Developing An Effective Incident Plan

REDD KNIGHTS GROUP INCCopy Right 2008

Federated Press4th Emergency Management Conference

April 2008

Developing An Effective Incident Plan

OBJECTIVE

Understand the essential components of an Incident Plan.

Provide an easier way/process to developing an Incident Plan.

Developing An Effective Incident Plan

SESSION WILL CONSIST OF

A power point presentation & discussion

Participant development of a sample “framework” of an Incident Plan to apply in their current situation.

Developing An Effective Incident Plan

POWER POINT OVERVIEW

What is a risk assessment.

The assessment information/results.

Ensuring the Incident Plan is defensible (rationale).

Ensuring the Incident Plan is realistic (effective).

Developing An Effective Incident Plan

POWER POINT OVERVIEW (cont’d)

The Incident Plan/What is in an Incident Plan.

Defining the logical structure of the Incident Plan.

Factors threatening successful completion of the Incident Plan.

Developing An Effective Incident Plan

89% of corporate executives believe that some crisis is inevitable, 50% of that group admitted to having no plan in place to deal with a crisis.

Of the respondents who believed their company had a 50/50 chance of experiencing a crisis, 36% had no Incident Plan in place.

Of the respondents whose company had experienced a serious crisis, 42% still had not developed an Incident Plan.

(Source Crisis Management Planning for the Inevitable; Steven Fink 2000)

WHAT IS AN INCIDENT PLAN?

A document that outlines the actions to be taken by an organization to protect employees, physical assets and the public.

Provides specific measures for recovery after the crisis.

Developing An Effective Incident Plan

Developing An Effective Incident Plan

THE ASSESSMENT

Shapes and Sizes

Objective of the assessment.

Types of assessments.

Developing An Effective Incident Plan

ASSESSMENT SHAPES AND SIZES

Hazard Identification and risk assessment (HIRA)

Threat Risk and Vulnerability Assessment (TRVA)

Security Audit

Risk Assessment

Developing An Effective Incident Plan

OBJECTIVE OF THE ASSESSMENT

Used to estimate potential losses that could result from various vulnerabilities and the consequence from certain threats.

Identifies not only the critical assets that must be protected, but also the environment in which these assets are located.

Help in the selection of cost effective safeguards to reduce risk to an acceptable level through a cost effective risk management program.

Provide the Planning Committee with a basis for judging the likelihood of a certain crisis.

Developing An Effective Incident Plan

TYPES OF ASSESSMENTSQuantitative

Ranks exposure in terms of dollars & cents.

Bases a companies loss impact caused by threats on the annual loss expectancy (ALE), which is equal to the financial impact times the frequency of the occurrence (usually per year).

Advantage of translating protection needs in the financial language a business manager understands.

Disadvantage of the need of a lot of information & info gathering (time).

Developing An Effective Incident Plan

TYPES OF ASSESSMENTS (cont’d)Qualitative

Ranks exposure in terms of a rating (1 to 10).

Based on knowledge & judgment of those doing the analysis.

Advantage of being less time consuming and is useful in identifying risk exposure quickly.

Disadvantage of not being able to justify security expenditures

Developing An Effective Incident Plan

WHAT TO DO WITH ASSESSMENT INFORMATION

Develop a road map/plan of immediate and future strategies.

Organize the information/results.

Developing An Effective Incident Plan

ROAD MAP / STRATEGY

Supports future budgeting

Executive Support

What recommendations will be adopted or not & why?

When will actions be undertaken? What is the associated costs?

Developing An Effective Incident Plan

ORGANIZING THE ASSESSMENT INFORMATION

Consequences (Business Impact Analysis).

Causes.

All Hazards or Event Specific.

Developing An Effective Incident Plan

ORGANIZING THE ASSESSMENT INFORMATION

Consequences (Business Impact Analysis) can be tangible and intangible

Reduce facility operability.

Shut down facility/operations.

Endanger Life.

Loss of revenue and other specific financial impacts.

Developing An Effective Incident Plan

ORGANIZING THE ASSESSMENT INFORMATION (cont’d)

Consequences (Business Impact Analysis)

Loss of market share.

Reduced credibility with public/financial/investment communities.

Legal/Regulatory Impact.

Developing An Effective Incident Plan

ORGANIZING THE ASSESSMENT INFORMATION (cont’d) Causes

Social.

Natural.

Developing An Effective Incident Plan

ORGANIZING THE ASSESSMENT INFORMATION (cont’d)

All Hazards

Generic Emergency Plan.

Functional Annexes(names, contacts, resources).

Event Specific

Threat Specific Annexes ( e.g. Bomb Threat, Workplace Violence).

Developing An Effective Incident Plan

ENSURING THE PLAN IS DEFENSIBLE (RATIONALE)

Why is a defensible Incident Plan important?

Obligation/Legislation.

What prompted a need for the Incident Plan?

Developing An Effective Incident Plan

WHY IS A DEFENSIBLE PLAN IMPORTANT?

Greater success ( i.e...liability matters)

Corporate Standardization

Corporate buy-in

Existing standards/guidelines tried and proven (why re-invent the wheel?) i.e: NFPA 1600

Can/CSA Q-850-97ASIS

Developing An Effective Incident Plan

OBLIGATION / LEGISLATION

Canada Labour Code

Ontario Fire/Building Code

OHSA

Bill C-45

Developing An Effective Incident Plan

OBLIGATION / LEGISLATION (cont’d)Canada Labour Code

Every employer shall ensure that the Health and Safety at work of every person employed by the employer is protected.

Ensure employees have safe entry, exit and occupancy of the work place.

Ensure employees is made aware of every known or foreseeable health or safety hazard in the area and where the employee works.

Develop, implement and monitor a prescribed program for the prevention of hazards in the work place.

(Source: Canada Labour Code 2 and Reg-duty of employers Section 124-81 & Section 125 (p))

Developing An Effective Incident Plan

OBLIGATION / LEGISLATION (cont’d)

Ontario Fire/Building Code

OHSA

Developing An Effective Incident Plan

OBLIGATION / LEGISLATION (cont’d)

Bill C-45

Occupational Health & Safety Violations become Criminal Code Status

The deaths of 26 miners May 19, 1992, in the Westray Mine accident in Pictou County, Nova Scotia, can be pointed to as the catalyst for this legislation.

(Source: Workplace Health Safety Crimes; Norm Keith 2004)

Developing An Effective Incident Plan

OBLIGATION / LEGISLATION (cont’d)Bill C-45

Inadequate training, disaster plans and safety equipment hampered the rescueefforts

Company officials had fudged accident statistics

State-of-the-art equipment turned out to be not so state-of-the-art.

Untrained personnel, unqualified managers,

A failure to comply with orders from the Department of Labour regarding dangerous levels of coal dust.

Developing An Effective Incident Plan

WHAT PROMPTED THE ASSESSMENT?

Client demands/influence.

Corporate Governance.

Regulatory/Legal Requirement.

Developing An Effective Incident Plan

ENSURING THE PLAN IS REALISTIC (EFFECTIVE)

Having a non-partisan approach.

Defining the Incident Plan.

Measures that will determine an Incident Plan’s success.

Testing each step of an Incident Plan and reviewing the results.

Developing An Effective Incident Plan

NON-PARTISAN APPROACH

Can validate or rebut existing concerns.

New and different set of eyes.

Trained/experienced person can be thorough.

Defensible.

Developing An Effective Incident Plan

NON-PARTISAN APPROACH (cont’d)

Some characteristics of the expert and public views of risk (Powell and Leiss 1997)

“Expert” Assessment of Risk “Public” Assessment of Risk

Scientific

Probabilistic

Acceptable risk

Changing knowledge

Comparative Risk

Population averages

A death is a death

Intuitive

Yes/No

Safety

Is it or isn’t it?

Discrete events

Personal consequences

It matters how we die

These and other contrasts constitute barriers to mutual understanding

(Source: Canada Centre for Management Development –CCMD: “A Foundation for Developing Risk Management Learning Strategies)

Developing An Effective Incident Plan

DEFINE THE PLAN

Expected outcome.

Who will form part of the command team.

The steering committee.

Developing An Effective Incident Plan

THE PLAN’S SUCCESS

The assessment.

Organization of the the assessment data.

Teams participation.

Executive support!!

Developing An Effective Incident Plan

THE PLAN’S SUCCESS (cont’d)

Training and testing.

Ongoing maintenance.

Corporate Culture.

Developing An Effective Incident Plan

THE PLAN’S SUCCESS (cont’d)

Maintenance

Develop a Schedule.

Assign Accountability.

Include revision footer.

Developing An Effective Incident Plan

THE PLAN’S SUCCESS (cont’d)

Corporate Culture

Ensures the survival of the Plan (i.e...commitment, resources).

Developing An Effective Incident Plan

TRAINING & TESTING

Not uncommon to conduct an exercise/scenario upon completion of developing the plan

Test each step/phase of the Incident Plan

Requirements of the command and response team.

Consider a Logical sequence of exercise complexity.

Train the Trainers.

Developing An Effective Incident Plan

TRAINING & TESTING (cont’d)

Test communications.

Plan to deal with real world exercises.

Exercises realistic as possible within safety limits.

Challenge the Incident Plan.

WHAT IS AN INCIDENT PLAN?

A document that outlines the actions to be taken by an organization to protect employees, physical assets and the public.

Provides specific measures for recovery after the crisis.

Developing An Effective Incident Plan

Developing An Effective Incident Plan

THE INCIDENT PLAN

Incident Plan content

Intention of an Incident Plan’s content.

Developing An Effective Incident Plan

INCIDENT PLAN CONTENTConsiderations

Be in an easily read format.

Outline job specific responsibilities.

Delineate response procedures.

Be consistent with planned method of incident management.

Flexible.

Developing An Effective Incident Plan

INCIDENT PLAN CONTENT (cont’d)

Direction & Control.

Communication (Media Relations).

Triggers (Alerts & Warnings).

Facility Shutdown.

Evacuation (Including Organizational & Personal Relocation & Essential Operations).

Developing An Effective Incident Plan

INCIDENT PLAN CONTENT (cont’d)

Shelter.

Emergency Services.

Emergency Information.

Resources.(Maps, Procedure Charts, Call-up Lists, Listings of Local Resources, Mutual Aid Agreements & Glossary of Terms Info)

Developing An Effective Incident Plan

STRUCTURING THE PLAN

Evolution of the event.

Information/Communication Flow.

Styles.

Team collaboration.

Developing An Effective Incident Plan

EVOLUTION OF THE EVENT

A single event can cause a chain reaction causing other (secondary) events to occur

Developing An Effective Incident Plan

INFORMATION (COMMUNICATION) FLOW

Equipment

Contact trees

Authorization

Developing An Effective Incident Plan

TEAM COLLABORATION

Preparation of onsite and remote operations.

Back-ups/ 2nd & 3 rd “string” management.

Controlled (strategic communication methods/flow).

Developing An Effective Incident Plan

INCIDENT PLAN STYLES

Written/Textual.

Chart/Task Flow Matrix.

A Plan should speak to all levels/denominators (least experienced staff member) to be able to initiate the Plan.

Developing An Effective Incident Plan

FACTORS THREATENING SUCCESSFUL COMPLETION

Attempts to start too grand / big.

Misunderstanding associated costs.

Misunderstanding time commitments.

Executive support.

Developing An Effective Incident Plan

MISUNDERSTANDING ASSOCIATED COSTS

Financing the assessment and testing processes of the Incident Plan.

Fines and penalties for violation of legislation and contractual agreements.

Demand and availability of products and services not planned.

Developing An Effective Incident Plan

MISUNDERSTANDING TIME COMMITMENTS

By whom

Actual time required to develop an Incident Plan.

Developing An Effective Incident Plan

EXECUTIVE SUPPORT Response team members seek leadership.

If the executive team does not believe in the Incident Plan the planning and execution will be faulty.

It must be developed in cooperation with many others (different departments, and levels of labor force).

Developing An Effective Incident Plan

REFERENCES

NFPA 1600

American Society of Industrial Security (ASIS)

Emergency Preparedness Canada

Toronto Office of Emergency Management

Bill C-45

Developing An Effective Incident Plan

QUESTIONS?

Developing An Effective Incident Plan

PARTICIPANT EXERCISEPART ONE-BUILDING YOUR CASE

Developing An Effective Incident Plan

PARTICIPANT EXERCISE

Organize The Assessment Results

Consequences

Causes

Developing An Effective Incident Plan

PARTICIPANT EXERCISE

Road Map/Action Plan

Identify what recommendations you will adopt

Explain why, why not and when?

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Identify legal obligations/regulatory governance applicable to your current situation

Developing An Effective Incident Plan

PARTICPANT EXERCISE

ASSUMPTION

The Assessment you had requested be done was prompted for the following reasons:

Competitors were having them done

Employee response to surveys suggested that they did not feel safe

A Competitor recently experienced a threat

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Decide Will You:

Develop the plan yourself with Internal Resources

or

Procure the Services of an Advisor

Explain the reasoning for your decision, identify estimated costs

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Seeking Executive Support:

Prepare 4 points/arguments that you will use and present to the executives to obtain their support of developing a plan.

Include 4 things/points you will need from them that will ensure the plans success

Developing An Effective Incident Plan

PARTICIPANT EXERCISEPART TWO-THE PLAN FRAMEWORK

Developing An Effective Incident Plan

PARTICPANT EXERCISE

ASSUMPTION

You were successful in receiving support from the Executives.

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Referring to your current circumstance, identify and list the following:

What departments and individuals will make up the steering committee

Identify the key roles and responsibilities of the committee

Identify the maintenance program & method to confirm compliance

Developing An Effective Incident Plan

PARTICPANT EXERCISE

List the incidents/event types the Plan will address

List the content/sections that will make up the plan, include the resource material that will form part of the plan

What Type of Plan (All Hazards or Event Specific)

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Defining the structure of the plan

Select an incident which you have included within the plan.

Guesstimate the evolution of the incident unfolding and being managed. Show this evolution by placing a number beside the transition.

Outline the required flow of information and by whom, that is necessary to stay on top of the evolution of the incident

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Decide, what style or variation of styles will be utilized outline the required actions/protocols necessary to manage the incident.

Why did you select this style?

Developing An Effective Incident Plan

PARTICPANT EXERCISE

List who will form part of your incident response team

Consider:

Command

Control & Containment

Communication

Coordination

Developing An Effective Incident Plan

PARTICPANT EXERCISE

Outline a scenario that will test your plan

Consider such things as:

Exercise Objective, Success measurements

Assumptions

Resources

Communications

Developing An Effective Incident Plan

YOU HAVE DEVLOPED A FRAMEWORK FOR HOW TO DEVELOP AN INCIDENT PLAN !!!

Developing An Effective Incident Plan

QUESTIONS?