Pandemic Influenza Specific Incident Contingency Plan Training

1
Pandemic Influenza Specific Incident Contingency
Plan Training

• January 26, 2007
• Santa Clara County

2
Introductions

• Trainers Liz Coe Aimee Reedy
• Attendees Name, Department, Position

3
Training Learning Objectives

• By the end of the training participants will be
  able to
• Describe the purpose and goals of PISIC Plan.
• Identify steps for completing a PISIC Plan.
• Demonstrate understanding of essential functions
  by beginning to draft at least one essential
  function, its recovery time objective, its tasks
  and activities, and its resource requirements.
• Demonstrate understanding of lines of succession
  and delegation of authority by beginning to draft
  at least one line of succession and delegation of
  authority.
• Identify recovery strategies for personnel during
  pandemic influenza.
• Identify guidance and worksheets to support
  completion of the PISIC Plan.

4
Agenda

• Introduction
• Pandemic Influenza
• What is a PISIC Plan?
• Getting Ready to Develop a PISIC Plan
• Developing the PISIC Plan
• Timeline for Completing the PISIC Plan
• Resources for Completing the PISIC Plan
• Wrap Up

5
Pandemic Influenza

• A Threat to Santa Clara County
• Risk Analysis
• Planning Assumptions

6
A Threat to Santa Clara County

• A pandemic influenza is a global outbreak of
  disease that occurs when a new influenza A virus
  appears, causes serious illness, and then spreads
  easily from person to person.
• Under a worse-case scenario, the Public Health
  Department is assuming that 25 of Santa Clara
  Countys 1.8 million population, or 450,000
  people, will become clinically ill over the
  course of the 12 to 24-month pandemic.
• We are estimating a case-fatality rate of up to
  5 or 22,500 deaths.

7
Risk Analysis
8
Planning Assumptions

• Agencies and departments can plan a key role in
  the health and safety of employees and customers.
• Staffing up to 40 of the workforce could be
  absent from work during peak periods.
• Providers of Services and Products will be
  stressed and impacted by significant absenteeism.
  
• Emergency responder organizations will be very
  involved in their disaster response during an
  influenza pandemic.

9
What is a PISIC Plan?

• Definition
• COOP/COG Context
• COOP/COG vs. Disaster Plan vs. PISIC Plan
• Purpose, Goals and Design Basics
• Expectations
• Key Terms

10
Definition of PISIC Plan

• A PISIC (Pandemic Influenza Specific Incident
  Contingency) Plan is a continuity of operations
  plan that addresses a specific hazard pandemic
  influenza.
• It is an annex to an agencys or departments
  Continuity of Operations Plan (COOP)/ Continuity
  of Government (COG) Plan.

11
PISIC Plan in Context COOP

• What is Continuity of Operations planning?
• An effort within agencies or departments to
  ensure the continued performance of minimum
  essential functions during a wide range of
  potential emergencies. It is the capability of
  maintaining the business of government under all
  eventualities.
• How is it accomplished? Through the development
  of plans, comprehensive procedures, and
  provisions for alternative facilities, personnel,
  resources, interoperable communications, and
  vital records/databases.

12
PISIC Plan in Context (cont.) COG

• What is Continuity of Government planning?
• The preservation, maintenance, or reconstitution
  of the institution of government. It is the
  ability to carry out an agencys or departments
  constitutional responsibilities.
• How is it accomplished? Through succession of
  leadership, the pre-delegation of authority, and
  active command and control.

13
PISIC Plan in Context (cont.) COOP/COG vs.
Disaster Response Plan
14
PISIC Plan in Context (cont.) COOP/COG vs.
PISIC Plan
15
PISIC Plan in Context (cont.) COOP/COG vs.
PISIC Plan (cont.)
16
PISIC Plan Purpose

• To maintain continuity of operations and
  continuity of government during an influenza
  pandemic and reduce the consequences of a
  pandemic to acceptable levels.

17
PISIC Plan Goals

• Ensure continuous performance of essential
  functions during a pandemic (e.g., for longer
  than 30 days). To do this requires
• Protect personnel
• Protect essential function facilities, equipment,
  records and other assets.
• Achieve a timely and orderly recovery and
  resumption of full service to customers once the
  pandemic is over.

18
Plan Design Basics

• The PISIC Plan contains the same planning
  elements as a COOP/COG Plan-based on the Federal
  Preparedness Circular 65.
• The PISIC plan should meet the needs of the
  various users of the plan and their roles.
• In its entirety, it should address not only high
  level, overview information, but also the
  operational detail necessary to carry out
  essential functions.

19
Plan Design Basics (cont.)

• Its challenging because
• It touches all levels of activity within a
  government organization, from the most senior
  executive to some of the field staff involved
  with day-to-day delivery of services.
• Continuity planning is a collateral duty that
  is carried on in addition to regular
  assignments.

20
Keep Expectations Reasonable

• Recognize that your first PISIC Plan will
  establish a baseline of PISIC Plan capability
  that should be refined and enhanced over time.
• Brief time allocated for PISIC planning
• Level of completeness
• Level of response and coverage capability desired
• Unacceptable vulnerabilities will likely be
  identified
• Surge capacity may be needed

21
Key Terms

• The following COOP/COG terms have been customized
  for PISIC planning.
• Risk Analysisthe assessment of pandemic
  influenza (its severity, frequency of its
  occurrence, and control measures/mitigation
  procedures).

22
Key Terms (cont.)

• Essential Functions
• As defined in Federal Preparedness Circular 65,
  functions that enable the agency or department,
  on behalf of the state, to provide vital
  services, exercise civil authority, maintain the
  safety and well-being of the general populace,
  and sustain the industrial/economic base in an
  emergency.

23
Key Terms (cont.)

• Essential Functions (cont.)
• Accurate, complete identification of essential
  functions is the heart of effective
  COOP/COG/PISIC planning. This is arguably the
  most important task in creating your PISIC Plan.

24
Key Terms (cont.)

• Essential Functions (cont.)
• Focus on those agency/department functions and
  operations that
• Provide goods and/or services directly to the
  public,
• Are time-critical,
• Are highly valuable, and
• Must be continued under any and all
  circumstances.

25
Key Terms (cont.)

• Recovery Time Objective (RTO)an estimate of the
  maximum tolerable amount of time between when a
  disruption occurs and when the function is
  resumed under emergency conditions, e.g., the
  maximum amount of time the function can be down.
  It is a form of priority classification for the
  essential functions.

26
Key Terms (cont.)

• Function Dependenciesoperations that support or
  are linked to your agencys essential functions.
  This includes support operations such as
  communications, computer systems, payroll,
  contracts, and financial operations that are
  provided internally or by other departments as
  well as other agencies operations (including
  those of federal, state and/or local governments)
  or private entities operations that are linked
  to your essential functions.

27
Key Terms (cont.)

• Concept of Operationsthis section of the PISIC
  Plan describes in very succinct and concise
  language
• the planned organizational structure of
  continuity teams (executive and operational) and
  the process for activation of the PISIC Plan and
  for continuation of agency leadership and
  essential function management, and
• the basic plans for action (alternative work
  locations and effective and practical recovery
  strategies as well as strategies for
  reconstitution and resumption of all agency
  functions once the emergency is over).

28
Key Terms (cont.)

• Recovery Strategiesthe effective and practical
  strategies employed to resume essential functions
  under emergency conditions.
• Goal 1 To identify acceptable recovery
  strategies
• for each essential function.
• Goal 2 To flag vulnerabilities to essential
  function
• operations that require more
  analysis at a
• later time.

29
Key Terms (cont.)

• Reconstitution and Resumption Strategies the
  strategies used to resume (transition back to)
  normal agency operations once the pandemic is
  over.

30
Key Terms (cont.)

• Disaster Service WorkerPer the CA Government
  Code, Section 3100, all public employees are
  declared to be disaster service workers subject
  to such disaster service activities as may be
  assigned to them by their superiors or by law.

31
Getting Ready

• Planning Roles
• Reviewing Guidance

32
Key Roles

• Step 1 Prepare your staff to assume key roles
• Senior Executive Role
• Owns the planning process
• Sets agency expectation regarding staff
  participation
• Manages executive-level approval at key points
• Responsible for project completion

33
Key Roles (cont.)

• Coordinator/Facilitator
• Leads and monitors the planning process
• Provides PISIC planning overview and content
  expertise
• Liaison with senior management, facilitating
  approval process at key points
• Secures cooperation from all agency departments
  or department programs and staff
• Assists in identifying contacts and collecting
  information
• Compiles and writes the plan

34
Key Roles (cont.)

• PISIC Planning Team Members
• Points of contact in major areas of
  operationsfacilitates coordinators contact with
  respective department/program leadership and
  staff
• Assists in facilitating respective
  departments/programs participation and
  collection of requested information in a timely
  manner
• Assists in reviewing worksheets for accuracy and
  completeness
• Agency/department expertise

35
Key Roles (cont.)

• Essential Function Staff
• Staff who will be called on, as needed, for
  information
• Individuals who know the operations of an
  essential function well and can provide detailed
  information on resource requirements
• Tips
• Senior and executive management may need to
  develop strategies for re-assigning priorities
  and resources to accomplish the plan
• IS and communications staff/managers important
  for identifying resource requirements

36
Review Guidance

• Step 2 Familiarize yourself with todays
  guidance tools for completing the PISIC.

37
Developing the Plan

• Overview of Plan Elements
• Nuts and Bolts of Essential Functions
• Authorities and References
• Lines of Succession and Authority Delegation
• Personnel Recovery Strategies

38
Plan Elements

• Executive Summary
• Introduction
• Purpose and Assumptions
• Applicability and Scope
• Risk Analysis
• Essential Functions
• Resource Requirements
• Function Dependencies
• Vulnerability Assessment

39
Plan Elements (cont.)

• Authorities and References
• Concept of Operations
• Phase I Activation
• Decision Process
• Alert, Notification, and Implementation Process
• Leadership
• Lines of Succession
• Delegations of Authority

40
Plan Elements (cont.)

• Phase II Recovery Strategies
• Alternate Locations
• Vital Systems and Equipment
• Vital Records and Databases
• Interoperable Communications
• Personnel
• Vendors and Other Agency Functions

41
Plan Elements (cont.)

• Phase III Reconstitution and Resumption
  Strategies
• Prepare facilities for normal operations
• Recall all employees
• Replace employee positions and prioritize hiring
  efforts

42
Plan Elements (cont.)

• Planning Responsibilities
• Test Training and Exercises
• Testing and Exercising Teleworking
• Departmental Training
• Collaborate with other Departments in testing and
  exercising the plan
• Multi-year Strategy Program Management Plan
• Plan Maintenance
• ATTACHMENTS

43
Nuts and Bolts of Essential Functions
44
Essential Functions

• Step 1 Identify all agency functions or
  operations that deliver services or goods to the
  public.
• Step 2 Identify essential functions.
• Develop criteria for essential functions
• Identify agency functions or operations that meet
  your agencys criteria for an essential function

45
Essential Functions (cont.)

• Step 3 Identify recovery time objectives for
  each essential function.
• Step 4 Identify the activities and/or tasks for
  each essential function.
• Focus on minimally acceptable delivery or
  performance for each essential function. Are
  there any activities or tasks that can be
  suspended during a pandemic?

46
Essential Functions (cont.)

• Step 5 For each essential function, identify
  the resource requirements.
• Step 6 For each essential function, identify
  function dependencies.
• Further tips on identifying essential functions
  found in Essential Functions Handout

47
(No Transcript)
48
Essential Functions Exercise

• Review Worksheets 2 and 3
• Worksheet 2 Essential Functions and Recovery
  Time Objectives
• Worksheet 3 Essential Function Activities and
  Tasks
• Working in pairs or individually, identify one
  essential function, the RTO for that essential
  function, and some of the specific activities and
  tasks associated with the essential function.

49
Worksheet 2 Essential Functions and Recovery
Time Objectives
50
Worksheet 3 Essential Function Activities and
Tasks
51
Essential Functions Resource Requirements

• Resource requirements for critical processes and
  services for each essential function
• Facilities or work sites
• Communication systems
• Key personnel
• Vital records and databases
• Vital systems and equipment
• Key vendors
• Supporting government agencies and departments

52
Resource Requirements (cont.)

• Facilities or worksites
• What facilities or worksites serve as a physical
  location for the essential function?
• Which locations are required to ensure
  performance?
• Communication systems
• For each essential function, identify the types
  of communication systems needed to support the
  function
• Include all forms of communications systems (land
  lines and cell phones, E-Mail, Internet, etc.)
  that are being used for communications

53
Resource Requirements (cont.)

• Personnel
• For each essential function, identify the type of
  personnel required to perform the function
• Other than executive and management positions,
  what is the level of staffing required to perform
  the essential function?
• Consider staffing needs for 30 days. Consider
  minimal NOT optimal staffing requirements.

54
Resource Requirements (cont.)

• Vital records and databases
• For each essential function, identify the
  specific types of records and databases (both
  electronic and paper) used in the performance of
  the function.
• Vital records and databases include any
  documents, references and records that are needed
  to support the organizations essential functions.

55
Resource Requirements (cont.)

• Vital systems and equipment
• For each essential function, identify the types
  of systems and equipment needed to perform the
  function
• Distinguish between equipment that is used
  occasionally for a specific (but highly
  important) task and equipment that is used
  routinely
• Disruption of equipment that is used routinely
  can be very debilitating

56
Resource Requirements (cont.)

• Key vendors
• Supporting government agencies or departments
• For each essential function, identify all
  vendors, suppliers, or other governmental
  agencies that provide key goods or services
  required to perform the essential function
• Note whether the entities also have contingency
  plans
• Note whether you have service level agreements or
  MOUs in place in the event of a disruption.

57
Essential Functions Resource Requirements Exercise

• Review Worksheet 4 Part 1 and 2
• Working in pairs or individually, for your
  identified essential function, list one or more
  resource requirement under each section of Parts
  1 and 2 of Worksheet 4

58
Worksheet 4 Resource Requirements for Essential
Functions (Part 1)
59
Worksheet 4 Resource Requirements for Essential
Functions (Part 2)
60
Worksheet 5 Other Needed Services
61
Function Dependencies

• Identify the various departments, agencies,
  supply chains and vendors that the essential
  functions depend upon.
• Consider dependencies
• Within agency identify the RTO and necessary
  level of support
• Within county describe your intent to identify
  the RTO and necessary level of support
• External to county this may take more time to
  determine, longer term planning

62
Authorities and References

• Identify references/guidance used in the
  development of the PISIC Plan.
• Describe any relevant state or local statutes as
  well as internal policies that specify essential
  functions to be carried out by the agency or
  department under all circumstanceseven during an
  influenza pandemic.

63
Concept of OperationsPhase I-Activation

• Describe the decision process for activation of
  the PISIC Plan.
• Identify who will make the decision to activate
  the PISIC Plan.
• Consider an activation team
• an identified group of trained personnel who will
  be convened upon notification of a pandemic. The
  role of the team is to assess the situational
  information and make a determination or
  recommendation of activation of the PISIC Plan

64
Concept of Operations Phase I-Activation (cont.)

• Alert, Notification, and Implementation Process
• Describe the notification process for alerting
  the staff to the activation of the PISIC Plan
• Describe the various communication methods for
  notification
• Define who will be notified by whom

65
Concept of Operations Leadership

• Lines of Succession are critical for ensuring
  continuity of government in the event of pandemic
  influenza
• Steps for developing lines of succession
• List Executive level positions in your
  department.
• List the Senior Manager or Manager for each
  essential function in your department
• Develop lines of succession at least 4 people deep

66
Concept of Operations Delegation of Authority

• To maintain leadership, authority may need to be
  delegated during a pandemic
• Two types of authority may be delegated
• Emergency authority refers to those authorities
  the position has when an emergency is declared.
• Administrative authority includes such
  authorities as opening/closing offices,
  terminating services, expenditure/financial,
  operational, and personnel authorities.
• Authority delegation must comply with laws and
  regulations of agency

67
Steps for Delegating Authority

• For each key position, list the authorities that
  will be delegated to a successor if the person
  holding the authority is unavailable
• Describe the type of authority (emergency or
  administrative)
• Describe any limitations on authority
• Identify the triggering conditions for the
  delegation of authority (pandemic influenza).
• Describe the rules for delegating authority.
• Describe the procedures by which the delegation
  of authority will occur.

68
Tips for Lines of Succession and Delegation of
Authority

• Lines should be sufficient in depth to ensure the
  agencys ability to perform essential functions
  during the pandemic
• Consider skills, experience, knowledge and
  training, personality
• Provide adequate documentation of delegations of
  authority
• Ensure that individuals are trained to perform
  the duties delegated to them

69
Lines of Succession and Delegation of Authority
Exercise

• Review Worksheet 6 Delegation of Authority and
  Line of Succession
• Working in pairs or individually, for one key
  position (executive position or essential
  function manager)
• List line of succession 4 positions deep
• Identify one authority that will need to be
  delegated, the type of authority and rules for
  delegation

70
Worksheet 6 Lines of Succession
71
Worksheet 6 Delegation of Authority
72
Concept of Operations Phase II Recovery
Strategies

• Alternate Locations
• Consider work at-home as an alternate facility
  during pandemic (must be consistent with any
  county executive policy)
• Identify essential functions and activities that
  can be conducted at home or in staggered shifts.

73
Worksheet 7 Essential Functions that Could be
Carried Out at Home OR In Staggered Shifts OR
Only at Worksite
74
Concept of Operations Personnel Recovery
Strategies

• Five categories of strategies
• PISIC-Specific Employee Recommendations,
  Guidelines, and Policies
• PISIC-Specific Operations Recommendations and
  Policies
• Employee and Family Assistance Recommendations
• Employee Wellness Recommendations
• Public Health and Employee Information

75
Concept of Operations Personnel Recovery
Strategies (cont.)

• PISIC-Specific Employee Recommendations,
  Guidelines, and Policies
• Disaster Service Worker Guidelines
• Compensation Policy
• Santa Clara County Sick Leave and Other Time Off
  Parameters for Pandemic Situation
• Fitness for Duty Guidelines
• Grievance Policy
• HIPAA Policy

76
Concept of Operations Personnel Recovery
Strategies (cont.)

• PISIC-Specific Operations Recommendations and
  Policies
• Face-to-Face Contact Recommendations
• Employee Accountability System Recommendations
• Travel Recommendations
• Work At Home (Telework) Policy
• Visitor Recommendations
• Cross Training Recommendations
• Contractor Recommendations

77
Personnel Recovery Strategies Cross-Training and
Contractors

• Determine cross-training requirements for
  carrying out essential functions
• Consider lines of succession training needs
• Identify contractors required for essential
  functionsthose that are required to carry out
  the function
• Which contractors are critical to your operations?

78
Worksheet 8 Essential Function Staffing
Requirements, Cross-Training Alternatives, and
Contractor Requirements
79
Personnel Recovery Strategies Employee and
Family Assistance

• Special Needs and Childcare, School Age, and
  Elder Care Needs
• Identify family needs which will affect your
  personnels ability to come to work
• Confidentiality concerns regarding employee
  information
• Discuss with executive management to determine
  best course of action
• Counseling services
• Identify whether counseling services will be
  provided to employees and/or their families
  during and after a pandemic flu has occurred.
• Provide the contact information for the
  counseling service and whether that person or
  group will provide any special services for
  organization employees and/or their families.

80
Worksheet 9 Counseling Services
81
Personnel Recovery Strategies Employee Wellness
Recommendations

• Employee Wellness Recommendations
• Guidelines for Pandemic Influenza Infection
  Control Practices
• Employee Wellness Resources
• At-Home Prevention and Protection Guidelines
• For each facility housing an essential function,
  determine the number of employee wellness
  resources and supplies required, including
• Posters for cough etiquette and hand washing
  hygiene
• Hand sanitizer and dispensers
• Tissues
• Gloves
• Masks
• Other
• Room where sick person can be separated until
  sent home

82
Worksheet 10 Employee Wellness Resources
83
Personnel Recovery Strategies Public Health and
Employee Information

• Describe how you will communicate with employees
  to keep them informed about the pandemic and how
  to protect their health and their familys
  health.
• Describe how you will communicate with employees
  about their essential function work assignments,
  including their assignments as Disaster Service
  Workers.
• Identify resources and communication mechanisms
  for keeping employees informed about essential
  function work assignments.

84
Concept of Operations Recovery Strategy
Critical Vendors

• Identify critical vendors and alternative vendors
  for each essential function
• List the specific services the vendor provides
• Identify alternative vendors that could be used
  if the current vendor is not available
• Include contact information for vendors and
  alternative vendors
• Consider increased demand and disruption in
  supply chains when determining your critical
  vendors and alternative vendors

85
Worksheet 11 Critical Vendors
86
Planning Responsibilities

• Identify key positions on the PISIC Planning Team
• Describe responsibilities for each position

87
Plan Development Timeline
88
(No Transcript)
89
Resources for PISIC Planning

• Training Handouts
• Worksheets
• CA OES and Maryland Guidance

90
Handouts and Worksheets

• Todays training materials
• Presentation
• Handouts (Terms, Essential Functions, Risk
  Analysis, Plan Elements Checklist)
• Customized PISIC Worksheets
• Public Health Department Pandemic Influenza
  Specific Incident Contingency Plan
• Review the PHD PISIC Plan for structure and
  content
• Adopt sections that would be primarily the same
  for all county departments
• Adapt sections that need minor modification

91
Worksheets

• Worksheet 1 All Agency Functions
• Worksheet 2 Essential Functions and Recovery
  Time Objectives
• Worksheet 3 Essential Function Activities and
  Tasks
• Worksheet 4 Essential Functions Resource
  Requirements
• Worksheet 5 Other Needed Services
• Worksheet 6 Delegation of Authority and Line of
  Succession
• Worksheet 7 Essential Functions that Could be
  Carried Out
• at Home OR In Staggered Shifts OR Only at
  Worksite
• Worksheet 8 Essential Function Staffing
  Requirements, Cross Training Alternatives,
  and Contractor Requirements
• Worksheet 9 Counseling Services
• Worksheet 10 Employee Wellness Resources
• Worksheet 11 Critical Vendors

92
CA OES and MD Guidance

• California Office of Emergency Services
  Continuity of Operations/Continuity of Government
  Planning Program
• http//www.oes.ca.gov/Operational/OESHome.nsf/ALL/
  2958D3C765CCC115882571790074C99D?OpenDocument
• Discussion Paper Topic Continuity of
  Operations/Continuity of Government and Pandemic
  Influenza Planning, State of California, Office
  of Emergency Services.
• http//www.oes.ca.gov/Operational/OESHome.nsf/PDF/
  COOPCOG20Document20Downloads/file/DP20Pan20In
  fluenza20.pdf
• Maryland Emergency Management Agency, Maryland
  Continuity of Operations Planning Manual.
  http//www.mema.state.md.us/MEMA/content/pdf/disas
  ter_preparedness/continuity_of_ops/coop_manual__v_
  2_final.pdf
• Access to downloads of worksheets
• http//www.mema.state.md.us/MEMA/content_page.jsp?
  TOPICIDcoop

93
Consultants Contact Information

• Aimee Reedy
• aimee_reedy_at_comcast.net
• [phone]
• Liz Coe
• lizcoe413_at_aol.com
• [phone]