identify the best-suited leader to deal with crisis a literature review
focusing on the three most common types of leaders was conducted.
Leaders Versus Managers
Leaders influence the course of events, inspire their followers, and take
responsibility for the successes and failures of organizations under their charge (Bass,
1990). There are no universal definitions of leadership just as there is no universal
definition of terrorism (Lincoln, 2005). During the 20th century, many theories have
been developed to explain effective leadership qualities and behaviors that increase
employees’ motivation and efforts (Yukl, 2006). Leadership theories were developed to
introduce a new way of thinking that would help researchers to focus on problem areas,
assist practitioners in making decisions, and present a foundation for predicting situations
that might occur when leaders use certain behaviors (Hoy & Miskel, 2008). According to
Bennis and Nanus (1985), leadership is the most studied but least understood topic in the
25
social sciences. Metaphorically, leadership is like the Abominable Snowman whose
footprints have been seen everywhere but is nowhere to be seen (Bennis & Nanus, 1985).
Decades of academic analysis have enabled individuals to provide more than 350
definitions of leadership (Bennis & Nanus, 1985). Below are a few of the most common
definitions:
1. “A process whereby an individual influences a group of individuals to achieve
a common goal” (Northouse, 2007, p.3).
2. “A complex moral relationship between people based on trust, obligation,
commitment emotion, and shared vision of the good” (Ciulla, 1998a, p. 15).
3. “The initiation and maintenance of structure in expectation and interaction”
(Stogdill, 1974, p. 411).
A large number of empirical investigations of leaders have been conducted since
the 1930s, but no clear or unequivocal understanding exists of what distinguishes leaders
from non-leaders and what is the perfect leadership culture (Bennis & Nanus, 1985).
According to Pierce and Newstorm (2007), between the 1950s and early 1990s many
researchers examined the role of individual traits in leadership effectiveness but failed to
identify precise traits that predict leadership success. Leadership primarily involves a
process that occurs between the leader and their followers (Stodgill, 1974). Secondly,
leadership involves influence, which is concerned with how a leader affects their
followers (Stodgill, 1974). The third component of leadership occurs in groups (Stodgill,
1974). Groups are made up of individuals that have a common purpose (Stodgill, 1974).
The fourth and final component of leadership according to Stodgill (1974) is
accomplishing goals.
26
The challenge during times of crisis such as Hurricane Ike is to balance the role of
the leader and manager. During these times, leaders must rationalize and interpret the
roles needed to deal with this situation (Alexander, 2005). Extreme situations such as
hurricanes create a social shock that is significant enough to affect the effectiveness of
many leaders’ decision-making skills (Barnshaw, Letukas, & Quarnatelli, 2007).
Managing involves accomplishing a task while leadership influences others (Bennis &
Nanus, 1985). Managers are people who do things right, but leaders are people who do
the right thing (Bennis & Nanus, 1985). The two have many similarities such as
influencing followers, working with others, and accomplishing goals (Northouse, 2007).
There are major differences as a manager provides consistency, order, and stability to
members of an organization while a leader’s function is to produce constructive change
and movement (Yukl, 2006, 1990).
Crisis Leadership
Crisis management leadership has received increasing attention in public policy
research due to an increase in the number of natural and manmade disasters and
casualties, as well as the damage caused by those events (Integrated Regional
Information Networks, 2005). Different suggestions have been made to improve crisis
management policy and administration (Alexander, 2005; Farazmand, 2009; Jaeger,
Shneiderman, Fleischmann, Preece, Qua, & Wu, 2007). Mitroff (2005) identified crisis
management leadership as a proactive approach to prevent crisis from occurring while
crisis management focused on taking action after the crisis had occurred. This innovative
thinking and collaboration with Pearson led to the development of the five distinct phases
of crisis management addressed later in the proposal (Garnett & Kouzmin, 2009).
27
Schoenberg (2005) presented a crisis leadership model and indicated four external factors
of leadership that include (a) information gathering, (b) external conscience, (c)
preparation, and (d) experience. Schoenberg (2005) proposed that the model could help
resolve issues on leadership, style, communication, and influence (Graham, 2008).
Research has shown that well-implemented crisis management policies can save human
lives and reduce damage to property (McEntire & Myers, 2004).
Inefficient crisis management efforts result in excessive property damage and an
increase in lives lost (Alexander, 2005). In a crisis, a thinking commander who can make
sense of the situation, confronts them, and proceeds to accomplish their mission is
required thus demonstrating a transformational leadership style (Vogelaar, 2007).
Thinking commanders influence a situation by bringing a certain style of leadership into
various situations surrounding a crisis (Cotton, 2009). Researchers suggest that in many
ways crisis leadership is similar to transformational leadership in that the focus of
leadership interaction and relationship development with followers, the perception of
leadership influence, and situations may determine outcomes (Yukl, 2006).
Effective crisis management involves minimizing potential risks before a
triggering event (Graham, 2005). Disasters and crises are focusing events; however, the
term crisis has a broader meaning that includes change and learning processes in policies
(Birkland, 2006; Boin & Hart, 2006). Although crises after disasters create devastating
outcomes they can still be neutralized and even routinized with mitigation and
preparedness studies (Alexander, 2005; Birkland, 2006). In response to a triggering
event, effective crisis management involves improvising and interacting by key
stakeholders so that individual and collective sense-making, shared meaning, and roles
28
are reconstructed (Graham, 2005). Following the triggering event effective crisis
management entails individual and organizational readjustment of basic assumptions as
well as behavioral and emotional responses aimed at recovery and readjustment (Graham,
2005).
Measures of successful emergency management leadership include increasing
awareness and assuring smooth operations in times of uncertainty and strife (Muffet-
Willet & Kruse, 2009). Waugh and Streib (2006) argued that critical tasks leading up to,
during, and following a disaster involve coordinating multiorganizational,
intergovernmental, and intersectional responses and recovery operations (Bava, Coffey,
Weingarten & Becker, 2010). Modern emergency managers and leaders face
extraordinary challenges in both numbers and severity resulting in the need to
increasingly prepare for and respond to disasters as members of partnerships and
networks (Daniel, 2007).
Many leaders responsible for emergency management during Hurricane’s Katrina
and Ike did not show strong leadership traits (Snyder, 2009). Members of the
International Association of Emergency Managers (IAEM) (2007) predicted that FEMA
could not adequately respond to a catastrophe due to integration, staffing, and leadership
problems. Members of the International Association of Emergency Managers purported
that under rapidly changing conditions many FEMA organizational leaders lower their
expectations to meet the immediate needs (Isbell & Goldstein, 2006). To counter these
issues, emergency management organizations must increase their demands for the
adaptation of organizational change to improve their capabilities for operating with
multiple levels of organizations (Kozlowski, Cao, & Jensen, 2006).
29
Senior leaders find it difficult to act spontaneously or independently because they
are often constrained by the need to maintain the power and policies of their particular
organization (Wheatley, 2006). Identifying what type of leader is more effective during
times of crisis will help community members during future natural hurricanes. The most
common types of leaders are (a) laissez-faire, (b) transactional, and (c) transformational
(Bass, 1990; Bennis, 1993). There are numerous methods and versions of leadership that
leaders need to incorporate when dealing with change and confusing situations that occur
during crises (Cameron & Green, 2008). Experts suggest that leaders use the following
five roles to assist in leading during crisis: (a) ask the difficult questions, creating enough
discomfort to force change, (b) articulate a compelling picture of the future and energize
and engage people, (c) connect people, agendas, and reinforce the simple rules, (d)
always try to stick to the plan and hold people accountable for not following the plan, and
(e) become the primary architect for the strategies used to deal with the crisis situation
(Cameron & Green, 2008).
The five elements that Zenger believed to be crucial for leaders during times of
crisis are (a) character, (b) personal capability; (c) focus on results, (d) interpersonal
skills, and (e) leading organizational change (Madsen & Gygi, 2005; Piccolo & Colquitt,
2006). Character is the core of all leadership effectiveness (Fahey, 2007). A leader’s
personal capability describes the intellectual, emotional, and skill makeup of the leader
(Kouzmin, 2008). When a leader can focus on results and get things done, they have a
major impact on the organization (Blanchard, 2010). The interpersonal skills that a
leader has will determine if they can communicate what is needed while at the same time
having a positive impact on the group working with them (Burke, 2007).
30
Crisis Situations, Criticality of Response Time, and the Golden Hour
In a crisis, the ability to engage in the response and recovery efforts after a
hurricane in a timely matter is critical as lives are lost proportionally based on the amount
of time. For example: Hurricane Katrina is estimated to have caused more than $200
billion in economic losses (Burby, 2006). The storm is blamed for 1,464 deaths in
Louisiana alone; it displaced 1.4 million people and destroyed approximately 217,000
homes and 18,000 businesses (Wells, 2008). Although Katrina was on the National
Hurricane Center's radar screen for days before making landfall in Mississippi and public
officials were fully informed as to the threat it posed, they nevertheless failed to prepare
for disaster and then mounted a response that was both sluggish and inept (Ewing, Kruse,
& Sutter, 2007). The public response to Katrina was hampered by a confused chain of
command, which began at the top (Ewing, Kruse, & Sutter, 2007). Officials at the White
House and the Defense Department apparently dithered for days about whether to
"federalize" National Guard units in the affected area, as the president's father had done
after the 1992 Los Angeles riots (Shughart, 2011). That debate may have had partisan
overtones (Shughart, 2011). On his first post Katrina visit to Louisiana on Friday,
September 2, President George W. Bush is reported to have asked Louisiana governor
Kathleen Blanco, a Democrat, to relinquish control of the local law enforcement and
National Guard troops under her command (Shughart, 2011). After thinking about the
matter for twenty-four hours, she refused, evidently believing that the proposal was
motivated by the president's eagerness to claim credit for a relief operation that at long
last was showing progress. No such request was made of Mississippi's governor Haley
Barbour, a Republican (Ripley, 2005). This lack of response and coordination is an
31
example of how non-optimal leadership and the inability to respond quickly can change
the way a disaster turns out.
Currently, the field of emergency management and the ability to lead during
crises has gained a new importance as Americans have experienced numerous manmade
and natural disasters (Waugh & Streib, 2006). There are numerous definitions of a crisis,
but most of the definitions include the view that crisis is an imminent situation that
involves a potential risk (Simola, 2005). Crises are extreme events that threaten
individuals, families, communities, organizations, or society’s existence (Mitroff, 2005).
A crisis is a low probability, high-impact event that involves a threat to the viability of
the organization, and that is characterized by ambiguity of cause, effect, and means of
resolution as well as by a belief that decisions must be made swiftly (Burke, 2007).
When a hurricane strikes a populated area, a crisis occurs (Northouse, 2007). The
level of crisis is determined not only by the effect of the hurricane throughout the
affected area but also by the actions of the leadership responsible for the response and
recovery efforts (Porsche, 2009). If not appropriately managed, the crisis can lead to
tremendous organizational damage that includes, but is not limited to, physical, social,
economic, psychological, and relationship damage (Kouzmin, 2008).
Crisis situations use multiorganizational and jurisdictional response networks that
come from numerous organizations and jurisdictions (Helsloot, 2008). Leaders and
followers both engage in a dynamic relationship that focuses on personal achievement,
professional growth, and organizational missions (Porsche, 2009). Lateral coordination,
not top-down command and control, is required for crisis leadership (Williams, 2008).
Leaders at all levels understand that they must cross normal boundaries, plan and
32
negotiate future activities, and increase communication during operations to resolve
unanticipated problems (Silvia & McGuire, 2010). The dynamic interpersonal
relationship between leaders and followers consists of a mutually desirable set of actions
to achieve the mission of the organization’s leaders (Porsche, 2009).
The goals of crisis leaders include reducing the negative impact of the crisis and
promoting successful survival (Colton, Kates & Laska, 2008). Survival means many
things, but in terms of dealing with a hurricane and its affects, survival means to ensure
continuity of basic services, response and recovery operations, and the restoration of life
as it was prior to the hurricane (Porsche, 2009). Disasters require a different leader than
many normal businesses experience (Dearstyne, 2006). Many management skills are the
same but a leader that is responsible for leading during a crisis such as a hurricane must
be able to deal with a multitude of variables while still controlling their organization (Ng,
2011). As such it is important to identify crisis management skills and how they relate to
ensuring optimal leadership is demonstrated during hurricanes (Norris,
Stevens,Pfefferbaum, Wyche & Pfefferbaum, 2008).
The golden hour is a metaphor that many emergency leaders use to describe the
effects of even a small delay on the overall mission of saving lives and property. This
golden hour could be minutes or even hours depending on the situation and the severity
of perceived results due to lack of a timely response. Situational leadership is part of
becoming an optimal leader during times of crisis and is an important element ensuring
the golden hour is not wasted (Barnshaw, Letukas, & Quarnatelli, 2007). For example,
the government’s response to the New Orleans flooding and the Exxon’s response to
Exxon Valdez oil spill demonstrated a lack of both situational awareness and self-
33
awareness that led to untimely response efforts (Garcia, 2006). During the Exxon Valdez
oil spill it took over 10 hours to deploy oil spill booms and it took days for the leadership
to acknowledge the severity of the disaster thus delaying federal response to the area
(Garcia, 2006). During the New Orleans flooding, days passed before the mayor and
governor agreed to ask for federal aid resulting in unnecessary suffering. During both
disasters they demonstrated a lack of leadership discipline and command focus all of
which are important elements of optimal leadership (Garcia, 2006).
For communities that have experienced disasters, the response and recovery
process is critical to regaining the capacity to function and develop, albeit in an
environment of continuing exposure to risk (Comfort, Birkland, Ciglar, & Nance, 2010).
How response and recovery operations are conceived, specified, implemented, and
evaluated is fundamental to reducing risk and losses from subsequent disasters (Comfort,
Birkland, Ciglar, & Nance, 2010). Over 25% of the U.S. population lives on or near the
Gulf Coast (Pate, Brevik, & Vincent, 2006). With the population being so large optimal
leadership plays a key role in emergency managers assessing threats to public safety,
identifying points of vulnerability, and ensures resources are mobilized for an effective
response and swift recovery (Mullins, 2007).
Hurricane Katrina was a perfect example of how ineffective management of
hurricanes cost lives and devastated an entire city (Landy, 2008). The slow request by
leadership for federal aid, hesitation on the employment of the evacuation plan, and the
activation of the National Guard members are was some of the initial failures that were
results of a non-optimal leadership style form all levels of emergency management
(Wang & Kapucu, 2008). The results of the indecisiveness resulted in thousands of
34
people dying, billions of dollars lost in infrastructure, and the loss in confidence by the
residents in their leaders. For example: Hurricane Katrina made landfall on 29 August
2005 yet it was 4 September before 4,600 active duty troops and 27,000 national Guard
members arrived on scene (Menzel, 2006). During Hurricane Ike the scene was much
different with thousands of first responders and state and local assets being made
available prior and after the hurricane. Although assets and personnel were available the
ability to coordinate and deploy the people and material was a disaster in some areas
(Marler, 2009). Although efforts were being made to evacuate and shelter citizens the
leadership’s slow response and acceptance of the severity of the situation created an out
of control situation. These results are part of a ripple effect that not only affects the
community that was directly hit but surrounding communities (Mullins, 2007). Response
must be quick and identifying the optimal leadership styles that work during a crisis and
the ineffective leadership styles that do not work is crucial so these issues never happen
again (Blanchard, 2010).
Hurricanes
Understanding the definition of hurricanes is of paramount importance in order to
understand how issues with leadership and culture affected performance during Hurricane
Ike. A hurricane is as a large weather system that forms over warm ocean waters
(Federal Emergency Management Agency, 2009a). In a hurricane, strong winds and
thunderstorms spin or move around a calm center known as an eye (Federal Emergency
Management Agency, 2009a). Hurricanes usually form during the summer months when
the ocean waters are warmest (Federal Emergency Management Agency, 2009a). The
Atlantic hurricane season begins 1 June and ends 30 November (Federal Emergency
35
Management Agency, 2009a). Unlike manmade disasters, earthquakes, tornadoes,
floods, hurricanes and their expected landfall location can be predicted days in advance
of landfall (Federal Emergency Management Agency, 2009a). Members of communities
along the Gulf Coast expect some kind of hurricane activity yearly and yet many
community members are not prepared to deal with the response and recovery actions
after a hurricane makes landfall (Mullins, 2007). As such, organizations and leaders can
expect extraordinary burden to deal with the disaster associated with a hurricane
(Comfort, 2007). In dealing with the disaster, demands for collaboration can challenge
local first responders due to their different sizes, missions, and policies (Comfort, 2006).
Many times, there are tensions between organizations and the leadership to stagnate
progress (Davies, 2005). One way of ensuring the trust and rapport between
organizations remain effective is to conduct drill and exercises prior to crisis-situations
arising (Comfort, 2005). During Hurricane Ike, major physical damage occurred in
Galveston, Texas that affected the livelihoods of over two million people (McDonald,
2008). The effects of a hurricane can be overwhelming, not only for citizens of the
affected areas, but also for the first responders and leadership (Mullins, 2007). There is
no excuse for leaders at all levels of crisis management to not be prepared to deal with
hurricanes.
Support Agency Challenges
One of the most important things an emergency leader can do is to incorporate
support agencies during the response and recovery process (Saunders, 2007). More than
125 recommendations for federal, state and local governments, and private businesses
were made for the improvement and coordination of different levels of leadership,
36
members of response and recovery organizations, and support agency members after
Hurricane Katrina (Townsend, 2006). Key areas of concern during Hurricane Katrina
according to Townsend (2006), included (a) food distribution, (b) shelter assignment, (c)
evacuation routes, (d) charitable aid distribution, and (e) insurance assistance. During
Hurricane Katrina many of the shelters provided by these organizations were over
populated, ill prepared, and provided a security risk for the evacuees (Walker & Warren,
2007).
Members of the Hurricane Katrina panel identified the need for coordination of
federal, state and local assets, proper coordination of different agencies and their
employees responsible for the initial response and recovery efforts, and the coordination
of support agencies (United States House of Representatives, 2006). Areas of concern
included hospital personnel who had not been properly prepared and had no backup water
system, engineers on duty, childcare for workers, and food preparation plans for patients
and workers (Anderle, Mitchell, Nastally, Sarver, & Owens, 2009). Support agencies and
hospitals were among the first places many victims went for shelter and medical
assistance (Anderle et al., 2009).
During the immediate aftermath of a disaster, first responders, volunteer
organization members, and federal agency personnel focus on essential lifesaving
activities to reduce the loss of life and restore order (Czerwinski, 2010). The dilemma
that plagues the initial response teams is when the response phase to a disaster overlaps
with recovery phase from a disaster (Waugh, 2009). Providing short-term needs, such as
food, shelter, and water are a priority during the response phase (Schewe, 2010). The
recovery phase includes restoring basic services for public health and safety, restoring
37
interrupted utility services, reestablishing transportation services, and providing food and
shelter for those displaced by the incident (Scavo, Kearney & Kilroy, 2008). The
national response framework (NRF) was made effective in 2008 and was used as a
guiding principle to enable all response partners to prepare for and provide a unified
national response to disasters and emergencies (Czerwinski, 2010). Coupled with the
NRF, long-term community recovery branch (LTCR) personnel played two key roles in
the response to Hurricane Ike by (a) facilitating the coordination of federal, state, and
nongovernmental assistance and (b) assisting local communities with developing long-
term disaster recovery plans, strategies, and reports (Williams, 2008).
Although these federal plans should be used to provide sufficient guidance for
those dealing with a disaster, that was not true in the case of hurricanes Katrina and Ike
(Texas Office of Rural Community Affairs, 2009). Many Texas state and local officials
reported that the LFTR requirements for staff to follow up on recovery actions during the
early response phase created an unnecessary burden and actually slowed the response and
recovery phase (Spencer, 2008). As a result, many members did not participate in the
LTFR’s assistance programs, resulting in a six-week delay for assistance (Devi, 2010.
Implementation of the LTFR program did not work during Hurricane Ike and failed in
transmitting planning tools to state and local governments before leaving the affected
areas (Czerwinski, 2010).
As with previous hurricanes, members of support agencies such as nonprofit
groups and private businesses did not do as well as expected (Texas Office of Rural
Affairs, 2009). As of 2006, Texas was home to more than 96,000 nonprofit
organizations, employing 385,000 people, or approximately 5% of the state’s workforce
38
(DeBlasio, 2008). Most first responders, nonprofit organization members, and other
support agents experienced hardships because they had to perform their duties and
support the affected communities (Texas Office of Rural Affairs, 2009). This problem
added to the situation in the Texas Gulf Coast, which shows that there was no plan to
assist the first responders and support agencies that supported hurricanes.
The National Volunteer Organizations in Disasters (NVOAD) is one of the
primary organizations whose members assist in pre-disaster coordination (Edwards,
2009a). The NVOAD resulted from Hurricane Camille in 1969 when the leaders of
organizations involved in providing resources and services to victims and communities
affected by the disaster shared their mutual concern about their frequent duplication of
services (Nesbit & Brudney, 2010). The role of members of a NVOAD group is not to
manage disaster response operations but instead to coordinate planning and preparation in
advance of disaster incidents and operations (Edwards, 2009c). Representatives of these
organizations meet regularly, learning about each other’s respective activities, concerns,
and frustrations, and work to prevent duplication and inefficiencies in their responses to
future disasters (Hosseine & Izadkhah, 2010). Local leaders did not utilize the NVOAD
wisely during the initial time-period prior to and after Hurricane Ike made landfall (Bava,
Coffey, Weingarten & Becker, 2010).
Members of major organizations such as the American Red Cross and the
Salvation Army coordinate their response and recovery efforts through NVOAD (Leitch,
Vanslyke & Allen, 2009). Once disasters occur, NVOAD personnel, or affiliated state
VOAD personnel, encourage members and individuals from other voluntary agencies to
convene at the site of the event and coordinate their efforts (Leitch, Vanslyke & Allen,
39
2009). Education, leadership development, outreaches, and conferences can be used to
help voluntary agency members bond with one another as they improve their collective
capacity to provide aid in disasters (Haddow & Bullock, 2003).
There are several factors that can be complications in public leaders’ relations
with volunteer agencies (VOLAGs) (Ciglar, 2009b). First, disasters are a major impetus
for these organizations to solicit the charitable contributions they need to administer their
organizations and fund their assistance programs (Gerber, 2007). The people of these
organizations are often outraged if public managers speaking to reporters and other news
media people fail to acknowledge the relief work of their organization by name
(Dearstyne, 2006). Second, income for many nonprofit assistance organizations is from
government aid both before and after disasters (Smith, 2008). Sizable shares of local
government human service budgets are dedicated to nonprofit, volunteer organizations
under contract and grant arrangements (Henstra, 2010). This sometimes puts leaders of
nonprofit volunteer organizations in competition with one another (Gearan, 2011).
Third, leaders of faith-based and secular nonprofit volunteer organizations
receiving public funds, or expecting to receive public funds are barred from engaging in
illegal discrimination in the course of dispensing government-funded disaster assistance
(Randazzo, 2008). Law and policy are that the U.S. department of homeland security's
federal emergency management agency cannot reimburse VOLAG personnel who
proselytize religion in the course of dispensing relief assistance to disaster victims
(Colten, Kates & Laska, 2008). Fourth, public managers, especially public emergency
managers, must be aware of the possibility that competition among nonprofit
organizations may complicate coordination of government relief efforts (Sylves, 2009).
40
Strong political backing is provided to certain organizations, whose personnel may bring
to bear on public managers during or after disasters or emergencies (Gerber, 2007).
Fifth, public managers need to appreciate the legal and political environment in which
nonprofit organizations exist (Leitch, Vanslyke & Allen, 2009). A special tax status is
provided for voluntary nonprofit organizations that exempts management from paying a
number of federal, state, and local taxes and that provides donors with a tax deduction for
charitable dollar or in-kind donations (Hosseini & Izadkhah, 2010).
As well as nongovernmental nonprofit voluntary organization workers, some
government-run voluntary organizations are included in disaster response and emergency
management (McGuire & Schneck, 2010). Members of the citizen corps, which is an
extension of the USA Freedom Corps, invite people at the community level to volunteer
(Reingold & Lenkowsky, 2010). Citizen Corps council personnel working at the state
and local level regularly receive federal funding to promote training and education of
community volunteers, in some ways helping them to respond to disasters or emergencies
in their communities (Michaels, 2010). Moreover, leaders of AmeriCorps, Senior Corps,
and Learn and Serve America, administer grants funded by the Federal Corporation for
National and Community Service, and engage in volunteer-based activities, a portion of
which is directed toward serving emergency management and homeland security
purposes (Nambisan, 2008). This type of volunteer coproduction activity not only
augments the pool of people available to help in times of disaster or emergency, but also
helps foster popular support for the work of local, state, and federal emergency
management personnel and programs (Nambisan, 2008).
41
Not all volunteer organization personnel failed to support residents immediately
after Hurricane Ike (Thompson, 2008). Leaders of the National Association for the
Advancement of Colored People (NAACP) identified issues that arose during Hurricane
Katrina and worked to change the outcome for future disasters (Nambisan, 2008). Within
hours of Hurricane Ike making landfall the Texas NAACP leaders had more than 100
volunteers providing food, water, and emergency care (Spencer, 2008). Leaders used
forethought about disasters and had over 200 volunteers trained by the American Red
Cross to deal with emergencies (Redwood, 2008). The transformational leadership style
used by the NAACP leaders eased the pressure on local response and recovery operators
by working with all support agencies and coordinating within and outside state
boundaries (Spencer, 2008).
One of the most successful support elements during Hurricane Ike and other
disasters was the community emergency response team (CERT). The CERT, developed
by FEMA, is in many cases the primary responder during disasters (Herbert, 2005).
CERT training that average citizens receive allows them to make timely and responsible
decisions in the event of an emergency and to assist until primary first responders arrive
(Herbert, 2005). Many of the people who participate in CERT programs have never been
responsible for making decisions or leading people (Wales, 2008). As a result, members
of communities who experience disasters such as Hurricane Ike are able to respond more
quickly and assist other first responders when emergency response assets are limited
(Wales, 2008). Fixing support agency leaders’ failures is a critical aspect of being
prepared for the next hurricane (Federal Emergency Management Agency, 2009a). Many
of the same issues recommended by members of the Hurricane Katrina panel were not
42
incorporated into policy in the Texas Gulf Coast prior to Hurricane Ike. Many leaders
believe that their leadership style is effective and rarely look at themselves and because
of this many issues associated with failures during hurricane response are not corrected.
Ineffective Leadership Styles and Organizational Culture for Crisis Management
Many of the local leaders responsible for running operations during previous
hurricanes used a laissez-faire or transactional leadership style, which proved ineffective
for crisis management (Stuart, 2007). Laissez-faire leadership refers to indifferent (or
lack of) leadership (Xirasagar, 2008). Laissez-faire implies there is an absence of
leadership; behaviors that imply the leader’s indifference toward follower actions and
organizational outcomes, as well as demonstrating an attitude of abdicating responsibility
(to make decisions, or address important issues) (Xirasagar, 2008). Laissez-faire leaders
may either not intervene in the work affairs of subordinates or may completely avoid
responsibilities as a superior and are unlikely to put in effort to build a relationship with
them (Kedsuda & Ogunlana, 2008). Laissez-faire style is associated with dissatisfaction,
unproductiveness, and ineffectiveness (Xirasagar, 2008).
Most laissez-faire leaders avoid decision-making and supervisory responsibilities
(Hater & Bass, 1988). As a result, laissez-faire leaders are unlikely to display any
inspirational motivation at all, while both transactional and transformational leaders
display higher levels of inspirational motivation than laissez-fair leaders (Barling,
Christie, & Turner, 2008). Schafer (2008) surveyed 330 Federal Bureau of Investigation
(FBI) Academy command-level law enforcement officers across the United States and
other countries to gain insight regarding effective policing leadership qualities in the 21st
century. The majority of the attendees defined effective police leadership qualities that
43
were similar to transformational leadership behaviors, namely (a) motivating officers to
achieve higher goals, (b) demonstrating moral behavior, (c) being a good role model, (d)
valuing employee input, (e) empowering subordinates, and (f) showing concern for the
emotional well-being of their subordinates. Conversely, the attendees described
ineffective leaders as those characterized by practicing the following behaviors (a)
motivating employees for their own self-interest, (b) lacking interpersonal skills, (c)
showing little compassion for others, (d) unwilling to adopt new methods, (e) incapable
of making decisions, (f) spending resources, (g) micromanaging, (h) failing to act, and (i)
lacking in inspirational motivation (Schaffer, 2008). Transformational leadership was
discussed later; however, this survey showed that laissez-faire leadership does not work.
Laissez-faire leaders are distinguished from transactional and transformational leaders in
terms of values (Barling et al., 2008): Laissez-faire leaders’ disinterest in leadership is
such that they are ambivalent about both the individual and the collective good (Barling
et al., 2008). From the outset, laissez-faire leaders have demonstrated themselves to be
the most inactive, least effective, and most frustrating leaders (Barbuto, 2005).
Researchers have shown that policies and practices that reflect non-involvement of
supervisors lead to low productivity, resistance to change, and low quality of work
(Barbuto, 2005). Management-by-exception has its roots in contingent reinforcement
theories (Bass, 1990) whereby subordinates are rewarded or punished for a designated
action.
Leaders practicing management-by-exception are not involved with subordinates
until failures or deviations in workflow occur (Bass, 1985, 1990). Intervention by the
leader occurs only when a failure takes place and punishment or corrective action is
44
necessary. The leader sets up predetermined actions for specific failures and enforces the
punishments when necessary (Barbuto, 2005). Passive or laissez-faire leaders tend to get
involved only when necessary and refuse to set a plan of action (Barbuto, 2005). Such
leaders expect only the status quo from subordinates, do not encourage exceptional work,
and wait to be notified of failures (Hater & Bass, 1988). Active leaders, unlike their
passive counterparts, regularly search for failures and devise systems that warn of
impending failures before they occur (Hater & Bass, 1988).
Subordinates of laissez-faire leaders usually do not fear retribution, are less likely
to be dependent on their leadership, feel uncertainty about job security, and often feel that
leadership is abusive in many roles (Barling et al., 2008). Many leaders leave the
responsibility to their subordinates and set no clear goals regarding how to deal with the
losses that result from a hurricane (Barling et al., 2008). Many of these leaders do not
lead by example, which is a powerful influence on subordinate effectiveness, and results
in an insufficient response to the hurricanes (Barling et al., 2008). Opinion leaders,
bargainers, or bureaucratic leaders work within the framework regarding self-interests of
their constituents (Bass, 1990). During the initial days following Hurricane Ike, this
negative leadership trait was apparent, as many leaders were more worried about their
own immediate concerns than the well-being of the entire organization. Rather than
focusing on an effective response strategy, members of the government wasted time on
frivolous tasks such as press conferences (City and County, 2008).
Similar to Hurricane Katrina, many officials sent to lead local field offices during
Hurricane Ike rotated out early, sacrificing institutional knowledge, and continuity
regarding the situation (Synder, 2009). Public and government complacency was evident
45
because many citizens and government officials appeared to be less alert to the
probability of the high impact event Hurricane Ike; treating Hurricane Ike as if it were not
a serious threat until the hurricane was about to make landfall (Synder, 2009). Ineffective
leaders during Hurricane Ike used an attitude of giving a problem to their subordinates,
not a challenge. To deal with a crisis effectively, subordinates must be ready and willing
to provide their leaders with information and feedback, and the leaders need to be ready
and willing to accept it (Bass, 1990).
Just as laissez-faire leaders are not the best suited to deal with a crisis, neither are
transactional leaders (Stuart, 2007). Existing research findings show that most leaders
practice transactional leadership, directing or authority-compliance style leadership
during crisis (Fox, 2009). There are three factors of leadership in the transactional
leadership model (a) contingent reward, (b) management by exception, and (c) passive
avoidance (Bass & Avolio, 1994). In management by exception, monitoring task
execution is used to correct problems and to maintain existing performance levels (Bass
& Avolio, 1994). Passive avoidance, known as laissez-faire leadership, occurs when
leaders react only as a contingency plan to serious problems and may avoid making any
decisions at all (Bass & Avolio, 1994). Transactional leaders are better suited than
laissez-faire leaders but are less effective than transformational leaders (Stuart, 2007).
Transactional leadership style is a ‘spin-off’ of transformational leadership theory in that
it minimizes the individual needs of followers (Christensen, 2009). Instead of self-
satisfaction, in transactional leadership theory the idea of exchange of valuable things to
advance both the leader’s and follower’s agenda is posited (Christensen, 2009).
46
Followers do what the leader suggests because it is in their own best interests (Northouse,
2007).
Transactional leaders cannot function as well as a transformational leader during
times of crisis (Stuart, 2007). For example, many transactional leaders use the reward
system to achieve maximum results in performance (Pearce, Sims, Cox, & Ball, 2003).
In contingent reward, what is expected from followers is identified, along with what they
receive if expected levels of performance are achieved (Bass & Avolio, 1994). The
reward system should not be used to motivate subordinates into performing their jobs: it
can be used, but not as a primary tool (Pearce et al., 2003). A transactional leader
encompasses the view that the leader needs to modify the way subordinates perceive the
contingency relationships between effort and subsequent satisfaction depending on the
task environment (Pearce et al., 2003). Additionally, a transactional leader utilizes a
negative feedback and negative reinforcement attitude (Christensen, 2009). It can be
active when employees are watched too closely or passive when leaders wait until
appraisal time to comment on the failures of the employee (Northouse, 2007).
It is evident that a purely transactional style of leadership is inappropriate when
dealing with crisis-situations such as Hurricane’s Katrina and Ike. It is almost impossible
for a leader to foresee crises and all aspects associated with it. As such, a transactional
leader who uses rewards for action or correction after failure must be either clairvoyant,
or always trying to catch up with events that have already passed (Christensen, 2009).
An extensive study conducted in U.S. government organizations and other countries,
Trottier, Van Mart, & Wang (2008) surveyed 100, 657 government employees who
evaluated their immediate supervisors. Trottier and colleagues found that although
47
leaders in government organizations used both transformational and transactional
leadership behaviors, transactional leadership was more common than transformational
leadership. The findings indicated that when used together transactional and
transformational leadership behaviors explained 70.9% of leader effectiveness and 72.1%
of employees’ satisfaction with their leaders. In other words, the federal employees
perceived leader effectiveness and employee satisfaction to be almost equal, even though
they reported greater leadership effectiveness and satisfaction with transformational
leaders (Trottier et al., 2008). Researchers have used data to demonstrate that
transformation leaders are more effective than purely transactional leaders regardless of
how effectiveness has been defined or measured (Bass & Avolio, 1992).
While both transactional and transformational leadership theories bring value,
(Bass & Avolio, 2010) the implementation of transformational theory appears to have a
greater impact on crisis leadership. Bass (1990) regarded transactional-transformational
theory leadership framework as universal (Woods, 2007). Among the leadership
behaviors, charisma leadership experts consider leadership challenges and visionary
leadership similar to many other studies (Woods, 2007). Typically, researchers of
outstanding leadership focus on one style of noteworthy leadership, charismatic
leadership or the closely aligned theory of transformational leadership (Bass & Avolio,
2010). The implications of transactional and transformational leadership for individual,
team, and organizational development cannot be overstated (Bass & Avolio, 1990).
Effective Leadership Styles and Organizational Culture for Crisis Management
When individuals are asked what they think an effective leader is common
responses include that leaders set strategy, motivate, create mission, and build culture
48
(Goleman, 2000). The next question posed is; what should leaders do, and the universal
answer is that a leader’s singular job is to get results by turning strategic objectives into
reality (Goleman, 2000). Previous failures such as slow responses to affected areas, the
inability to provide food and water to victims in a timely manner, and the inability to
coordinate federal, state, local, and private support to affected areas during the last
decade are a few of the leadership failures that were a direct result of leadership affecting
management (Davis, 2006). Goleman (2000) studied over 3800 executives and
uncovered six different leadership styles.
1. Coercive leaders that demand immediate compliance.
2. Authoritative leaders that mobilize people toward their mission.
3. Leaders that create emotional bonds and harmony.
4. Democratic leaders that build consensus through participation.
5. Pacesetting leaders that expect excellence and self-direction.
6. Coaching leaders that develop people for the future.
As a result, leaders who are flexible and can switch to different methods to meet
the goals of the organization are most successful (Blanchard, Hersey & Johnson, 2007).
Situational leadership allows leaders to use different leadership styles depending on the
situation they are facing and to get results (Blanchard, 2010; Hershey, 1985). It is
believed that the optimal leadership style for emergencies must incorporate a situational
style that may incorporate some or all of these traditional styles (Blanchard, 2010;
Hershey, 1985). This style allows the manager to access the situation and then use the
most appropriate leadership style. Key to the success of situational leadership is the
amount of direction and support that the manager gives their subordinates (Krouzes,
49
2007). Kenneth Blanchard and Paul Hershey have identified key steps in the situational
leadership process:
1. Make an overview per employee of his/her tasks
2. Assess the employee on each task
3. Decide on the leadership style per task
4. Discuss the situation with the employee
5. Make a joint plan
6. Follow up, check and connect
Situational leadership’s strength is the ability to be easily understood and it is
easy to use (Blanchard, Hersey, & Johnson, 2007; Walmumbwa, Avolio& Zhu, 2008;
Yukl, 2006). The downside to the model is that it fails to distinguish between leadership
and management, leadership is not primarily about making decisions and it most cases
the leader varies the style for each individual but it is after the fact that they have decided
that change is necessary (Blanchard, Hersey, & Johnson, 2007). The challenge is
identifying the optimal leadership characteristics of emergency leaders and to offer a new
recommendation that assists in developing an optimal leadership style for future
emergency leaders (Walmumbwa, Avolio& Zhu, 2008; Yukl, 2006). In optimal
leadership emergency leaders rectify problems during hurricanes in a timely manner
while reducing loss of life and property (Bass,Avolio & Jung 1996; Hershey, Blanchard
& Johnston, 2007). By identifying strengths and weaknesses of leadership styles such as
situational, collaborative, transformational, and ethical and combing them to form a
recommended optimal leadership style leaders will be more developed to deal with the
stress and challenges associated with hurricanes. With a strong base of leadership traits
50
developed many emergency leaders that have performed poorly in the past will develop
optimal leadership styles that will assist in timely response to hurricanes (Shugart, 2011).
These different methods correlate with transformational leadership traits.
Transformational leadership style is not an alternative to transactional leadership;
rather, transformational leadership augments transactional leadership (Bass & Avolio,
2010). Transformational behaviors have proven dominant in organizations that require
strong and sound leadership (Graham, 2008). Transformational leadership theory was
introduced in 1978 by the political sociologist James McGregor Burns when he
distinguished between two types of leadership (a) transactional and (b) transformational
(Firestone, 2010). Burns described transactional leadership as a temporary leadership
process, because once the exchange occurs, the leader and follower are free to go their
separate ways as they are not bound together in pursuit of a higher purpose (Mancheno,
Endres, Potak & Athansaw, 2009).
Others believe that transformational leadership involves the transformation of
attitudes and assumptions of organization members to build commitment to the
organization members’ mission, objectives, and strategies (Yukl, 2002). Another
leadership expert described transformational leaders as those who elevate followers,
desire achievement and self-development while promoting the development of the
organization (Burns, 1978). A charismatic-transformational leader utilizes personal
attributes to attract others to their desired goal (Porsche, 2009). As such, these
transformational leaders remain dominant, have a strong desire to influence others,
remain confident, and maintain a strong sense of their moral values (Humphreys, 2001).
The transformational leader serves as a role model to employees and strives to gain their
51
trust and confidence (Bass & Avolio, 2010). It is through trust and admiration that
transformational leaders are able to motivate employees to perform beyond the normal
expectations (Bass, 1985).
Transformational leaders identify the unfulfilled needs of potential followers but
then take it to the next level by satisfying higher needs and engaging the full person of
the follower (Firestone, 2010). At the same time, the transformational leader transforms
followers’ collective goals and blends them with those of the organization’s management
(Mancheno, Endres, Potak & Athansaw, 2009; Porsche, 2009). The four components of
transformational leadership include (a) idealized influence, (b) individual consideration,
(c) intellectual stimulation, and (d) inspiration (Bass, 1990; Yukl, 2002).
A leader who exhibits idealized influence is dependable and ethical (Bass, 1990).
The leader provides vision and a sense of mission as he or she gains the respect and trust
of employees (Bass, 1990). A leader with these traits uses their position to help all
employees achieve the goals of organization management while consistently taking a
stand on important issues (Bass, 1990). Because this type of leader continually does what
is best for employees instead of putting his or her own needs first, the leader is able to
initiate change within the organization (Bass, 1990).
An inspirational motivator articulates a clear vision that is appealing and inspiring
to employees (Hater & Bass, 1998). He or she encourages employees to envision an
idealistic organization that is shared by all and continually motivates employees to that
goal (Hater & Bass, 1998). Inspirational leaders provide meaning to the employees’
work and challenge them with high expectations (Bass, 1985). This type of leader
consistently talks enthusiastically about impending organizational changes, points out
52
positive aspects, and outlines future advantages that will benefit the employees and the
organization (Bass, 1985).
Leaders with intellectual stimulation challenge assumptions and take risks (Bass,
1990). One must remember that intellectual does not always mean that a leader has a
higher educational background as the intellectual offerings can come from experimental
learning (Eich, 2008). In an effort to solicit new ideas and create solutions to problems,
intellectual leaders include employees in the effort (Bass, 1985). Intellectual leaders
encourage employees to think of new solutions by discussing the issues with them and
challenging them to question their old beliefs (Bass, 1985). These types of leaders are
supportive when employees try new approaches (Northouse, 2007) and motivate
employees to become more involved in the jobs.
A leader who is individually considerate recognizes and supports each employee’s
needs, values, and abilities (Bass & Avolio, 1994). The leader acts a mentor or coach
(Bass & Avolio, 1994). These types of leaders focus on helping employees achieve their
maximum potential to affect the organization (Bass, 1985). Additionally, this leader is
able to provide constant feedback and is able to link the employee’s needs to the
organization’s mission (Bass, 1985).
Researchers have suggested that tasks that engage workers in decision making
instead of repetitive or mundane efforts would be more motivating in the long run
(Muffet-Willet & Kruse, 2009). These types of leaders are able to gain trust, the
confidence of followers, obtain maximum development and organizational performance
(Bass & Avolio, 1992). This process changes and transforms individuals by elevating
them to a level at which they become leaders (Firestone, 2010).
53
Although transactional and transformational leadership are two separate concepts,
they may, in fact, be displayed in varying amounts by the same leader (Firestone, 2010).
For example, Spinelli (2006) conducted a survey in which 150 health managers in the
United States rated the leadership styles of their CEOs and their willingness to exert extra
effort, perceptions of effectiveness of their CEOs, and satisfaction with their leaders. The
results showed that transformational and transactional leadership behaviors were
positively identified with success and effectiveness, whereas laissez-faire leadership was
not positively identified to increase effectiveness. Effective leaders must rely on
followers and these followers must be honest with the leaders for the leaders to be
effective (Bennis, 1993). In transformational leadership theory, it is suggested that
leaders who are charismatic and motivate employees by inspiring them, consider them
individually, and stimulate their intellectual, are transformational (Bodla & Nawaz,
2010).
During times of crisis such as Hurricane Ike, the implementation of
transformational leadership style is imperative to control mass confusion (Bodla &
Nawaz, 2010). Transformational leaders can come forward in times of crisis, but a crisis
is not a necessary condition for transformational leadership (Yukl, 2002). During times
of anxiety, frustration, and helplessness, transformational leaders’ ability to remain calm
and express optimism about the future may help to led team members to success (Bass,
1998). During Hurricane Ike, Judge Ed Harris, the emergency management director for
Harris County, Texas, demonstrated a transformational leadership style (Anonymous,
2008). Harris remained calm and helped guide members of the organizations responsible
for response and recovery operations during Hurricane Ike (City & County, 2008).
54
Researchers have shown that police agencies, fire departments, and other local
first responders do not practice transformational leadership. Instead, they practice
transactional leadership, rational influencing behaviors, and management by exception
(Fox, 2009). Unlike transformational leaders who transform emergencies into
developmental challenges by presenting crisis as intellectual stimulus encouraging
followers to seek thoughtful, creative, and adaptive solutions to stressful conditions,
many of these agents use hasty, defensive, or maladaptive methods (Mancheno, Endres,
Potak & Athansaw, 2009). The uncertainty of a crisis increases a leader’s ability to be
transformational, as they provide guidance to individuals during a difficult time (Bass,
1998).
There are many critics of transformational leadership theory. In 1990, Bass
countered this criticism by illustrating that the five factors of transformational leadership
were grounded in moral foundations (Sholes, 2010). Another criticism of
transformational leadership is the promotion of the idealistic view of transformational
leaders as heroes, as referred to by Hurst (1995) in the discussions of crisis and
leadership. Howell and Shamir (2005) countered this idealism by focusing on the
interactions of leadership and followers, and their research reflected that the behavior of
the followers influenced leadership behaviors. In this sense, heroic efforts, displayed by
leaders, reflected the empowerment displayed by followers (Howell & Shamir, 2005).
While both transactional and transformational leadership theories have value the
implementation of transformational theory appears to have a greater impact on crisis
leadership (Mancheno, Endres, Potak & Athansaw, 2009). Bass (1990) regarded
transactional-transformational theory leadership framework as universal (Woods, 2007).
55
Among the leadership behaviors, charisma leadership experts consider leadership
challenges and visionary leadership similar to many other studies (Woods, 2007).
Typically, researchers of outstanding leadership focus on one style of noteworthy
leadership, charismatic leadership or the closely aligned theory of transformational
leadership (Blanchard, 2010). The implications of transactional and transformational
leadership for individual, team, and organizational development cannot be overstated
(Hackman & Wagemand, 2007).
Transformational leaders succeed during hurricanes because they use common
sense, are not afraid to take charge, and are willing to put personal goals aside for the
betterment of the affected areas (Crawford, 2005). Charismatic leadership styles,
transformational leadership, and visionary leadership have overlapping elements because
they all focus on values and emotions (Blanchard & Johnson, 2007). They are easily
distinguishable from transactional, authoritarian, and laissez-faire leadership styles
(Reynolds, 2009). Crawford (2005) suggested that transformational leaders are leaders
who are accountable to their followers by using a follower-centered technique. Laissez-
faire leaders are not, and tend to demonstrate the least effective of the management styles
used during crises (Kirkbride, 2006). Bass (1990) indicated that leaders who tend to be
more autocratic and directive because goals are clear and structured are more effective.
Effective leaders use the 10 traits of dynamic leaders that includes (a) self-
knowledge, (b) open to feedback, (c) eager to learn and improve, (d) curious, risk takers,
(e) concentrate at work, (f) learn from adversity, (g) balance tradition and change, (h)
open style, (i) work well with systems, and (j) serve as models and mentors (Bennis,
2000). Leaders with a transformational authoritarian style engage in high levels of
56
control, although democratic leaders are more apt to solicit input from subordinates, and
laissez-faire leaders typically delegate much of their authority to others (Kirkbride,
2006). Although a democratic style of leadership is preferred for most day-to-day
operations, research indicated that, in contrast, authoritarian leadership styles might be
better suited for crises (Seeger, 2006). In many companies, employees respond better
when they are held accountable for their own actions and goals are set (Schein, 2004).
Effective transformational leaders can halt crises by disclosing opportunities, arousing
courage, and stimulating enthusiasm (Bass, 1990). The Galveston emergency
management coordinator during Hurricane Ike displayed transformational leader traits
because he was willing to brave the elements and appeared to be calm, collected, and in
charge during the hurricane (City & County, 2008). Many leaders experience a serious
threat to the basic structure or fundamental values and norms of the systems they control
(Cotton, 2009). This threat under time affects highly uncertain circumstances and the
ability to make vital decisions (Cotton, 2009).
Because followers may be more willing to grant greater control to a leader in a
crisis, leaders using an authoritarian style typically give the appearance of decisiveness,
which in the unstructured and confusing times of a crisis helps to reduce uncertainty and
helps the community regain a sense of control (Reynolds, 2009). Transformational
leaders can provide support to make subordinates hardy and to maintain their high-quality
performance and decision making despite the presence of stressful conditions (Pines,
1980). Transformational leaders tend to ask followers to transcend their own self-interest
for the good of the group, organization, or society; to consider their long-term needs to
57
develop themselves, rather than their needs of the moment; and to become more aware of
what is important (Bass, 1990).
During Hurricane Ike it was easy for leaders at all levels to focus on members of
their communities or areas of responsibility, but transformational leaders were able to
help these leaders shift their focus to the needs of the many, not the needs of the few
(Newcast, 2009). It has been over 30 years since Bass introduced the theory of
transformational leadership, and contemporary research continues to support historical
data for its nine factors (Graham, 2005).
Although a transformational leadership style is ideal during a crisis, a
collaborative leadership method is also ideal for a crisis (Muffet-Willet & Kruse, 2009).
When organizational members hold commonly agreed beliefs about how to approach
situations, they are more likely to respond in ways that support organizational values,
even in the absence of direction (Muffet-Willet & Kruse, 2009). Collaborative leadership
uses many of the same techniques that researchers call leadership from the edge
(Vogelaar, 2007). For example, when a leader uses leadership from the edge
subordinates are able and authorized to the initiatives that are necessary to deal with the
situations they encounter (Vogelane, 2007). Many emergency organization leaders use
this method and it has proven valuable for on-scene commanders where there is a lack of
guidance from superiors (Vogelane, 2007). Historians have shown that it is the first
responder who deals with most situations during a crisis (Vogelane, 2007). They are the
ones who relay important information to their superiors, which allows them to make
informed decisions that affect the entire response and recovery effort (Vogelaar, 2007).
This line of thinking requires leaders who display transformative or collaborative
58
leadership styles to simulate initiative throughout all ranks of the affected organization
(Vogelaar, 2007).
Just as collaborative leadership is fundamental for transformational leaders, so is
the emergent leadership influence. When a leader uses emergent leadership methods,
they change as issues arise during a crisis (Porsche, 2009). The evolution of influence
determines patterns of behavior and what practices are acceptable (Porsche, 2009).
Emergent leadership is implemented in a five-cycle process. Out of the five cycles, two
are particularly important (a) networking and (b) realizing the benefit of working
together. The first stage involves networking and connecting with other individuals or
organizations (Porsche, 2009). This networking is one of the major flaws that emergency
managers have or had prior to Hurricane Katrina and the September 11, 2001, terrorist
attacks (Wigginton, 2007).
Many issues that emergency managers deal with have already been experienced
by other leaders and solutions have already been devised (Wigginton, 2007). The second
stage consists of the realization of a benefit of working together (Porsche, 2009). This
was a problem during Hurricane Katrina when local, state, and federal emergency
response personnel found it difficult to work together, forgetting the benefit on one united
front (Wigginton, 2007). The system of influence and development of teams working
together to meet a common goal is a basic tenet of leadership, but many leaders lacked
this during previous disasters (Wheatley & Frieze, 2006).
Another key element of successful leadership is ethics (Fahey, 2007). Ethical
leadership style is positively associated with transformational leadership theory and its
components (Toor & Ofori, 2009). Ethical leadership style is negatively associated with
59
transactional leadership and laissez-faire leadership. Ethical leadership style is positively
associated with the contingent reward dimension of transactional leadership (Fahey,
2007). Additionally, ethical leadership is positively associated with employee outcomes
(satisfaction with the leader, leader effectiveness, and willingness to give extra effort)
(Garnet & Kouzmin, 2009). Finally, ethical leadership is positively associated with
transformational culture, but negatively associated with transactional culture (Toor &
Ofori, 2009).
In Ethics: The Heart of Leadership, Ciulla (1998a) noted that there have been few
articles where researchers provided an in-depth analysis of ethics and leadership. Ciulla
(1998a) argued that ethics is located in the heart of leadership studies and is not an
appendage (Woods, 2007). Ciulla (1998a) believed that many writers simply rehash old
material and do not take a new formal approach to ethics in leadership. Hollander (1998)
stated that leaders’ values must be part of the decision-making process and a leader is
faced almost daily with ethical challenges and choices (Hollander, 1998). Hollander
(1998) also stated that being a leader allows more influence and power over others’
outcomes and events. The leader also has many benefits and privileges, including higher
financial rewards and the freedom to keep at a distance, if desired. These benefits come
at a price of responsibility and accountability (Fahey, 2007).
Ethical leadership is based on emotional relationships, with an emphasis on
charisma replaced by a much more mundane notion of trust. The failure of trust is bogus
empowerment (Pompe, 2011). At this point, leaders are placing themselves on the line in
terms of ethical behavior (Woods, 2007). Brenkert (1994) divided the ethical issues into
four divergent views (a) rigorist, where ethical rules are absolute and without exception,
60
(b) particularist, where only particular cases or experiences can determine ethical action,
(c) compatibility, combining principles and cases is a necessity for modern ethics, and (d)
practicality, which focuses on individual cases but “within an understanding informed by
paradigms, moral taxonomies, consensus, and common moral institutions” (Brenkert,
1994). Ethics will remain split between leadership styles and organizational culture such
as transactional and transformational (Woods, 2007). In the transformational theory, the
ethical dimension is less important than that of empowerment, the power to motivate
others (Woods, 2007).
Transformational leadership has five dimensions of factors (a) idealized influence
(attribution), (b) idealized influence (behavioral), (c) inspirational motivation, (d)
intellectual stimulation, and (e) individual consideration (Robbins & Coultar, 2005).
Idealized influence allows the transformational leader to act as a role model for the
people that they lead (Robbins & Coultar, 2005). These leaders receive admiration and
loyalty from their followers, and have an extra level of capabilities, a higher degree of
persistence, and true determination when compared to their subordinates (Robbins &
Coultar, 2005). The two aspects of idealized influence are behavior and attribution
(Robbins, 2005). These aspects allow transformational leaders to be trusted to do the
right thing while demonstrating a high level of moral and ethical conduct (Robbins,
2005). Individuals employing transformational leadership factors may not have a moral
approach to leadership (Barling, Christie, & Turner, 2007). Leadership that lacks ethical
conduct can be dangerous, destructive, and even toxic (Toor & Ofori, 2009).
It has been found that ethical leadership is positively and significantly associated
with transformational leadership and transformational culture (Toor & Ofori, 2009).
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Transformational leaders use inspirational motivation to inspire their followers by
explaining meaning and elaborating the challenges that face the group (Robbins, 2005).
Transformational leaders demonstrate expectations and a sense of commitment (Robbins,
2005). In addition, transformational leaders stimulated followers by being creative,
innovative, questioning assumptions logically, and approaching problems in new ways
other than traditional methods (Robbins, 2005). Finally, a transformational leader always
tries to provide special attention to individual aspirations and the need for growth and
achievement by acting as a mentor (Robbins, 2005).
Transformational leaders succeed during hurricanes because they use common
sense, are not afraid to take charge, and are willing to put personal goals aside for the
betterment of the affected areas (Crawford, 2005). Charismatic leadership styles,
transformational leadership, and visionary leadership have overlapping elements because
they all focus on values and emotions (Crawford, 2005). They are easily distinguishable
from transactional, authoritarian, and laissez-faire leadership styles (Reynolds, 2009).
Crawford suggested that transformational leaders are leaders who are accountable to their
followers by using a follower-centered technique. Laissez-faire leaders are not, and tend
to demonstrate the least effective of the management styles used during crises (Bass,
1990). Bass (1990) indicated that leaders who tend to be more autocratic and directive
because goals are clear and structured are more effective.
Effective leaders use the 10 traits of dynamic leaders (a) self-knowledge, (b) open
to feedback, (c) eager to learn and improve, (d) curious, risk takers, (e) concentrate at
work, (f) learn from adversity, (g) balance tradition and change, (h) open style, (i) work
well with systems, and (j) serve as models and mentors (Bennis, 2000). Leaders with a
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transformational authoritarian style engage in high levels of control, although democratic
leaders are more apt to solicit input from subordinates, and laissez-faire leaders typically
delegate much of their authority to others. Although a democratic style of leadership is
preferred for most day-to-day operations, research indicated that, in contrast,
authoritarian leadership styles might be better suited for crises (Seeger, 2006). In many
companies, employees respond better when they are held accountable for their own
actions and goals are set (Schein, 2004). Effective transformational leaders can halt
crises by disclosing opportunities, arousing courage, and stimulating enthusiasm (Bass,
1990). The Galveston emergency management coordinator during Hurricane Ike
displayed transformational leader traits because he was willing to brave the elements and
appeared to be calm, collected, and in charge during the hurricane (City & County, 2008).
Many leaders experience a serious threat to the basic structure or fundamental values and
norms of the systems they control (Cotton, 2009). This threat under time affects highly
uncertain circumstances and the ability to make vital decisions (Cotton, 2009).
Because followers may be more willing to grant greater control to a leader in a
crisis, leaders using an authoritarian style typically give the appearance of decisiveness,
which in the unstructured and confusing times of a crisis helps to reduce uncertainty and
helps the community regain a sense of control (Reynolds, 2009). Transformational
leaders can provide support to make subordinates hardy and to maintain their high-quality
performance and decision making despite the presence of stressful conditions (Pines,
1980). Transformational leaders tend to ask followers to transcend their own self-interest
for the good of the group, organization, or society; to consider their long-term needs to
63
develop themselves, rather than their needs of the moment; and to become more aware of
what is important (Bass, 1990).
During Hurricane Ike it was easy for leaders at all levels to focus on members of
their communities or areas of responsibility, but transformational leaders were able to
help these leaders shift their focus to the needs of the many, not the needs of the few. It
has been over 30 years since Bass introduced the theory of transformational leadership,
and contemporary research continues to support historical data for its nine factors
(Graham, 2005).
Summary
To prepare for disaster management, federal, state, and local government
employees, along with members of the private sector, spend millions of dollars annually
on university leadership courses, executive development programs, and off-site retreats
for mid-level and senior managers. Despite this, leadership is still considered the
weakest link in emergency management (Kramer, 2007). Ineffective leadership has
plagued the emergency management community for years. The rapid pace of change in
the world today includes everything from advancements in technology, workforce
diversity and product preferences by organizations and communities (Jones, 2010). The
ineffective leadership styles and organizational culture of federal, state, and local
governments during previous hurricanes increased hurricane-related damage, resulting in
unnecessary loss of life and infrastructure throughout the Gulf Coast. Research has
demonstrated that existing federal, state, and local officials use deficient hurricane
response planning techniques, which results in many of the issues associated with
hurricane response and recovery operations. The leadership development program of
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many organizations not only affects the performance of their duties but also has a fiscal
impact. It is estimated that Hurricane Katrina cost over $600 billion and Hurricane Ike is
at $ 22 billion in losses. Many leaders still do not comprehend both the emergency
manager’s role and the emergency response role of emergency personnel. Leadership
development can directly affect an organizations ability to perform at its best.
The literature review assisted in providing a strong background for the study and
includes adequate amounts of scholarly material to justify the study regarding emergency
management leadership styles. Gaps found in the literature review included the inability
of federal, state and local government officials and support agency personnel to respond
in an adequate amount of time to hurricanes, resulting in the devastation of lives,
property, and capital (United States Government Accountability Office, 2009). The
review revealed a scarce amount of information pertaining to leadership traits and
cultures in relation to first responders and the leaders that prepare them for crisis
situations. Currently, the field of emergency management and the ability to lead during
hurricanes has gained a new importance as Americans have experienced numerous
manmade and natural disasters (Waugh & Streib, 2006). Crisis operations, which are
multiorganizational, transjurisdictional, polycentric response networks now allow
individuals to control how well response and recovery operations are implemented
(Helsloot, 2008). Lateral coordination, not top-down command and control, are required
for crisis operations (Helsloot, 2008).
Researchers have shown that leadership and culture directly affects the mitigation,
preparation for, and recovery from natural and manmade disasters (Silvia & McGuire,
2010). Many studies show that we fail to learn from past disasters and that effective
65
leaders study and implement lessons learned from pervious mistakes (Donahue & Tuohy,
2006). According to Pierce and Newstorm (2007), between the 1950s and early 1990s,
many researchers examined the role of individual traits in leadership effectiveness but
failed to identify precise traits that predict leadership success. Extreme situations such as
hurricanes create a social shock that is significant enough to affect the effectiveness of
many leaders’ decision-making skills (Barnshaw, Letukas, & Quarnatelli, 2007). In
dealing with the disaster, demands for collaboration can challenge local first responders
due to their different sizes, missions, and policies (Comfort, 2006). Members of
communities along the Gulf Coast expect some kind of hurricane activity yearly and yet
many community members are not prepared to deal with the response and recovery
actions after a hurricane makes landfall (Mullins, 2007).
Researchers suggested that, in many ways, successful crisis leadership is similar
to transformational leadership in that the focus of leadership interaction and relationship
development with followers, the perception of leadership influence, and situations may
determine outcomes (Yukl, 2006). Transformational leadership theory is the leadership
style identified as equipping leaders to effectively deal with crises such as Hurricane Ike.
The ability to transform a crisis into the joint responsibility of the leader and members of
the organization is one of the greatest things a leader can accomplish during crises
(Christensen, 2009). Transformational leadership culture is one example from within a
broader taxonomy of organizational culture profiles (Bass & Avolio, 2006). These types
of leaders influence the course of events, inspire their followers, and take responsibility
for the successes and failures of organizations under their charge (Yukl, 2006). As such,
the culture that leaders establish affects the overall performance of their followers (Bass.
66
2006). Leaders with a transformational authoritarian style engage in high levels of
control, although democratic leaders are more apt to solicit input from subordinates and
laissez-faire leaders typically delegate much of their authority to others (Bass, 1990).
Laissez-faire, or passive/avoidant leaders, are often viewed as micro-managers
who have a negative impact on followers and peers (Bass, 1990). As a rule, followers
need guidance and details from leaders when they need immediate assistance or normal
job assignments change (Gozubenli, 2009). Transactional leaders are believed to be
better suited than laissez-faire leaders but are less effective than transformational leaders
(Stuart, 2007). Transactional leadership style is a ‘spin-off’ of transformational
leadership theory in that it minimizes the individual needs of followers (Christensen,
2009). Instead of self-satisfaction, in transactional leadership theory the idea of exchange
of valuable things to advance both the leader’s and follower’s agenda is posited
(Christensen, 2009).
Due to the recent occurrences of Hurricane’s Katrina and Ike, few investigations
have been conducted and little literature has been published regarding response and
recovery actions from both hurricanes in the Texas Gulf Coast region. To assist in
preparing for future emergencies, lapses in leadership traits, including leadership types
and organizational culture, ineffective and effective leadership styles during times of
crisis management, and support agency failures need to be understood (Kapucu et al.,
2009). Government leaders and citizens need to know whether the emergency
preparedness procedures, the emergency preparedness leadership teams for the federal,
state, and local government, the first responder units and support agency personnel
impacted the response and recovery efforts positively or negatively during Hurricane Ike
67
as a result from lessons learned during Hurricane Katrina. It is believed by many
scholars that the lessons learned from Hurricane Katrina helped reduce the loss of life and
property during Hurricane Ike and the same will occur from lessons learned Hurricane
Ike.
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Chapter 3: Research Method
The problem addressed in this study was that first responders, leaders, and support
agencies do not respond appropriately to natural disasters because of the leadership styles
employed or utilized by their managers or supervisors which can result in the
unnecessary loss of life, property, and livelihood of thousands of the affected population
(Anderle, Mitchell, Nastally, Sarver & Owens 2009; Burby, 2006). The purpose of the
qualitative single case study was to explore the leadership styles and the organizational
culture of first responders, leaders, and support agencies in Galveston, Texas who
conducted successful recovery operations during Hurricane Ike. It is estimated that
Hurricane Katrina cost over $600 billion and Hurricane Ike is at $ 22 billion in losses
(Anderle, Mitchell, Nastally, Sarver & Owens 2009; Burby, 2006). The leadership
development program of many organizations not only affects the performance of their
duties but also has a fiscal impact (Hayward, 2011).
Leadership in emergency management operations go far beyond search and
rescue, medical care, shelter and feeding and restoring lifelines (Waugh & Streib, 2006).
Emergency management leadership includes mitigation of risks to prevent or lessen the
impact of the disaster, emergency planning and training, and search and rescue missions,
restoring lifeline and basic services (Waugh & Streib, 2006). Many leaders still do not
comprehend both the emergency manager’s role and the emergency response role of
emergency personnel (Waugh & Streib, 2006). Identifying what type of leader style is
more effective during times of crisis will help communities during future natural
disasters. The most common types of leaders are (a) laissez-faire, (b) transactional, and
(c) transformational (Bass, 1990: Bennis, 1993). Leadership development can directly
69
affect an organizations ability to perform at its best (Bradford, 2011). Without
understanding the effective leadership styles of first responders many of the same issues
may lead to continued leadership failures and negative impact on populations affected by
these natural disasters.
Critics view emergency management efforts as being synonymous with
emergency response. The management of an emergency goes far beyond search and
rescue operations, medical care, shelter and feeding and restoring lifelines (Waugh &
Streib, 2006). Emergency management includes mitigation to prevent or lessen the
impact of the disaster, emergency planning and training, and search and rescue missions
to restore lifeline and basic services (Waugh & Streib, 2006). Many leaders still do not
comprehend both the emergency manager’s role and the emergency response role of
emergency management (Waugh & Streib, 2006). There are five different qualitative
research strategies identified as (a) ethnography, (b) case study, (c) grounded theory, (d)
basic or generic and (e) phenomenology (Bailey, 2007). Each of these research strategies
has common overlapping and a commonality with each other (Holliday, 2007). A case
study is the best method with which to study a small number of cases (Holliday, 2007)
while focusing on a specific phenomenon. A qualitative single-case study was
appropriate for the research study as it represent the case of Hurricane Ike in Galveston,
Texas, with a sample of 20 participants. A sample consisting of 20 firefighters, police
officers, and emergency personnel in Galveston, Texas, was appropriate for the research
as they are representative of the demographic explored (Trochim & Donnelly, 2008).
One of the most critical skills that a leader should possess is self-knowledge.
Emergency management leaders, government officials, and private sector personnel must
70
learn to clearly identify and embrace their own core values (McGinnis, 2006). They have
to develop a sense of mission for themselves and their organizations (McGinnis, 2006).
Leaders need the opportunity to strengthen self-confidence, renew their commitment to
public service, and learn the value of courage (McGinnis, 2006). Modern emergency
management presents a paradox: emergency response requires meticulous organization
and planning, but is also spontaneous (Waugh & Streib, 2006). Identifying what type of
leader is more effective during times of crisis will help communities during future natural
hurricanes. The most common types of leaders are (a) laissez-faire, (b) transactional, and
(c) transformational (Bass, 1990; Bennis, 1993). Experts believe that transformational
leaders are better suited to handle crises than transactional or laissez-faire leaders (Bass,
1990; Crawford, 2005). Emergency managers and leaders have to innovate, adapt, and
improvise, because plans, regardless of how well done, seldom fit circumstances. This
type of adaptation correlates with transformational leaders who are authoritarian (Seeger,
2006).
Many leaders still do not comprehend both the emergency manager’s role and the
emergency response role of emergency personnel. The type and style of leadership
directly affects the performance of the individuals, peers, or subordinates in all of these
organizations and their performance in crisis situations. During crisis situations it is
almost always the police, firefighters, and emergency personnel that respond first. In this
qualitative single-case study the leadership styles and culture of police officers,
firefighters, and emergency personnel in Galveston, Texas, who conducted response and
recovery operations during Hurricane Ike, was explored. The guiding research questions
are as follows:
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Q1. What were the predominant leadership styles that were used by police
officers during Hurricane Ike?
Q2. What were the predominant leadership styles that were used by firefighters
during Hurricane Ike?
Q3. What were the predominant leadership styles that were used by emergency
personnel during Hurricane Ike?
Q4. What are the strengths and weaknesses of these leadership styles in allowing
first responders to do their jobs quickly and efficiently?
Q5. What is the relationship between leadership styles and organization culture
that can be learned from the response and recovery operations employed
during Hurricane Ike?
Research Method and Design
A qualitative single-case study was appropriate for the research study, as the
approach provided a more robust exploration of leadership styles and organizational
culture during crisis management. The research used a qualitative approach to provide a
greater understanding of leadership and its effects on crisis management. The study used
interviews and a questionnaire to collect the primary data. In qualitative research, it is
acceptable for the participant sample size to be rather small and can vary from one to
several hundred. In this study, 20 participants were interviewed to gain in depth
knowledge of their lived experiences.
Individuals with little qualitative research experience should first pilot test their
study (Fink, 2006). A pilot study is a mini study before the study that is conducted in
order to fine tune instruments and attempt to resolve other issues (sample size, terms,
72
etc…) impacting the study. The nature of a pilot study is to utilize fairly small samples,
which produce preliminary data regarding the reliability of an instrument (Fink, 2006).
The results of the pilot study were used to modify the sampling criteria, research
instrument, and research questions. While completion of a pilot study does not guarantee
success of the actual study, it does increase the likelihood of success by identifying
unforeseen problems (Freemon, Hill, & Brumbaugh, 2006). For this study, the researcher
solicited 10 volunteer pilot study participants from the pool of those initially contacted
via telephone: 3 male and 3 female participants accepted. Information about these
individuals is included later in the chapter.
The pilot study demonstrated excellent internal consistency and reliability of the
interview questions and was supported via a review conducted by the 6 experts in the
field of emergency and disaster management and community leadership. The pilot study
was an opportunity to fine-tune interview questions and other issues affecting this study.
The participant received the interview questions via the internet and in person by the
researcher. Each participant was given their own amount of time to evaluate the
questions and to remark on any changes needed. The participants also had the
opportunity to explain their personal opinions of the study and its effects on future
emergency management operations. As each participant returned their questionnaire all
recommendations were noted and the questionnaire was adjusted.
For this study, quantitative or mixed-methods methodology were not chosen
because the research questions required non-standard methods to obtain the roles of
leadership and its influence on leaders, first responders, and support personal during
Hurricane Ike in Galveston, Texas. The unit of analysis consisted of emergency response
73
organizations in Galveston, Texas. The qualitative research provided in this study met
critical elements by: (a) providing credibility, since the participants can judge the results,
(b) transferability, since the transferability can be transferred to other contexts or settings
by properly describing contexts and perceptions, (c) dependability, emphasizing the
responsibility to define the settings and describe how conclusions of the study are
reached, and (d) conformability, which refers to the degree to which people corroborate
the conclusions of the study (Trochim & Donnelly, 2008).
The role of leadership and its effects on are often subjective. A qualitative
methodology is more appropriate for addressing subjective issues (Cross, 2004). The
lessons learned from Hurricane’s Katrina and Ike can contribute significantly to
knowledge and theory building in emergency and disaster management. When
addressing how and what questions the qualitative design was found to be more
appropriate for the study (Borrego, et al., 2009). Crang (2005) found that qualitative
methodology was best when determining descriptive-type problems when no other
research method seems appropriate. Responders to Hurricane Ike were the first to
incorporate many of the lessons learned from Hurricane Katrina into emergency response
operations (Federal Emergency Management Agency, 2009). Leadership teams had
direct contact with first responders and were responsible for the successes and failures of
response and recovery operations during numerous hurricanes (City & Council, 2008).
In the research, the focus of participant’s firsthand experiences was crucial. The
research goal was to determine the impact of leadership experiences during the two
hurricanes and leadership affected the outcome of leadership policies and response
efforts. Giorgi (1985) described two levels of empirical phenomenology. The first level
74
is data that originates from candid descriptions derived from open-ended questions and
instructed dialog (Giorgi, 1985). The second level entails reflective analysis and
interpretation by the researcher of the descriptions provided by the participants of the
study (Giorgi, 1985). The phenomenological process involves understanding
participant’s perspectives of the phenomena being studied (Shank, 2006).
Participants
A sample of 20 individuals who were involved in emergency operations during
Hurricane Ike represented the population in the qualitative single-case study. A unit of
analysis can be an individual, group, or event-focused case study (Yin, 2009). In the
study, the unit of analysis was members of the Galveston, Texas emergency response
organizations responsible for response and recovery actions during Hurricane Ike (Yin,
2009). Although Borrego (2009) suggested that a sufficient number of participants for a
qualitative study do not have to exceed 10 people, in the study, 20 participants (13%) out
of the 150 full-time employees of Galveston County’s emergency and response
organization more than adequately represent the population. The purposeful sampling
focused on 20 participants and responses to interview questions provided the researcher
with detailed and descriptive information to help answer the research questions.
Participants were selected based on their capacity in the emergency management
field. The leadership of first responders, government agents, and members of support
groups represent professionals who have experienced hurricanes and crises throughout
Galveston, Texas. The head of emergency management for Galveston represent key
decision-making personnel in the mitigation of hurricanes and the response and recovery
efforts conducted during Hurricane’s Katrina and Ike. As a former community
75
emergency response team (CERT) member for Galveston, the researcher had unusual
access to the study’s participants. Additionally, first responders, such as firefighters and
police officers assisted in balancing the perceptions from two sides of participants
entrenched in the emergency management response for Hurricane Ike.
In the qualitative interview process, life experiences were obtained from
participants based on 1 hour, open-ended interviews and surveys. The interviews were
conducted over the telephone and face-to-face. There were be 20 open-ended qualitative
questions, the responses to which helped the researcher to explore the leadership styles
and organizational culture used during Hurricane Ike (Bass & Avolio, 2009). The study
was explained to the 20 participants along with a brief explanation of the literature that
has been reviewed. All participation was voluntary, and each person signed a consent
form and confidentiality agreement. Each interview lasted 1 hour and the option to
extend the time was available if the discussion was leading to new and viable information
for the study.
Respect was given to the leadership and to leadership followers. Discussion of
the events that occurred during Hurricane Ike was not intrusive, but provided personal
privacy and confidentiality. Privacy protocol, when implemented by a researcher, is a
major way of increasing the reliability of the study and is intended to provide guidelines
for the investigator to collect data (Patton, 2002). The process of following established
protocols is important as it is used to anticipate problems (Patton, 2002).
Materials/Instruments
Using a qualitative interview process, life experiences were obtained from
participants based on one hour, open-ended interviews and surveys. In order to acquire
76
the necessary information for this case study, a list of questions was specifically designed
by the researcher (see Appendix C). These questions were developed upon review of the
situation and to get a better understanding of the leadership that was called upon to help
assist during both hurricanes. A personal interview is the most expensive, yet it yields
the highest percentage of return, highest accuracy, highest degree of completeness, and
highest overall reliability and validity (Miller, 1991). Additionally, the qualitative
research interview method is readily accepted by most participants in research studies
(Miller, 1991). An interview allows the researcher to appreciate another person’s
perspective that is assumed to be meaningful and knowable and able to be accurately
described (Patton, 2002). Open-ended questions required considerable amounts of time
and the analysis requires coding, and in order to establish the validity and reliability of
the coding procedures, independent observers are needed” ( Miller, 1991). Open-ended
questions become especially appropriate when the researcher is interested in obtaining
information regarding attitudes and feelings. The structured open-response interview is
most appropriate when a speedy and descriptive account of a topic is needed, where
factual information is to be collected, and where the nature and range of the opinion of
the interviews concerning the topic of the research are not well known in advance (Yin,
2009).
The interviews were conducted over the telephone and face-to- face. The
methods were determined by the preference of participates. In some cases it was more
convenient for participants to participate over the phone or they may felt more
comfortable in a face-to-face interview. The data from these interviews was processed
using a narrative form. Conclusions from this data were drawn that reflect on the
77
interests, ideas, and theories that initiated this inquiry. The interviews helped participants
reflect on their feelings while possibly learning information about themselves that they
had not already known (Patton, 2002). Before any contact was made with participants
the study was approved by the Northcentral University IRB to ensure ethical standards.
The process of following established protocols is important as it is used to anticipate
problems, including the way case study reports are to be completed (Yin, 2009).
Qualitative studies are not used to report data; researchers use them to report
scenes accounts of researchers, and engagements over time with informants in their
surroundings (Yin, 2009). The questionnaire was followed one week later with
interviews to minimize rater bias if any questions rose. According to Bass and Riggio
(2006), organizational culture has interactive effects on leadership. Data from the
questionnaire and interviews helped the researcher identify connections between styles of
leadership and forms of organizational culture. The anticipated response rate to the
questionnaires was projected to be 80% to 90%. The small sample size and the location
of the leadership and first responders was the reason for the projected high response rate.
To assist in improving the response rate, a letter was mailed to participants one week
prior to the beginning of the study in which study information, the interview process, and
the benefits that the study could have on the individual and organization was explained.
If any participants did not respond, a second letter was mailed to encourage participation.
Data Collection, Processing, and Analysis
Using a qualitative interview process, life experiences were obtained from
participants based on one hour, open-ended interviews and a questionnaire. The
interviews were conducted primarily over the phone. All participants were computer
78
literate and were able to participate in the study online with minimal supervision if
desired. There was a follow up via telephone after the interview to discuss any points of
ambiguity and gain clarity regarding the meaning of any responses that were not clear.
There were 20 open-ended qualitative questions, the responses to which were used to
explore leadership styles and organizational culture used during Hurricane Ike (Bass &
Avolio, 2009).
For this study, the researcher solicited 6 volunteer mini pilot participants via
telephone and e-mail: three male and three female participants accepted. The mini pilot
study for this research effort began with the researcher’s initial e-mail contact with Kathy
Morris, the former Kaufmann County Emergency Management Coordinator located in
Kaufmann, Texas. The criteria used for selection of the volunteer participants included
experts in the emergency management field who work at all levels of government, a
police officer, and a professor who is a security expert. The degree levels range from
bachelor’s to doctoral level and the average experience was at least 20 years. One final
criterion for the pilot study was that participants must have completed at least a
bachelor’s degree. The rational for this final criterion was that participants would be
better able to provide feedback on the interview questions, actual research participant
selection, data collection, and other issues related to the study. The participants who
participated in the mini pilot study included three males and three females. Some elected
to use a pseudonym, while others were given neutral names. The mini pilot study
consisted of the following:
Kathy Morris
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Kathy Morris is the former Kaufmann County Emergency Management Coordinator
located in Kaufmann, Texas. She has been in the public service for 20 years and earned a
Master’s Degree in Business Administration. In her current position, Mrs. Morris
oversees the public works and emergency management operations for Kaufmann County.
Phillip Mongeau
Phillip Mongeau is employed as the emergency management coordinator for Mesquite,
Texas. He has been in the police department and emergency management field for over
15 years and earned a Master’s Degree in Emergency and Disaster Management. In his
current position, Mr. Mongeau oversees the operations and is in charge of coordinating
with local, state, and federal organizations for the conduct of emergency operations in
Mesquite, Texas.
Jeffery Goodfred
Jeffery Goodfred is employed as a police officer for Mesquite, Texas. He has been in the
United States Marine Corps for over 23 years and a police officer or two years and has
earned a Master’s Degree in Emergency and Disaster Management. In his current
position, Officer Goodfred works as a police officer in Mesquite, Texas. His leadership
experience in the U.S. Marine Corps and his role as a first responder is perfect to reflect
the issues associated with the future study.
Cassandra Wallace
Cassandra Wallace is the Dallas County, Texas Community Emergency Response Team
(CERT) liaison in Dallas, Texas. She has been in the public service for 20 years. In her
current position, Mrs. Wallace coordinates the training and administrative duties for the
Dallas County CERT program. She is in a unique position of working with all levels of
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government and the private community in preparing the Dallas County CERT members
for any disaster.
Dorothy Brooks
Dorothy Brooks is the city secretary for the city of Forney, Texas. Additionally, Mrs.
Brooks has the responsibility of coordinating emergency management training and roles
for the city. She has been in the public service for 16 years. She is in a unique position of
working with the mayor of Forney, Texas and all first responders. She has served in the
role for both Rockwall and Forney, Texas.
Ronald Monard
Doctor Ronald Monard is an adjunct professor at Northcentral University and specializes
in homeland security and law. Doctor Monard holds a Juris Doctor. In the private sector
Dr. Monard has served as the president of Keystone Security Consultants and as a regular
lecturer on workplace issues and terrorism. His position of working with security firms
and as a lecture is valuable as all experience leadership issues and they affect homeland
security.
All of the mini pilot study interviews were via the internet, face to face, and by phone
with each one taking about an hour to complete. Based on the mini pilot study and
participant recommendations several changes were made to the interview questions. The
following are the changes:
1. Question 1 was changed to form one question instead of a compound question.
2. Question 2 was reworded in stop repeating the word position.
3. Question 7 changed from how would you define leadership to in your own words
how would you define leadership?
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4. Question 9 changed from can you describe your leadership style to how would
you describe your leadership style?
5. It was recommended by Katy Morris that Hurricane Rita also be incorporated but
the researcher is focusing on Hurricane’s Katrina and Ike.
Participants received the modified interview questions by e-mail and my mail.
The data collected from the interviews was transcribed into Microsoft Word for analysis
using NVivo10® software (QSR International, 2010). Each participant’s responses were
a separate unit of data and were uploaded separately (QSR International, 2010).
NVivo10® software was used to code the similarities and differences in transcripts from
the initial interviews and the follow-up interviews (QSR International, 2010). Upon
receipt of the interview questions, all participants receive access to and instructions on
how to complete the interview. Participants received a reminder 10 days prior to the
interview being available. A two-week period for interviews was allowed for participants
to complete the interview. This period allowed participants to offer new information that
they may have forgotten in the initial interview process. Upon completion of the
interview, all participants will receive instructions on how to access their responses and
the outcome of the data collection.
The results were analyzed for validity and reliability by comparing the responses
and questions to previous studies on crisis management. In existing studies, researchers
provide knowledge that assisted in constraining the variables that are associated with
responses. Kvale and Brinkmann (2009) described their view of validity as a quality of
craftsmanship involving seven steps: (a) thematizing, (b) designing, (c) interviewing, (d)
transcribing, (e) analyzing, (f) validating, and (g) reporting. Thermatizing involves the
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soundness of the theoretical presumptions of the study and upon the logic of the
derivations from theory. The valid research design involves beneficence-producing
knowledge beneficial to the human situation while minimizing harmful consequences.
Interviewing involves the trustworthiness of the subject’s reports and the quality of the
interview process. Transcribing involves the valid translation from oral to written
language. Analyzing involves the question of whether the questions put to test are valid
and whether logic of the interpretations is sound. Validation entails reflective judgment
as to what forms of validation are relevant. Reporting answers the questions as to
whether the given report gives a valid account of the main findings of the study.
Qualitative researchers need to assess situations that do not necessarily rely on an account
and further the search to relate situations to knowledge (Vilegi-Peters, 2010). The focus
of the study was on leadership styles, organizational culture, behaviors, and functions of
the leadership who participated during emergency management operations in Galveston,
Texas when Hurricane Ike made landfall; a topic that strongly suggested the use of a
qualitative study. The qualitative researcher must consider that pieces of data cannot be
valid or invalid; what is an issue are the inferences drawn from them (Vilegi-Peters,
2010).
The qualitative single-case study was not used to focus on one subunit but on
numerous units within the Galveston emergency and response organizations to ensure
that the embedded design remains true. Trochim and Donnelly (2008) indicated that the
goal of reliability is to ensure that a measure is consistent or dependable. The strategies
for reducing bias and increasing validity and credibility were included in this qualitative
single-case study of the leadership styles, organizational culture, behaviors, and functions
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of leaders who participated during emergency management operations in Galveston,
Texas when Hurricane Ike made landfall.
Triangulation is the collection of information from a diverse range of individuals
and settings using a variety of methods (Maxwell, 2006). Triangulation minimizes the
possibility that the conclusions will reveal only the systematic biases or confines of only
a particular source (Maxwell, 2006). Moreover, triangulation helps to counter all of the
threats to trustworthiness (Padgett, 2008). According to Yin (2009), “The most important
advantage presented by using multiple sources of evidence is the development of
converging lines of inquiry, a process of triangulation and multiple measures of the same
phenomenon” (p. 116). Triangulation efforts include the data collection process of audio
recording in-person and telephone interviews and ensure accuracy and reliability by
mixing different types of purposeful samples. Methods used to ensure triangulation
include comparing observations with interviews; comparing what people say in public
and what they say in private; checking the consistency of what people say over time;
comparing the perspectives of people from different points of view; and checking
interviews against organizational documents and other written evidence that collaborate
participant responses (Patton, 2002).
To explore ineffective and effective leadership styles and the organizational
culture of first responder roles and support agency actions during Hurricane’s Katrina and
Ike, the researcher will focus on (a) ineffective leadership styles and organizational
culture during crisis management, (b) effective leadership styles and organizational
culture during crisis management, and (c) first responder and support agency
effectiveness. Leaders with a transformational, authoritarian style engage in high levels
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of control, whereas democratic leaders are more apt to solicit input from subordinates,
and laissez-faire leaders typically delegate much of their authority to others (Bass, 1990).
The interviews will help in determining what leadership styles were used during
Hurricane’s Katrina and Ike and if the leadership styles the organizational culture were
effective or non-effective. The leadership participants surveyed were placed into
categories that will assist in determining if they are either a transformational,
transactional, or laissez-faire leader (Kirkbride, 2006). Leaders who fall into multiple
categories of leadership styles were identified through the interview process. There was a
special category identifying these traits and if they were in fact successful, leadership
styles that should be used in future crisis management situations. The interview responses
were analyzed to determine the extent of successes or failures in leadership and
organizational culture during Hurricane’s Katrina and Ike (Zikmund, 2003).
Recommendations for new strategies on how to improve the roles of leaders, first
responders, and support agencies for future hurricanes will then be prepared.
According to Trochim and Donnelly (2008), when ensuring dependability, the
researcher must structure the study to ensure that the observed results can be repeated if
observed twice. In the study, the dependability of each element of leadership, first
responder leadership, and support agency leadership were different and all had different
roles (Bennis, 2000). A data audit was conducted by examining the data collection and
analysis procedures and was used to ensure that there is no potential bias or distortion
while ensuring the conformability of the study. Additionally, after all interviews the
same person transcribed and recorded to ensure dependability (Zikmund, 2003).
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The use of reliability and validity checks in the data collection process is
extremely important to the research process. Validity does not carry the same
connotations as it does in quantitative research, nor is it a companion of reliability
( Zikmund, 2003). In qualitative research, reliability plays a minor role in qualitative
inquiry. Validity determines if the findings are accurate from the standpoint of the
researcher and the participant (Trochim & Donnelly, 2008). Validity in qualitative
research also can be checked by respondent validation (Trochim & Donnelly, 2008). The
initial results are tested again with participants to see if they remain unchanged.
Participants should still be able recognize the previous results as genuine. To ensure
validity, the questions were presented to two experts in the emergency management field
at the federal, state, and local levels. Any issues that arose from the questions were
corrected before presenting the interview questions to the primary participants of the
study.
Additionally, tests were conducted with the same participants from federal, state,
and local governments to validate the method of interviewing 20 study participants. The
threat to validity, ethics, and integrity issues in the study could be a result of maturation
and history effects of the sampling. Interviews, which are an important part of the study,
can reduce bias and provide more objectivity and mechanically measure reliability by the
amount of agreement among independent observers to ensure internal validity (Kvale,
2009). Following Hurricane’s Katrina and Ike, participants were more prone to change
their responses due to time lapses and the understanding of the real causes of failures
during Hurricane Ike in comparison to Hurricane Katrina. There is a strong possibility
that these beliefs affected the data collected. Additionally, the people who provide
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consent to gather information from their agencies were in charge of other respondents
interviewed in this study. The two major threats to validity are concluding that there is
no relationship when there is, and concluding that there is a relationship when there is
none (Trochim & Donnelly, 2006).
Methodological Assumptions, Limitations, and Delimitations
Assumptions. The first assumption is that the statistical software was used
correctly to perform the test in the study. It was also assumed that all participants
understood the survey questions. Assumptions can create issues in the study. In this
study, the researcher is assuming that all participants understand the questions and they
will give accurate and honest responses. It is also assumed that the participants did
participate in emergency operations during Hurricane Ike and that they were in fact in
leadership roles or can provide accurate and non-biased information about their direct
leadership during that period.
Limitations. Limitations are the elements that the researcher has no control. It is
a potential weakness of the study. In many cases any assumptions that are made become
a limitation. Limitations include the period in which the questionnaires and interviews
were conducted. The size of 20 participants is a well-balanced number due to the time-
period after Hurricane Ike. It is very difficult to find participant that were in roles needed
for the study after four years. The established period may not be conducive for the
participants. Additionally, during the entire process participants may not feel
comfortable reporting their beliefs out of the fear of retribution. The researcher may
unknowingly affect the interview and create a distorted response by the participants. In
some cases the documentation has limitations because they may be inaccurate or
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incomplete. An example of limitation problems would be when respondents who were
citizens of New Orleans had to evacuate to Houston, Texas, and now live there. The
responses may be biased or been different had they been affected by only one hurricane.
Additionally, when a researcher is present, many participants are dishonest because they
cannot articulate and perceive the particular explored subject.
Delimitations. Delimitations are the characteristics the researcher has defined as
the boundary of the study. These are elements that the researcher can control. A
conscious decision such as the geographical area of Houston, Texas is an example of
delimitation. In this study the area of Houston will provide enough respondents to obtain
the needed responses for the study. Research was limited to police, firefighters and
emergency personnel who participated in emergency operations during Hurricane Ike
only. The reasoning is that time and bias media coverage could affect the responses of
the participants. These individuals are usually the first ones on the scene and responsible
for emergency operations. Higher leadership often changes with elections but most of the
named participants stay in their particular field as a career. The survey tool may not
apply to all participants and their responses may not reflect the values presented. In
terms of gender, ethnicity, or social position, the only clear issue could be that some
people who live in the less developed areas of the Texas Gulf Coast may harbor negative
feelings about the response and recovery efforts and therefore may not give true answers.
In the event that there are questions or uncertainty about the responses, phone
calls and e-mails were sent to participants for clarification. Because Hurricane Katrina
and other hurricanes have affected these citizens prior to Hurricane Ike, it is possible that
their responses involve previous hurricane experiences instead of just Hurricane Ike or
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both of they participated in operations during both hurricanes. The research was
nonexperimental, without deception, and the questionnaires were confidential.
Ethical Assurances
There are four areas of ethical research including protection from harm, informed
consent, right to privacy, and honesty with professional colleagues. Protection from
harm is the risk involving participation in the study and should not exceed day-to-day
risks. The participants who answer questions were in a safe and in friendly environment
that makes the participant feel comfortable. Informed consent is when the individual
understands the reason for the research and waives his or her right to privacy. As such
the respondent does expect a certain right that their identity will remain confidential. In
this study the confidentiality of participants is important as many have careers and would
not be truthful if they feared they would lose their jobs. It is important to explain a
participant’s right to privacy. A participant must understand that they can break off the
interview at any time they do not feel comfortable. To ensure this the researcher clearly
explained that at any time any question or the atmosphere does do not feel right the
participant could quit answering questions. Honesty with professional colleagues is
important. As a researcher you cannot fabricate data to support your conclusion. In this
exploratory study data collected was honest and will not be fabricated.
The case study was based on the highest of ethical standards including integrity,
respect of confidentiality, informant consent, data access, and legal guidelines. To ensure
certain ethical assurances are fulfilled, official approval to conduct the research was
obtained from the Northcentral University’s Institutional Review Board (IRB) prior to the
study’s initialization. Copies of interview questions and consent forms were provided to
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the IRB to ensure that all ethnical issues that could arise are addressed prior to research
data being gathered. Understandably, participants were concerned about privacy
concerns. The qualitative interview process allowed the researcher to obtain life
experiences from participants based on 1 hour, open-ended interviews.
The interviews were obtained over the telephone and face-to-face. There were 20
open-ended qualitative questions that the researcher used to explore the leadership styles
and cultures used during Hurricane Ike. The study was presented to the 20 participants
with a brief explanation of the literature that has been reviewed. Participation was
voluntarily and each person signed a consent form and confidentiality agreement. Prior
to the interviews, all participants of the study received proof of qualifications and
experience. All interviews were conducted in an office or neutral setting to make the
participants feel comfortable. Each interview lasted 1 hour with the option to extend the
time if the discussion led to new and viable information for the study.
Respect was given not only to the leaders but also to the followers of the leaders.
Discussion of the events that occurred during Hurricane Ike was not intrusive while
providing personal privacy and confidentiality. Each participant’s personal information
was kept confidential and was referred to only by their number. No visual data was
collected, so the need for permission to obtain visual information was not needed. At the
end of the study, all material was removed from the researcher’s personal computer via
CD-ROM and all paper documents was relocated to a storage site for 3 years.
Summary
In this qualitative single-case study, leadership styles were explored to determine
if transformational leadership styles are more effective than transactional, or laissez-faire,
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leadership styles during crisis management. In the study, the unit of analysis was
members of Galveston, Texas emergency response organizations responsible for response
and recovery actions during Hurricane Ike. Exploring the leadership styles and
organizational culture of the first responders, leaders, and support agencies during
Hurricane Ike throughout the Texas Gulf Coast region will assist in preparing future
emergency managers, civilian leadership, and support agencies during future hurricanes
(Bass, 1990). The results of the study will assist in identifying which leadership style
was most effective during Hurricane Ike.
Credibility, transferability, dependability, and conformability issues had a major
role in the process of researching actions of first responders and leaders during Hurricane
Ike. Obtaining enough samplings and information from participants who have not
changed over time was difficult. At the same time, obtaining accurate information from
respondents who experienced Hurricane Ike alone was difficult as many people in the
Texas Gulf Coast area also experienced the effects of Hurricane Katrina. The research
was need to be narrowed so as not to allow generalizations, locations, people, and the
media to affect the desired outcome and at the same time to ensure validity, ethical
practices, and integrity (Trochim & Donnelly, 2008).
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Chapter 4: Findings
The purpose of this qualitative single-case study was to explore the leadership
styles of first responders and the organizational culture of police officers, firefighters, and
emergency personnel in Galveston, Texas who conducted recovery operations during
Hurricane Ike. Attitudes and lessons learned about leadership during and following
Hurricane Ike were explored. A demographic profile of the participants and population
area is presented. Next, the results of individual research questions are addressed in
relation to the survey that was presented to the participants. At the end of the chapter, the
findings are evaluated in comparison with past research and are summarized.
Results
The study began with a pilot study in which participation requests were sent to
numerous emergency management officials and agencies in the Dallas and Fort Worth
area. The main study consisted with invitations being sent to the Galveston police, fire,
and emergency management departments to participate in the study which is 250 miles
away. A date and time was coordinated with each respective chief or supervisor as when
the maximum amount of participants would be available. The pilot study response rate
was 100% and the participants provided valuable insight on the suggested survey
questions. No changes were made after the pilot study was completed. The participant
surveys were assigned a number for accountability and tracking purposes and were
organized according to how the research questions were presented in the study.
Data was gathered during the month or October and November 2012. Data was
collected through the use of a survey presented in a private setting for each participant.
There were 25 participants in the study with 20 surveys being completed. Five
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questionnaires were partially completed. The participants subsequently expressed
concerns and refused to submit their questionnaires out of fear of retaliation. There were
some questions left blank by participants which could be a result of the questions not
applying to them, the participant not feeling comfortable answering the question, or fear
that the results would eventually be seen by superiors. The researcher does not feel that
the missing responses to the questions or the seven surveys that were left blank will affect
the reliability and validity of the data collected. The choice to not return a survey or
answer a question does not affect the reliability or validity as long as it was the
participant that made the choice. Demographic information indicated years of experience
and educational level for each participant. Two participants held Master’s degrees
(10%), 10 held Bachelor’s degrees (50%), three held Associate degrees (15%), and five
held Professional Certificates in their professional field (15%).
Table 1 shows the years of experience and educational level of the survey
participants.
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Table 1
Survey Participants by Years of Experience and Level of Education
Education Level 1 to 4 years 5 to 10 years 11 to 15 years 16 or more
years years years years
experience experience experience experience
Master’s degree 0 (0%) 0 (0%) 1 (5%) 1 (5%)
Bachelor’s degree 1 (5%) 6 (30%) 3 (15%) 0 (0%)
Associate degree 2 (10%) 1 (5%) 0 (0%) 0 (0%)
Certificate 2(10%) 3 (15%) 0 (0%) 0 (0%)
Total (25%) (50%) (20%) (5%)
Survey participants included seven firefighters (35%), three emergency
management personnel (15%), and 10 police officers (50%) from the Galveston area.
Overall, 15 of the participants were male (75%) and five were female (25%). The
average age of the participants was 28.50 years. The following is a restatement of the
research questions, together with the results for each question.
Q1. What were the predominant leadership styles that were used by police
officers during Hurricane Ike?
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Table 2
Leadership Styles of Police Officers
Police Leadership
Transformational 3 (30%) 2 (20%)
Transactional 0 (0%) 0 (0%)
Situational 7 (70%) 2 (20%)
Laissez-faire 0 (0%) 6 (60%)
Analysis of the survey showed three common themes related to police officers
knowledge of leadership styles: (a) Participants could define a basic understanding of
leadership styles, (b) participants recognized the important qualities of leadership, and (c)
participants had profound feeling about some areas of perceived weakness in leadership
during Hurricane Ike.
Theme 1.1: Defining a basic understanding of leadership styles. Police
officers largely stated that they believed leadership is the ability of a person to influence
the behavior or a group’s behavior to follow a certain course of action. Participant
definitions included the following: “a true leader does not separate themselves from the
people they lead,” “leaders keep the best interest of their subordinates a top priority,” “the
ability to entrust others to help accomplish the task,” “leadership is the ability to motivate
others to want to do the right thing,” and “the art of allowing others to accomplish their
tasks with little interference.” These common trends in the definitions demonstrate that
the participants understand the basic elements of leadership. Two of the participant’s
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responses appeared to be very similar while the rest had different understandings of
leadership styles.
Theme 1.2: Participants recognized the important qualities of leadership.
The police officers that participated clearly had solid opinions of qualities needed for an
effective leader. Definitions of strong qualities included: “integrity, dependability,
effective communication, establishes a clear vision, coordinating and balancing all
interests and conflicts of stakeholders,” “common sense approach to lead with fairness by
leading from the front,” “the ability to motivate others to go above and beyond what is
expected,” “honesty and consistency,” “integrity and respect,” “able to lead without
micromanaging their subordinates,” “a leader stands by his subordinates when needed
and disciplines when needed,” and “simple respect for others.” These definitions showed
that the participants have a well-balanced understanding of strong qualities that effective
leaders should require.
Theme 1.3: Participants had strong feeling towards some areas of perceived
weakness in leadership during Hurricane Ike. The police officers that participated
during Hurricane Ike had valued perceptions of leadership challenges associated with
disasters and crisis situations. The following are some of the participant’s perceived
weaknesses in leadership during the hurricane: “Many leaders became so involved in
everyone’s tasks that they began to get tunnel vision,” “certain individuals received more
attention than others in terms of support,” “the lack of support for officers and their
families while officers were helping the city with very little support given for families,”
“common sense items such as wearing battle dress uniforms instead of standard uniforms
did not occur,” “ many leaders were not prepared for a long duration of time when it
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came to personal food and equipment-they showed a lot of inexperience in crisis
situations,” “leaders often did not coordinate with other agencies and took a stance of
“my way or the highway” attitude with other agencies,” “many outside agencies offered
assistance to the department but were turned down by higher leadership without
discussing the assistance offered with the officers on the ground,” “plans changed so
much that chaos was created,” “ the officers on the front-line were rarely asked what was
needed,” “ decisions were made by leadership that were incorrect but were later blamed
on their supervisors,” and “ many of the senior leaders conducted themselves in an
unprofessional manner”, “thus reducing the confidence of the subordinates.” The police
officer feelings towards the weaknesses demonstrated during Hurricane Ike are very
similar to weaknesses that have been demonstrated in other disasters such as Hurricane
Katrina.
Overall, the results of this study indicate that participants were consistent in their
beliefs about leadership, qualities of leadership and weakness in leadership that were
perceived during Hurricane Ike. Half (50%) of the police officers that participated had
prior military experience and had a strong understanding of leadership traits and were
more vocal in their opinions of strengths and weaknesses demonstrated during the
hurricane. The remaining half (50%) of the officers appeared to have learned their
leadership styles and qualities by emulation of present and previous leaders in the police
force or from their peers. The officers pointed out that no formal training on leadership
had been offered to employees and it was a learned skill.
Some of the key areas of possible leadership challenges that were noted by police
officers included: (a) communication breakdowns to subordinates, (b) the do as I say, not
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as I do attitude by seniors, (c) the inability to take responsibility for actions that were
perceived to be incorrect by seniors, (d) the lack of listing to subordinates, and (e) tunnel-
vision by leadership on certain emergency situations. These issues are often associated
with Laissez-faire or passive/avoidant leaders or leaders who use a manager type of
leadership to lead. There were areas of strength noted by officers in terms of leadership
qualities shown by junior and some senior leaders that was demonstrated during the
hurricane. Many of the areas of strength included respect for others, integrity, and the
lack of micromanaging of others. The next group surveyed was the firefighters of
Galveston. The firefighters had very similar themes of leadership, qualities of leadership,
and examples of weaknesses in leadership during Hurricane Ike. Although the two groups
have different jobs their roles during Hurricane Ike’s response and recovery operations
were very similar.
Q2. What were the predominant leadership styles that were used by firefighters
during Hurricane Ike?
Table 3
Leadership Styles of Firefighters
Firefighters Leadership
Transformational 4 (57%) 3 (43%)
Transactional 0 (0%) 0 (0%)
Situational 1 (14%) 3 (43%)
Laissez-faire 2 (28%) 1 (14%)
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Analysis of the survey showed three common themes related to firefighter’s
knowledge of leadership styles. These themes and were very similar to the themes of the
police officers: (a) Participants could define a basic understanding of leadership styles,
(b) participants recognized the important qualities of leadership, and (c) participants had
strong feeling towards some areas of perceived weakness in leadership during Hurricane
Ike.
Theme 2.1: Defining a basic understanding of leadership styles. The
firefighters of Galveston understood leadership as: “the key to leadership is influence, not
authority,” “to do what your personal faith directs you to do while being truthful and not
attempting to be a yes-man to higher authority,” “the ability to direct people through the
use of positive motivation and by guiding through the portrayal of positive examples,” “a
great leader is a someone who has control of a situation(s) and can execute plans,” “a
strong leader is being so passionate about an idea or a mission that others around you are
naturally impregnated with the same passion and the desire to see the task through to the
best of their abilities, “and “leaders simply motivate and set the example at all time.” The
firefighter’s perception of leadership is very comparable to the police officers and it is
evident that the firefighters have a solid understanding of leadership values.
Theme 2.2: Participants recognized the important qualities of leadership.
Theme two was a more direct approach and the participants did not expound on the
important qualities of a leader as the police officers did. Many of the responses were very
short and direct. Some of the firefighters recognized important qualities of leadership that
included: “integrity beyond reproach,” “a heightened sense of awareness, knowledge and
control,” “good communication skills,” “strong moral and ethical guidelines,” “positive
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attitude and the ability to make decisions and standby them,” “modesty, dedication, and
communicating skills,” and “the ability to help others reach their maximum potential.”
These qualities are important to firefighters and their ability to accomplish their jobs.
Theme 2.3: Participants had strong feeling towards some areas of perceived
weakness in leadership during Hurricane Ike. The firefighters who participated in
response and recovery operations during Hurricane Ike provided a perspective a little
different than the police officers did in terms of weaknesses in leadership. Some of the
responses included: “the largest weaknesses in leadership were not from the fire
department but from the city leadership,” “city leadership removed us from the hotel
while rescue operations were still happening.” “We had no idea where to go or even if we
had houses.” “The city leadership was more worried about a budget that our livelihood,”
“although placed in a senior position in which I was junior in service to other firefighters
I was given the respect needed to accomplish my job without being made uncomfortable
about being junior in service,” “ we were the experts in our community but the city
replaced us and allowed many out-of-state organizations to take control of the rescue
operations,” “ there was little communication from the city to the actual firefighters on
the ground,” “ the leadership allowed to many calls to go unanswered and let precious
time slip away,” “refusal of the city to be more forceful to citizens who refused to leave
thus putting all emergency responders lives in jeopardy,” and “the lack of city leadership
involvement on the welfare of the firefighters.”
The responses of the firefighters were different that other the police and other
emergency responders. The largest areas of weakness were considered to be the city
leadership and not the direct leadership of the fire department. Although there were
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decisions made at the lower level that could have been better thought out it was the city
in many firefighters’ perceptions that directed many of the controversial decisions. The
leadership style that was most demonstrated during the survey by the firefighters is a
transformational and crisis leadership model for their direct leadership and a Laissez-faire
or passive/avoidant leadership model for the leadership that represent the city. There was
a clear distinction between local-level leadership amongst the first responders and their
leadership and the perceived leadership challenges that they experienced wither directly
or indirectly from city, state, and federal leadership.
Q3. What were the predominant leadership styles that were used by emergency
personnel during Hurricane Ike?
Table 4
Leadership Styles of Emergency Personnel and Leadership
Emergency Personnel Leadership
Transformational 1 (33.3%) 1 (33.3%)
Transactional 0 (0%) 0 (0%)
Situational 2 (66.7%) 0 (0%)
Laissez-faire 0 (0%) 2 (66.6%)
The themes of other emergency personnel differed as their role was a different
and the contact with higher leadership was not the same as police officers and
firefighters. Analysis of the survey showed two common themes related to emergency
management personnel knowledge of leadership styles: (a) participants recognized the
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important qualities of leadership, and (b) participants had strong feeling towards areas of
perceived weakness in leadership during Hurricane Ike.
Theme 3.1: Participants recognized the important qualities of leadership.
There was a small group that did respond to the surveys which included three low- level
emergency management coordinators. It was important to have these individuals
participate as they often were the ones coordinating with the police, fire, and other
organizations during the response and recovery operations. The responses of the
emergency management coordinators were very similar in terms of perceived qualities in
leadership that are needed to produce effective response and recovery operations. The
responses included: “honesty and the willingness to take responsibility for your decisions
and the actions of your subordinates,” “ knowing your personnel and their strengths and
weaknesses,” “understanding your role as a leader and not micromanaging others,”
“asking for opinions and recognizing that there are ways than one to accomplish a task,”
‘strong leaders do not blame others for poor results,” and “ the ability to be decisive.”
Theme 3.2: Participants had strong feeling towards some areas of perceived
weakness in leadership during Hurricane Ike. The emergency management
coordinators were exposed to a different level of leadership and the challenges associated
with it during Hurricane Ike. Unlike many of the police officers and firefighters the
emergency management coordinators dealt directly with many leaders of state, local, and
federal organizations who were assisting in the response and recovery operations. The
police and firefighters did work with other agencies but the emergency management
coordinators had a more direct link to many of the agencies assisting. As a result the
coordinators viewed the weaknesses of leadership at a different level and their responses
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reflected this opinion. Feedback on the surveys included: “some leaders were more
worried about how they looked and the repercussions of their actions rather than the
mission that they were actually tasked to accomplish,” “leaders at the state and federal
level often felt as that they should be in control of all operations thus hindering or making
it difficult for the local emergency responders to conduct their jobs more efficiently,” “it
was evident that there were disagreements with the local leadership and the state and
federal agencies on how to handle recovery operations that included food, gas, shelter,
and water distribution,” “too many comparisons to Hurricane Katrina were used when the
situation was much different during Hurricane Ike and the needs and coordination efforts
were much different,” and “very few leaders asked for advice from the local responders
thus causing confusion and resentment amongst much of the lower level leadership.”
Many of the comments by the emergency management coordinators resembled a
frustrated level of coordination which is often seen when state, federal, and other
response agencies not familiar with local issues, policies, and practices arrive on scene to
assist in response and recovery operations. The emergency management coordinators
survey responses indicated that some and not all of the leaders that were responsible for
coordinating with local agencies demonstrated a Laissez-faire or passive/avoidant
leadership model. It was evident that the emergency management coordinators
recognized the leadership that most resembled a transformation/transactional leadership
model as the leaders that were most effective. This opinion was not only evident in their
responses in the survey about perceived leadership weaknesses but also in their responses
on the survey on their leadership values.
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Q4. What are the strengths and weaknesses of these leadership styles in allowing
first responders to do their jobs quickly and efficiently?
There were some clear strengths and weaknesses in leadership styles
demonstrated during the Hurricane Ike response and recovery operations. As with any
crisis situation some leaders will rise to the occasion while others will have more
challenges. The major leadership styles are transformational, transactional, situational
leadership, and Laissez-faire or passive/avoidant leaders and all were demonstrated
during Hurricane Ike. Many of the leaders at the local level demonstrated a situational
leadership style that incorporated many of the traits of transformational and transactional
leadership styles. Although transformational and transactional leadership styles are
different they are often considered one-in-the same by scholars as they have many of the
same qualities.
The firefighters often referred to their Captains and Lieutenants as individuals
who would listen to their ideas and sympathized with the issues that they did not agree.
The police officers also agreed that their direct leadership was helpful and used many of
the leadership qualities that they believed were beneficial to a strong leader. Both
organizations did suggest that the major weaknesses in leadership came from the senior
leadership and from city officials who had lost touch with actions and events occurring
on the ground. The Laissez-faire or passive/avoidant leadership attitude was common in
senior leaders who had no emergency response experience as the response and recovery
operations continued.
Examples of a less than appealing leadership styles included the forcing of
officers and firefighters from hotels while the response and recovery operations were still
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underway. Many of the personnel had no idea if they had homes to go back to or where
to go. The decision appeared to be a budget based-decision and it greatly affected the
moral and effectiveness of many first responders. Senior leaders were often seen focusing
on other issues both professionally and personally while the first responders were still
conducting operations. The lack of coordination with other agencies that included state,
federal, and volunteers helped in many cases create unnecessary chaos. Many of the first
responders believed that the area and county leadership understood the situation but the
lower level leadership did not. These survey responses may not be indicative of all
leaders but the impression by the few that did produce the poor results left a lasting
impression with many of the police officers and firefighters.
Q5. What is the relationship between leadership styles and organization culture
that can be learned from the response and recovery operations employed during
Hurricane Ike?
Table 5
Culture and Leadership Styles and how they affect Operations Positively
Culture Police Firefighters Emergency Coordinators
Transformational 3 (30%) 4 (57%) 1 (33.4%)
Transactional 0 (0%) 1 (14%) 0 (0%)
Situational 7 (70%) 2 (28%) 2 (66.6%)
Laissez-faire 0 (0%) 0 (0%) 0 (0%)
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Table 6
Culture and Leadership Styles and how they affect Operations Negatively
Culture Police Firefighters Emergency Coordinators
Transformational 0 (0%) 0 (0%) 0 (0%)
Transactional 0 (0%) 1 (14%) 0 (0%)
Situational 2 (20%) 1 (14%) 0 (0%)
Laissez-faire 8 (80%) 5 (76%) 3 (100%)
The actions of leaders and the culture they foster do have a direct influence on the
response and recovery operations during disasters. The leadership challenges during
Hurricane Ike are a great example of how leadership directly affects operations. The
perceived lack of interest in the day-to-day operations of city officials left a lasting
impression on the first responders. The previous example about the early evection of first
responders and other valuable personnel from a hotel during the recovery process
demonstrated the clear lack of interest in performing to a higher standard afterwards.
Many of the participants lost interest in going above and beyond after being evicted.
The culture of “do as I say and not as I do” allowed many junior leaders to excel
while a loss of respect materialized for senior leadership. The culture that is often found
in transformational, transactional, and situational leadership styles fosters an environment
where every person believes that they matter. The survey results show that the emergency
responders feel that the culture directly affects their performance both positively and
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negatively. Although emergency responders want to do their best during times of crisis
the human factor of resentment, the lack of trust, feeling as if their role is not a
contributing factor in the operations, and the inability of leaders to communicate
effectively results in a much lower performance level.
The survey results demonstrate that transformational and situational leadership
styles foster a positive culture in the emergency responders that participated in the
survey. The police officers clearly preferred a situational leadership style and this is most
likely due to the daily work the officers’ conduct. On most occasions a police officer will
be sent on a call for one thing but something entirely different may arise from the
situation. Police officers need to have a solid situational awareness and situational
leadership styles appeared to be the leadership style of choice.
The firefighters tended to prefer a transformational style of leadership with a
couple of firefighters choosing a situational leadership style as a leadership style that
affects their operations positively. Firefighters often deal with numerous emergencies at
one location and a leadership environment that fosters the traits of transformational
leadership and allows situational leadership traits to develop appears to be the culture that
fosters the best performance out of the firefighters. The absence of strong leadership may
have affected some of the firefighter’s performance during Hurricane Ike. The survey
revealed leadership issues that occurred during the hurricane but the survey also revealed
that many of those issues have been resolved since the hurricane.
The emergency management coordinators survey results were very similar of the
police officers. Like the police officers the emergency management coordinators rarely
know what to expect when they are assigned to a disaster area. A hurricane and its
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destruction are very unpredictable and therefore a situational leadership culture favors the
emergency management coordinator. All three organizations surveyed agreed that a
Laissez-faire/passive style of leadership develops a negative culture and negatively
affects response and recovery operations during hurricanes and other crisis situations.
Evaluation of Findings
The result of the research concerning the leadership styles of first responders and
response time during Hurricane Ike was significant. The results showed that the primary
leadership styles used by many of the city, state, and federal officials during the hurricane
did not foster an environment where maximum performance could be achieved. The
results of the survey did not show that first responders, leaders, and support agencies did
not respond appropriately to Hurricane Ike because of the leadership styles employed or
utilized by their managers or supervisors. The survey did identify areas of weakness that
potentially kept the first responders from doing their best. The overall impression of the
response and recovery operations during Hurricane Ike is that it was dramatically better
than the response and recovery operations during previous hurricanes. The researcher’s
view is correct in many aspects but the leadership challenges that occurred during the
hurricane were very similar to that of previous hurricanes. For example: members of the
Hurricane Katrina panel identified the need for coordination of federal, state and local
assets, proper coordination of different agencies and their employees responsible for the
initial response and recovery efforts, and the coordination of support agencies (United
States House of Representatives, 2006). The coordination issues were very similar to the
issues during Hurricane Katrina and were noted in the responses by the participants.
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The following section includes information and an evaluation of the findings from
the current study in context of past literature. The first research question was: What were
the predominant leadership styles that were used by police officers during Hurricane Ike?
The results from this study were consistent with past research findings by Blanchard,
Hersey, & Johnson, (2007); Walmumbwa, Avolio & Zhu,(2008); Yukl, (2006) and Bass
(1990). In the current study, the participants indicated paramount leadership styles used
by police officers during Hurricane Ike were 70% situational and 30% transformational.
Situational leadership’s strength is the ability to be easily understood and it is easy to use
(Blanchard, Hersey, & Johnson, 2007; Walmumbwa, Avolio& Zhu, 2008; Yukl, 2006).
The downside to the model is that it fails to distinguish between leadership and
management. Leadership is not primarily about making decisions and in most cases, the
leader varies the style for each individual but it is after the fact, that they have decided
that change is necessary (Blanchard, Hersey, & Johnson, 2007). This downside to
situational leadership may have led to the survey responses’ indicating that many higher-
level leaders had lost focus on what was actually happening on the ground. It is expected
of senior leaders to have a certain level of managerial responsibility and those
responsibilities often interfere with other responsibilities during a crisis. The challenge is
to find a balance between the two.
The other style of leadership present according to the police officer surveys was
transformational. Transformational leaders identify the unfulfilled needs of potential
followers but then take it to the next level by satisfying higher needs and engaging the
full person of the follower (Firestone, 2010). At the same time, the transformational
leader transforms followers’ collective goals and blends them with those of the
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organization’s management (Mancheno, Endres, Potak & Athansaw, 2009; Porsche,
2009). It appears that the transformational leadership style may include more of the
police officer views on a successful leadership style than other styles.
The second research question was: What were the predominant leadership styles
that were used by firefighters during Hurricane Ike? The firefighters were very similar in
leadership views as the police officers. In many cases firefighters are also used as
medical first responders in addition to their primary jobs of fighting fires. During
Hurricane Ike many of the situations involved medical response, building searches, and
the rescue of stranded citizens. Each set of these operations have their own challenges.
The survey responses indicated that many firefighters were frustrated at higher leadership
decisions that kept them from responding to the emergencies. Many emergencies were
not responded to out of fear of equipment loss. The costs of recovery operations and
possible material loss started to control many areas of the response and recovery
operations.
According to the responses it was very rare that higher leadership asked the
opinion of the firefighters on the ground thus creating resentment towards the leadership.
As mentioned before, transformational leaders find a balance and some of the balancing
is to listen to subordinates. The intermediate level leadership according to the surveys did
listen but it was the elected leadership that did not listen to the views of the first
responders on the ground. The firefighter issues were very familiar with that of the
police officers and transformational leadership coupled with situational leadership traits
were what the two groups expected.
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The third question was: What were the predominant leadership styles that were
used by emergency personnel during Hurricane Ike? The emergency management
coordinators had a very different role than the police and firefighters during Hurricane
Ike. Unlike the police and firefighters the emergency management coordinators worked
directly with senior leadership and elected officials. The opinion of the participants was
that situational leadership styles with transformational traits were the best methods for
dealing a disaster response and recovery effort. During the response and recovery efforts
the participants noted that many leaders wanted to be the one in charge and quite often
did not follow through with alternative methods of responding. The local leadership did
not want to allow many state and federal organizations to take charge in certain areas and
the same group did not want to allow local leadership too much authority during the
recovery efforts.
The issues were very similar to the issues during Hurricane Katrina in terms of
coordination between local, state, federal, and volunteer organizations. Crisis operations,
which are multiorganizational and transjurisdictional allow individuals to control how
well response and recovery operations are implemented. Lateral coordination, not top-
down command and control, is required for crisis operations (Helsloot, 2008).
The participants did not state that coordination did not completely exist they did
however make it very clear that there were strong strains in relationships. The emergency
management coordinators viewed a situational leadership style as the most productive
leadership style. The coordinators did respond that they felt that most leadership used a
Laissez-faire style of leadership during Hurricane Ike. Laissez-faire or passive/avoidant
leaders are often viewed as micro-managers who have a negative impact on followers and
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peers (Bass, 1990). As a rule, followers need guidance and details from leaders when
they need immediate assistance or normal job assignments change (Gozubenli, 2009).
The Laissez-faire leadership style did affect the productivity of many first responders and
other agencies that were assisting in response and recovery operations. The productivity
that was lost was often felt by the first responders and the emergency management
coordinators. Many of these issues could be avoided had leaders utilized
transformational/transactional leadership styles.
Summary
The purpose of this qualitative single-case study was to explore the leadership
styles of first responders and the organizational culture of police officers, firefighters, and
emergency personnel in Galveston, Texas who conducted successful recovery operations
during Hurricane Ike. Twenty police officers, firefighters, and emergency management
coordinators participated. This chapter has presented the results of the analysis performed
to address the five research questions explored in this study. The primary method of data
analysis was modeled after the methods of Yin (2009) and Cozby 2009).
The study produced answers to five research questions: what were the
predominant leadership styles that were used by police officers, firefighters, and
emergency personnel during Hurricane Ike, what are the strengths and weaknesses of
these leadership styles in allowing first responders to do their jobs quickly and efficiently,
and what is the relationship between leadership styles and organization culture that can
be learned from the response and recovery operations employed during Hurricane Ike?
All participants were able to define leadership and their opinion of quality leadership
skills needed during time of crisis. Results related to the first research question pertaining
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to the predominant leadership styles used by police officers indicated that
transformational/transactional leadership models are highly successful and are consistent
with the leadership models of Bass and Riggio (2006). For the second research question
pertaining to the predominant leadership styles used by firefighters again indicated that a
transformational style of leadership is more preferred during crisis than other models and
is more consistent with the leadership models of Silver and McGuire (2010) and
Kirkbride (2006).
Research question three addressed the predominant leadership styles used by
emergency responders. The results indicated that a Laissez-faire leadership style existed
in the leadership of the emergency response coordinators but the coordinators themselves
preferred a situational leadership style. These results indicated that models by Yukl
(2006) and Pierce and Newstrom (2007) could be appropriately applied in situations
involving emergency operations coordinators. Research questions four and five addressed
the strengths and weaknesses of these leadership styles in allowing first responders to do
their jobs quickly and efficiently, and the relationship between leadership styles and
organization culture that can be learned from the response and recovery operations
employed during Hurricane Ike.
There were some clear strengths and weaknesses in leadership styles
demonstrated during the Hurricane Ike response and recovery operations. Many of the
leaders at the local level demonstrated a situational leadership style that incorporated
many of the traits of transformational and transactional leadership styles. Most
participants agreed that major weaknesses in leadership came from the senior leadership
and from city officials who had lost touch with actions and events occurring on the
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ground. The Laissez-faire or passive/avoidant leadership attitude was common in senior
leaders who had no emergency response experience as the response and recovery
operations continued.
The actions of leaders and the culture they foster do have a direct influence on the
response and recovery operations during disasters. The challenges during Hurricane Ike
are a great example of how the culture leadership promotes directly affects operations.
The perceived lack of interest in the day-to-day operations of city officials left a lasting
impression on the first responders. The culture that is often found in transformational,
transactional, and situational leadership styles nurtures an environment where every
person believes that they matter. The survey results show that the emergency responders
feel that the culture directly affects their performance both positively and negatively.
The survey results demonstrate that transformational and situational leadership
styles foster a positive culture in the emergency responders that participated in the
survey. The survey revealed leadership issues occurred during the hurricane, but the
survey also revealed that many of those issues have been resolved since the hurricane. All
three organizations surveyed agreed that a Laissez-faire/passive style of leadership
develops a negative culture and negatively affects response and recovery operations
during hurricanes and other crisis situations. In the next chapter there will be an outline
for recommendations for future leaders involved in hurricane response and recovery
efforts.
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Chapter 5: Implications, Recommendations, and Conclusions
The problem addressed in the current study is first responders, leaders, and
support agencies do not respond appropriately to natural disasters because of the
leadership styles employed or utilized by their managers or supervisors which can result
in the unnecessary loss of life, property, and livelihood of thousands of the affected
population. The purpose of this qualitative single-case study was to explore the
leadership styles of first responders and the organizational culture of police officers,
firefighters, and emergency personnel in Galveston, Texas who conducted successful
recovery operations during Hurricane Ike. A qualitative single-case study was performed
to achieve this purpose and open-ended surveys were completed by 20 individuals who
were involved in emergency operations during Hurricane Ike. There were no significant
risk or harm to the participants in the study. Ethical procedures were followed in this
study which included approval from the Northcentral University Institutional Review
Board, completion of informed consent statements by participants, and preservation of
confidentiality.
Open-ended questionnaires were presented to various police officers, firefighters,
and emergency response personnel. The data was analyzed by using the pattern matching
method recommended by Yin (2009). For case studies this is one of the most desirable
techniques to use (Yin, 2009). Limitations did exist in the study such as the location and
time for individuals to participate. As emergency responders many of the participants had
to participate in the study on their off time. It was not feasible for privacy issues to have
participants join in the study at their place of work. The chapter begins with the
implications of the findings from this study and includes recommendations based on the
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results of leadership practices during Hurricane Ike and how effective practices can be
used in future natural disasters.
Implications
After reviewing the literature review in chapter two in conjunction with the results
of this study, the researcher believes that there were some areas that past research was
supported by the current study. The past research as a whole does show a gap in research
that directly answers the research questions. In chapter two, four theories of leadership
were presented that backed the development of the framework applied to crisis situations.
Situational leadership coupled with transformational leadership was identified as the ideal
leadership style for crisis situations. Situational leadership allows leaders to use different
leadership styles depending on the situation they are facing and to get results (Blanchard,
2010; Hershey, 1985).
The research recognized theories that included optimal leadership as the most
desirable style for emergencies. Research has shown that police agencies, fire
departments, and other local first responders often do not practice transformational
leadership. Instead, research shows they practice transactional leadership with rational
influencing behaviors (Fox, 2009). Previous research reveals effective leaders use the 10
traits of dynamic leadership which include (a) self-knowledge, (b) open to feedback, (c)
eager to learn and improve, (d) curious, risk takers,(e) concentrate at work, (f) learn from
adversity, (g) balance tradition and change, (h) open style, (i) work well with systems,
and (j) serve as models and mentors (Bennis, 2000).
The following is a presentation of the research questions, together with
implications of the finding of each question.
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Q1. What were the predominant leadership styles that were used by police officers during
Hurricane Ike?
Both research questions one and two produced the same results and their
implications are very similar. After extensive research, Bass and Avolio (2010) found
that although all leadership types affect leadership outcomes, their effects, effectiveness,
and satisfaction differ. The transformational and transactional leadership behaviors are
most rewarding and effective. Laissez-faire leaders are the least effective (Bass &
Avolio, 1993). Leadership functions range from passive-ineffective (laissez-faire) to
more active-effective leadership behaviors (transformational and transactional) (Bass &
Avolio, 2010).
Laissez-faire or passive/avoidant leaders are hands-off managers who are crisis
driven while providing little guidance a majority of the time (Yukl, 2006). These types
of leaders are absent when needed, which leaves their followers to conduct much of the
decision-making on their own (Fox, 2009). As a result, many followers often wonder if
they are doing their job correctly (Gozubenli, 2009). Followers such as initial first
responders need sound guidance from individuals who understand their roles and are
confident enough to make hard decisions that may affect the lives of people.
The police officers clearly preferred a situational leadership style. Many of the
police officers have previous leadership training and or military experience. These
qualities directly affect the way the officers feel about leadership. A preconceived version
of appropriate leadership methods are difficult to change. The leadership styles
demonstrated by many of the city leaders and agencies that responded to Hurricane Ike
did not meet these expectations. As a result, there sense or resentment and a lack of
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confidence during the response and recovery operations by the police. Police do not deal
with the same issues that other responders deal with and the hurricane added to the
problems.
Many of the leadership issues identified by the police were professional
disagreements and these opinions did not affect their ability to ensure the safety of the
citizens in Galveston. Operations had the ability to run smoother thus reducing the
already overworked and stressed department during the hurricane. It was noted by many
participants that the leadership did conduct after action reports and have been striving to
improve many of the issues noted by officers during the survey.
Q2. What were the predominant leadership styles that were used by firefighters
during Hurricane Ike?
The firefighters tended to prefer a transformational style of leadership according
to their survey results. Both firefighters and police officers deal with multiple types of
emergency issues but responding during hurricanes add new problems. Problems
associated with leadership during Hurricane Ike decreased the moral and confidence of
many firefighters. Although the firefighters trusted their immediate leadership many did
not respect their city officials or outsider agencies. These feelings were very similar to
the police officers.
Findings of this study indicate participants understood that leadership was vital to
the successful response and recovery operations during Hurricane Ike. Most of the
participants recognized that leadership was one-part of the response and recovery
operations that they could correct after the hurricane. The participants do understand that
their role does not allow themselves to correct senior city officials but it does allow them
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to work on leadership challenges internally. Although previous research indicates
transformational and transactional leadership styles are more favorable for crisis
situations the police and firefighters had a varied responses which included
transformational, transactional, and a situational leadership models. The overall
agreement between the police officers and firefighter’s was Laissez-faire or
passive/avoidant leaders were the least desirable that those traits did exist in communities
but could be corrected with proper training and experience.
Research and the survey data clearly support prior research indicating that police
and firefighters are open to new leadership styles such as situational which incorporates
many of the transformational and transactional leadership styles. A lack of understanding
and experience has caused the police and firefighters in Galveston to believe leadership is
natural instead of an educational process coupled with natural abilities. Remarks in the
surveys indicate that there was an inconsistent method of developing leaders prior to
Hurricane Ike.
Q3. What were the predominant leadership styles that were used by emergency personnel
during Hurricane Ike?
The goal of crisis leadership includes reducing the negative impact of the crisis
and promoting successful survival (Colton, Kates & Laska, 2008). It is believed that the
optimal leadership style for emergencies must incorporate a situational style that may
incorporate some or all of these traditional styles (Blanchard, 2010; Hershey, 1985). This
style allows the manager to access the situation and then use the most appropriate
leadership style. Many emergency management coordinators call this initial response the
golden hour. The golden hour is a metaphor that many emergency leaders use to
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describe the effects of even a small delay on the overall mission of saving lives and
property.
The golden hour could be minutes or even hours depending on the situation and
the severity of perceived results due to lack of a timely response. The surveys revealed
that the emergency management coordinators believed that certain leaders missed the
golden hour and made response and recovery operations more difficult. Situational
leadership is part of becoming an optimal leader during times of crisis and is an important
element ensuring the golden hour is not wasted (Barnshaw, Letukas, & Quarnatelli,
2007). Unlike the police and firefighters the emergency management coordinators
witnessed the strengths and weaknesses of many federal, state, and local officials’ first-
hand. Many of the decisions that police and firefighters did not agree were made while
the emergency management coordinators were present.
Unlike other groups surveyed the emergency management coordinators preferred
a situational leadership style to transformational and transactional leadership styles. This
choice is different from previous research and findings where emergency management
coordinators preferred a transformational leadership style to others. The survey indicated
that the emergency management coordinators are exposed to crisis situations more often
in a guidance arena unlike the police and firefighters who experience leadership at its best
or worst on the ground where the operations are actually occurring. The research
identified two clear differences in desired leadership qualities of the three groups.
Q4. What are the strengths and weaknesses of these leadership styles in allowing first
responders to do their jobs quickly and efficiently?
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Leaders who are flexible and can switch to different methods to meet the goals
of the organization are most successful (Blanchard, Hersey & Johnson, 2007). The
preferred transformational leadership theory according to participant responses was
introduced in 1978 by the political sociologist James McGregor Burns when he
distinguished between two types of leadership (a) transactional and (b) transformational
(Firestone, 2010). Burns described transactional leadership as a temporary leadership
process, because once the exchange occurs, the leader and follower are free to go their
separate ways as they are not bound together in pursuit of a higher purpose (Mancheno,
Endres, Potak & Athansaw, 2009). It is through trust and admiration that
transformational leaders are able to motivate employees to perform beyond the normal
expectations (Bass, 1985).
Researchers have shown that leadership and culture directly affects the mitigation
of, preparation for, and recovery from natural and manmade disasters (Silvia & McGuire,
2010). Many studies show that we fail to learn from past disasters and that effective
leaders study and implement lessons learned from pervious mistakes (Donahue & Tuohy,
2006). Previous failures such as slow responses to affected areas, the inability to provide
food and water to victims in a timely manner, and the inability to coordinate federal,
state, local support to affected areas during the last decade are a few of the leadership
failures that were a direct result of poor leadership and culture (Davis, 2006).
Q5. What is the relationship between leadership styles and organization culture that can
be learned from the response and recovery operations employed during Hurricane Ike?
Criticism of transformational leadership has been viewed by scholars as a
promotion of idealistic views of transformational leaders as heroes, as referred to by
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Hurst (1995) in the discussions of crisis and leadership. Howell and Shamir (2005)
countered this idealism by focusing on the interactions of leadership and followers, and
their research reflected that the behavior of the followers influenced leadership behaviors.
In this sense, heroic efforts, displayed by leaders, reflected the empowerment displayed
by followers (Howell & Shamir, 2005). While both transactional and transformational
leadership theories have value the implementation of transformational theory appears to
have a greater impact on crisis situations (Mancheno, Endres, Potak & Athansaw, 2009).
Transformational leaders succeeded during hurricanes because they use common sense,
are not afraid to take charge, and are willing to put personal goals aside for the betterment
of the affected areas (Crawford, 2005).
Extreme situations such as hurricanes create a social shock that is significant
enough to affect the effectiveness of many leaders’ decision-making skills (Barnshaw,
Letukas, & Quarnatelli, 2007). Laissez-faire leaders are not, and tend to demonstrate the
least effective of the management styles used during crises (Kirkbride, 2006). Bass
(1990) indicated that leaders who tend to be more autocratic and directive because goals
are not clear or structured are less effective. Laissez-faire or passive/avoidant leaders are
hands-off managers who are crisis driven while providing little guidance a majority of the
time (Bass, 1990). The culture of Laissez-faire leadership was present during Hurricane
Ike and the participants clearly felt as if it affected their capabilities to perform their best.
Recommendations
The recommendations in this section are based on the results from this study.
Measures of successful emergency management leadership include increasing awareness
and assuring smooth operations in times of uncertainty and strife (Muffet-Willet &
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Kruse, 2009). Waugh and Streib (2006) argued that critical tasks leading up to, during,
and following a disaster involve coordinating multiorganizational, intergovernmental, and
intersectional responses and recovery operations (Bava, Coffey, Weingarten & Becker,
2010). Modern emergency managers and leaders face extraordinary challenges in both
numbers and severity resulting in the need to increasingly prepare for and respond to
disasters as members of partnerships and networks (Daniel, 2007). This dissertation is
among many studies to examine leadership and challenges associated with disasters.
First, it is recommended that local leaders develop a leadership-training program
for all levels of employment. Each person that is involved in emergency management
has a different role. Study participants clearly noted that the only reason they had prior
leadership training was due to them serving in military organizations. The participants
who had not served in the military had no experience and emulated what they believed
are positive leadership traits in fellow employees. Many of the issues noted during the
research were directly linked to senior level leadership decisions being made during the
hurricane. The research indicated that there very few city officials who have formal
leadership training and even fewer had leadership training that focused on crisis
situations such as hurricanes.
Different suggestions have been made to improve crisis leadership. Crisis
management leadership is a proactive approach to prevent crisis from occurring while
crisis management focuses on taking action after the crisis had occurred (Alexander,
2005; Farazmand, 2009; Jaeger, Shneiderman, Fleischmann, Preece, Qua, & Wu, 2007).
There was no information provided that suggested management was lacking but there
was significant disagreements with leadership polices. In crisis situations it often very
123
difficult to distinguish between management and leadership as many scholars considers
the two roles as one. For example, mayors and city councilmen have different roles than
the Fire Chiefs or Police Chiefs. It is important for each level to having training and to
also understand how their actions will affect operations both above and below their level
of responsibility.
Many private companies offer leadership training for both crisis and non-crisis
situations. Many of the employees who participated in the study could serve as trainers
for leadership. These classes would help develop all levels of the emergency response
groups that were evaluated. The Federal Emergency Management Agency (FEMA) has
numerous courses offered online with study programs that can be utilized for levels of
responsibility. One program is called the Professional Development Series offers seven
courses that assist low-level responders in leadership development during times of crisis.
This program is often required of federal and state organizations for employees who wish
to advance in their career.
The second recommendation is to research other communities and learn from
their past successes and failures. To prepare for disaster management, federal, state, and
local government employees, along with members of the private sector, spend millions of
dollars annually on university leadership courses, executive development programs, and
off-site retreats for mid-level and senior managers. Despite this, leadership is still
considered the weakest link in emergency management (Kramer, 2007). One of the
largest factors is that rarely do communities and local organizations conduct bilateral
briefs and meeting to learn from one another (Jones, 2010). In areas that are prone to
experience hurricanes such as Galveston, Texas is it recommended that the first
124
responders and city leadership officials meet face-to-face with other communities who
have experienced similar hurricanes.
It is very common for leaders to read articles written by others who have
experienced disasters such as hurricanes but rarely are these articles or information
papers written by the actual first responders or community leaders. It is very rare that
police officers, firefighters, and emergency management coordinators will publically
critique their senior leadership or city. The largest reasoning for this lack of discussion is
city employees are rarely allow to publically discredit city officials or their leadership out
of fear of losing their job. This attitude was evident during the research process as some
employees refused to submit the questionnaires or answer certain questions out of fear of
reprisals. The researcher is not implying that Galveston has this issue or has threatened
their employees. The attitude is often perceived when it actually may not be the policy of
the leadership or city.
The third recommendation is to identify equipment that was needed during
Hurricane Ike but was not available. For example, rubber boats were needed at the time
of the hurricane but the fire department did not have any. The issue was identified after
the hurricane and some boats have been purchases. Many of the perceived leadership
differences involved material, lodging, and pay issues during the hurricane. The first
responders were put in a local hotel initially but were later removed without warning due
to budget concerns. Many of these first responders had nowhere to go. The
communication aspect between the leadership, families and the actual responders was
considered poor according to survey responses. Hundreds of citizens went without food,
water, shelter, and power for a week because of the inability of government organizations
125
and members of support agencies to coordinate a solid and effective plan to distribute the
needed supplies (Texas Office of Rural Community Affairs, 2009).
It was very difficult for the personnel to put forth their best effort when they were
worrying about their own families and homes. Very little was done to ensure them that
their families were taken care of. Emergency packages should be prepositioned for the
first responders that include extra uniforms, food, and material needed to do their job.
Respondents noted that many were told to bring some food for a few days and a change
of clothes. There should be basic items at the emergency operations center (EOC) or the
headquarters of each organization (Wigginton, 2007).
The fourth recommendation would be that the local and state officials adopt a no-
op-out policy for evacuations (Bedient, 2012). Initially, it was an option to evacuate
Galveston Island and many citizens did so. Just prior to the hurricane-making landfall
there was a mandatory evacuation ordered. The problem was that there was no real
accountability of what citizens actually were still on the island. Once the hurricane made
landfall the EOC, police, and fire departments began to receive untold numerous of call
from citizens asking for assistance. The first responders did assist some but leadership
did not allow them to help all out of safety concerns for the first responders and the
citizens themselves. Had these citizens evacuated as ordered there would be need for the
first responders to take extra chances of losing their life and equipment. This problem
was the same problem experience during Hurricane Katrina and it also helped to
contribute to unnecessary pain and suffering of its citizens. Currently, there are no
enforceable penalties for citizens who do this (McDonald, 2008).
126
The fifth recommendation is that all parties responsible for the safety of the
citizens in Galveston should conduct more rehearsals, tabletop exercises, and
coordination meeting well prior to the hurricane season (Jones& Meyers, 2010). These
training events do occur but according to the survey there is rarely any follow up after the
exercises. For example, an individual may have a certain role during exercises but leaves
prior to the hurricane-making landfall. Businesses have attrition and so do cities and first
responder communities. The “one-up and one-down” model is appropriate for this
recommendation (Bullock, 2009). Leaders and first responders need to know the job of
the person above them and below them in case a certain individual is not present during a
crisis situation such as a hurricane. The policy of training individuals in this fashion will
improve the quality of all first responders and assist it helping the leadership understand
the role of the first responders.
Conclusion
The purpose of this qualitative single-case study was to explore the leadership
styles of first responders and the organizational culture of police officers, firefighters, and
emergency personnel in Galveston, Texas who conducted recovery operations during
Hurricane Ike. Attitudes and lessons learned about leadership during and following
Hurricane Ike were explored. This chapter included discussion and recommendations of
the results in this study. Results from this study revealed that participants understood that
leadership was important to the overall effectiveness of first responders during
hurricanes. When discussing leadership during Hurricane Ike participants clearly chose a
transformational style of leadership over other models. Although prior research indicated
that situational leadership may be the best model for crisis situations survey responses
127
indicated that it was the second choice after transformational leadership traits. The
respondents did indicate that Laissez-faire leadership styles were not a desired style for
crisis management. This conclusion is supported by prior research (Bass, 1990;
Gozubenli, 2009).
Findings also showed a perception of a lack of willingness of senior community
leaders to discuss issues with first responder issues. The first conclusion is that local
leaders need to develop a leadership-training program for all levels of employment. This
is consistent with past research that has shown that leadership training is critical to
developing first responders and leaders (Jones, 2010; Kramer, 2007). The second
conclusion is that research should be conducted on other communities and learn from
their past successes and failures. The fourth conclusion was that equipment and personal
support of first responders and their families is crucial for them to put forth maximum
efforts during response and recovery operations. The fifth recommendation is that all
levels of local government and first responders should conduct drills and training to
enhance their ability to quickly and efficiently respond to the next hurricane or major
crisis.
The results of this study had identified that there are still issues with leadership
within the first responder community. There were many lesson learned from Hurricane
Katina and other crisis situation prior to Hurricane Ike making landfall. Some but not all
lessons learned were incorporated prior to Hurricane Ike making landfall. This
dissertation has provided some key training and leadership recommendations that have
been identified in the past but have been often overlooked. The recommendations should
assist in preparing future leaders and first responders for the next hurricane that makes
128
landfall in the Gulf Coast. Finally, there are several areas of improvement and future
research involving leadership during times of crisis should be addressed so response
times and results can be improved.
129
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Appendixes
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Appendix A:
Letter to Participants
OPPORTUNITY TO HELP FUTURE FIRST RESPONDERS DURING
HURRICANES
You are invited to participate in a research study being conducted for a dissertation at
Northcentral University in Prescott, Arizona. The purpose of this study is to explore the
leadership styles of first responder managers and supervisors and the organizational
culture of police officers, firefighters, and military personnel who conducted successful
recovery operations during Hurricane Ike. The study focuses on individual leadership
skills and how they affected response and recovery operations during Hurricane Ike.
There is no deception in this study. We are interested in your opinions and reflections
about your perception of leadership during Hurricane Ike.
Participation requirements. You will be asked to complete twenty questions via paper
and pencil about leadership and organizational culture during response and recovery
operations during Hurricane Ike during an interview process. The session will last
approximately one hour.
Location: Holiday Inn Galveston 5002 Seawall Boulevard, Galveston, TX
Dates: ?
Contact: Raymond E Stephens- Home -469-728-7467 or cell – 972-510-8446
On the specified dates all you will need to do is arrive at the hotel and you will be given
guidance on which conference room the questionnaires will be presented in. You will
have complete privacy and will not be identified by name. You will pick a false name
from a given list and will use this name throughout the process. You will enter through
one door and exit through another to ensure your privacy. The researcher will be
available to answer questions.
There are no direct benefits to you participating in this research. No incentives are
offered. The results will have scientific interest that may eventually have benefits for
people who participate in future response and recovery operations during hurricanes.
Right to Withdraw. You have the right to withdraw from the study at any time without
penalty. You may omit questions on any questionnaires if you do not want to answer
them.
145
Appendix B:
Informed Consent Form
Exploring Leadership Styles of First Responders and Response Time during
Hurricane Ike
Purpose. The study will explore the leadership styles of first responders and military
personnel in Galveston, Texas who conducted recovery operations during Hurricane Ike.
Participation requirements. You will complete a twenty-question questionnaire about
leadership during Hurricane Ike. The session will last one hour.
Research Personnel. Raymond E Stephens- Home -469-728-7467 or cell – 972-510-
8446
Potential Risk/ Discomfort. There are no known dangers in this study. You may
withdraw at any time and you may choose not to answer any question that you feel
uncomfortable in answering.
Potential Benefit. There are no rewards for you taking part in this study. The results may
assist people who respond to future hurricanes.
Anonymity/ Confidentiality. The data collected in this study is private. All data collected
will not have your name. Only the researcher will have access to the data.
Right to Withdraw. You have the right to stop the questions at any time without penalty.
You may omit questions on any questionnaires if you do not want to answer them.
Please contact: Raymond E. Stephens -972-510-8446 or my faculty advisor Dr. Ken
Gossett at [email protected]. If you have any questions.
Signatures
I have read the above description of the study and understand the conditions of my
participation. I agree to participate in the research study.
Participant's Name : _________________ Researcher's Name: ______________
Participant's Signature: _______________ Researcher's Signature:___________
Date:_____________
146
Appendix C:
Survey Questions
1. How long have you been in your present position?
2. What previous job did you hold prior to your current position?
3. Was it with another organization other than the one you are currently in?
4. How many personnel do you have currently working for you?
5. How many individuals are currently employed at your organization?
6. What is your education level?
a. High School b. Bachelor’s Degree e. Professional Certificate
c. Master’s Degree d. Doctoral Degree
7. In your words, what do you define as leadership?
8. In your opinion, what are the most important qualities of leadership?
9. Can you describe your leadership style?
10. What experiences do you feel were instrumental in helping you define your
current leadership style?
11. Can you tell me about your experiences in dealing with Hurricane Ike? What was
your job or role during the hurricane?
12. Since Hurricane Ike, have there been any changes in your organization that you
feel were directly related to the crisis of Hurricane Ike?
13. Does your leadership give you room to grow in your field of expertise?
14. Since Hurricane Ike, can you detail any changes, if any, that have occurred in
your own leadership style?
15. Since Hurricane Ike, what organizational priorities, if any, developed?
147
16. Since Hurricane Ike, have there been any changes to what you consider as
important to creating and effective leadership climate?
17. As a result of Hurricane Ike, what new challenges do you feel will impact
your approach to leadership in your organization?
18. Based on your personal experiences related to the events surrounding Hurricane
Ike, what advice would you share with today’s and tomorrow’s leadership to
help them be more effective leaders?
19. What would you like to see your leaders focus on in terms of preparing your
organization for future emergencies?
20. Do you have any final thoughts regarding leadership that you would like to share
that may assist leaders at all levels?