Developing An Effective Incident Plan

1. Developing An Effective Incident Plan REDD KNIGHTS GROUP INC Copy Right  2008 Federated Press 4th Emergency Management Conference April 2008

2. Developing An Effective Incident Plan • OBJECTIVE • Understand the essential components of an Incident Plan. • Provide an easier way/process to developing an Incident Plan.

3. 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.

4. 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).

5. 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 .

6. 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)

7. Developing An Effective 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.

8. Developing An Effective Incident Plan • THE ASSESSMENT • Shapes and Sizes • Objective of the assessment. • Types of assessments.

9. 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

10. 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.

11. Developing An Effective Incident Plan • TYPES OF ASSESSMENTS • Quantitative • 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).

12. 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

13. 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.

14. 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?

15. Developing An Effective Incident Plan • ORGANIZING THE ASSESSMENT INFORMATION • Consequences (Business Impact Analysis). • Causes. • All Hazards or Event Specific.

16. 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.

17. 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.

18. Developing An Effective Incident Plan • ORGANIZING THE ASSESSMENT INFORMATION (cont’d) Causes • Social. • Natural.

19. 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).

20. 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?

21. 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-850-97 ASIS

22. Developing An Effective Incident Plan • OBLIGATION / LEGISLATION • Canada Labour Code • Ontario Fire/Building Code • OHSA • Bill C-45

23. 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))

24. Developing An Effective Incident Plan • OBLIGATION / LEGISLATION (cont’d) • Ontario Fire/Building Code • OHSA

25. 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)

26. Developing An Effective Incident Plan • OBLIGATION / LEGISLATION (cont’d) • Bill C-45 • Inadequate training, disaster plans and safety equipment hampered the rescue efforts • 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.

27. Developing An Effective Incident Plan • WHAT PROMPTED THE ASSESSMENT? • Client demands/influence. • Corporate Governance. • Regulatory/Legal Requirement.

28. 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.

29. 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.

30. Developing An Effective Incident Plan NON-PARTISAN APPROACH (cont’d) (Source: Canada Centre for Management Development –CCMD: “A Foundation for Developing Risk Management Learning Strategies)

31. Developing An Effective Incident Plan • DEFINE THE PLAN • Expected outcome. • Who will form part of the command team. • The steering committee.

32. Developing An Effective Incident Plan • THE PLAN’S SUCCESS • The assessment. • Organization of the the assessment data. • Teams participation. • Executive support!!

33. Developing An Effective Incident Plan • THE PLAN’S SUCCESS (cont’d) • Training and testing. • Ongoing maintenance. • Corporate Culture.

34. Developing An Effective Incident Plan • THE PLAN’S SUCCESS (cont’d) Maintenance • Develop a Schedule. • Assign Accountability. • Include revision footer.

35. Developing An Effective Incident Plan • THE PLAN’S SUCCESS (cont’d) Corporate Culture • Ensures the survival of the Plan (i.e...commitment, resources).

36. 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.

37. 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.

38. Developing An Effective 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.

39. Developing An Effective Incident Plan • THE INCIDENT PLAN • Incident Plan content • Intention of an Incident Plan’s content.

40. Developing An Effective Incident Plan • INCIDENT PLAN CONTENT • Considerations • Be in an easily read format. • Outline job specific responsibilities. • Delineate response procedures. • Be consistent with planned method of incident management. • Flexible.

41. 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).

42. 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)

43. Developing An Effective Incident Plan • STRUCTURING THE PLAN • Evolution of the event. • Information/Communication Flow. • Styles. • Team collaboration.

44. Developing An Effective Incident Plan • EVOLUTION OF THE EVENT A single event can cause a chain reaction causing other (secondary) events to occur

45. Developing An Effective Incident Plan • INFORMATION (COMMUNICATION) FLOW • Equipment • Contact trees • Authorization

46. 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).

47. Developing An Effective Incident Plan • INCIDENT PLAN STYLES • Written/Textual. • Chart/Task Flow Matrix. A Plan should speak to all levels/denominators (least experienced staffmember) to be able to initiate the Plan.

48. Developing An Effective Incident Plan • FACTORS THREATENING SUCCESSFUL COMPLETION • Attempts to start too grand / big. • Misunderstanding associated costs. • Misunderstanding time commitments. • Executive support.

49. 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.

50. Developing An Effective Incident Plan • MISUNDERSTANDING TIME COMMITMENTS • By whom • Actual time required to develop an Incident Plan.