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Transcript of Developing An Effective Incident Plan REDD KNIGHTS GROUP INC Copy Right 2008 Federated Press 4 th...
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?