Resilience Framework. October Version 3.0

Transcription

1 Resilience Framework October 2016 Version 3.0 Version 3.0 GSC: OFFICIAL

2 Flowchart for Using Resilience Arrangements This flow chart identifies how the Resilience arrangements for Locala should be activated and used with each other. Green boxes represent actions where Activations are needed. Incident Activate and implement the Corporate Escalation Plan and follow the action cards appropriate to the REAP Level Is the incident is related to a specific hazard? Yes No Is the incident related to: Severe Weather? An Outbreak? Fuel Shortage? An Evacuation of Holme Valley Hospital? Activate the Incident Response Plan. Follow the necessary actions within it. Yes Activate the appropriate incident specific response plan AND the Incident Response Plan alongside the Escalation Plan Activate the appropriate Command Structure as identified within the Incident Response Plan. Yes Activate appropriate Service Level REAP Plans (for any services specifically affected) Is Locala s service delivery being affected? No Activate the Corporate Level Business Continuity Plan Activate a Business Continuity Response Group No action required. However monitor the situation and if issues do occur consider the activation of appropriate Service Level and Corporate Level Business Continuity Plans along with a Business Continuity Response Group. Are Locala s IT and Communication systems functioning as normal? Yes No No action required. However monitor the situation and if issues do occur consider the activation of the Disaster Recovery Plan as appropriate if situations change. Activate the Corporate Level Disaster Recovery Plan and Activate a Disaster Recovery Response Group within Silver Command Version 3.0 GSC: OFFICIAL i

3 Contents Flowchart for Using Resilience Arrangements... i 1 Introduction Purpose Aim Objectives Scope Locala: A background Who are Locala Where do Locala Work What Services do Locala Offer Requirements on Locala during an Emergency Locala and Partnership Working Summary of Locala s Resilience Arrangements Locala s Emergencies and Significant Incidents Response Terminology Locala Resilience Group Resilience Work streams Emergency Planning Business Continuity Management Disaster Recovery Considerations Risk Registers Resilience Risk Assessment Training Requirements Civil Contingencies Act Emergency Preparedness, Resilience and Response Framework Duty of Care Finances Legal Data Protection Freedom of Information Human Rights Government Security Classification CONTEST: Prepare Framework Administration Appendix A: Training Analysis A.1 National Occupational Standards for Civil Contingencies Version 3.0 GSC: OFFICIAL ii

4 A.2 Staff Required to Participate in Resilience Training Appendix B: Acronyms Appendix C: Distribution List Appendix D: Table of Progress and Amendments Version 3.0 GSC: OFFICIAL iii

5 1 Introduction 1.1 Purpose 1.2 Aim This document will identify how Locala will carry out its Emergency Preparedness, Resilience and Response (EPRR) duties. It will also map connected arrangements to identify how they will work together during a response. This document is not a live response document. It is designed to inform how resilience work is carried out and the methodology under which it will be implemented in practice. To support the delivery of statutory duties of Locala under the Civil Contingencies Act (CCA) and delivery of core competencies under the national EPRR Framework. To identify a framework for the delivery of resilience work streams within Locala. 1.3 Objectives Introduce who Locala are and services provided (Chapter 2); Identify how documents created under this Framework will be triggered and work together (Page i and Section 2.6); Outline Locala s (Chapter 3); Identify what an emergency or significant incident is to Locala (Section 3.1); Identify terminology which needs to be understood by Locala concerning resilience work streams (Section 3.2); Outline how emergency planning, business continuity and disaster recovery strands of the for Locala will be delivered to support the Framework (Sections to 3.4.3); Identify general considerations within resilience work which will support its delivery as appropriate (i.e. Risk Assessment, Training Requirements, Finance, Legal, Data Protection, Freedom of Information, Human Rights, Government Security Classification, and CONTEST: Prepare - Chapter 4). 1.4 Scope This document is for Locala s resilience work streams, as directed by the Civil Contingencies Act and the EPRR Framework only. This document does not contain any details pertinent to response and is not expected to be used in a response situation. Details within this document may, however, feed into the planning process. Version 3.0 GSC: OFFICIAL 1

6 This document is not for other responders outside of Locala. Their arrangements will be detailed within their own resilience plans and arrangements 1. 2 Locala: A background 2.1 Who are Locala Locala Community Partnerships are a Social Enterprise who are contracted to deliver National Health Service (NHS) funded community services. They provide these services across the Kirklees, Bradford and Calderdale Local Authority (LA) areas. Locala are a Community Interest Company (CIC), an independent and not for profit Social Enterprise. Locala are commissioned by: o NHS Greater Huddersfield CCG (Note: this is the Lead Commissioner for Adult Community Services); o NHS North Kirklees Clinical Commissioning Group (CCG); o NHS England; o Kirklees LA; o Bradford LA; o Calderdale LA. The contract under which Locala is employed to deliver their services is managed by the Greater Huddersfield CCG and identifies them as a Category One organisation (as defined under the Civil Contingencies Act). Locala employ roughly 1500 whole time equivalent posts. Locala s aim is to provide high quality, value for money care and support closer to home. Locala s vision is: o To understand the needs and wants of the local community and deliver excellent quality and the best value care; o To exceed expectations through superb customer service and innovation; o To work with partners to raise the bar of community services and be the first choice provider; o To embrace new technologies with highly-trained, integrated and motivated teams. Locala s values are: o To be caring by offering support, care and respect and providing great customer service; o To be inspirational through offering accountability, through being innovative, challenging and striving for improvement; and o To be part of it by building great communities, through colleagues developing themselves and their colleagues and by working together to win together. 1 A summary of their arrangements can be found in the response specific plans identified on page i or in Section 2.6 in order to provide a picture to Locala of who they can expect to be involved in a response and why from other organisations. Version 3.0 GSC: OFFICIAL 2

7 2.2 Where do Locala Work GSC: OFFICIAL Locala work in a number of different environments including: o Healthcare Centres; o Surgeries; o In-patient settings; o Private homes; o Home Valley Memorial Hospital (HVMH); o Acute Hospitals; o Residential homes. 2.3 What Services do Locala Offer This section aims to identify what services Locala provides to local Kirklees Communities which may be impacted in the event of an emergency impacting the local area or Locala directly. Locala offer the following services to local communities: o Admissions Avoidance; o Bradford Contraception and Sexual Health; o Broughton House Surgery; o Calderdale General Practice s (GP s) ; o Care Home Support Team; o Children's Community Nursing; o Children's Occupational Therapy; o Children's Speech & Language Therapy; o Chlamydia Screening Programme; o Community Chronic Obstructive Pulmonary Disease (COPD) Service; o Community Matrons; o Community Rehabilitation; o Continence Advisory Service; o Contraception and Sexual Health; o Day Surgery; o Dental Services; o Dermatology Service; o Diabetes; o District Nursing; o Drug and Alcohol Advice; o End of Life Care; o Family Nurse Partnership; o Foot Health; o Health Visiting; o Heart Problems; o Immunisation Service; o Infant Feeding; o Intermediate Care; o Looked After Children; o Medicines Management; o Muscles, Joints and Bones; o Pupil Referral Service; o Jubilee Rehabilitation Team; o Safeguarding; o Schools Nursing; o Tuberculosis (TB) Services; o Nursing Service; o Video Contacts; Version 3.0 GSC: OFFICIAL 3

8 o Locala Walk in Centre; o The Whitehouse Centre; o Youth Offending Team. There are a number of internal facing services that also exist to ensure these services can be delivered. These will also need to be considered during an emergency as if they are interrupted this could have a knock-on impact on the community facing services being delivered. These internal facing services are as follows: Corporate Affairs Finance and Performance Team Transformation Communications Accounts Human Resources Customer Liaison and Engagement Digital Services Business Development Performance and Information Management Estates Project Management Clinical and Operational Services Medicines Management Infection Control Health and Safety Quality Management 2.4 Requirements on Locala during an Emergency Under their contract to provide NHS funded community service Locala have a Category One responder status under the Civil Contingencies Act. Therefore, during an emergency Locala with be required to do the following: o To continue its critical functions to minimise, as far as practicable, disruption to the services offered to local communities; o To look after the health, safety and welfare of our colleagues at all times during an emergency whether the colleagues are responding as business as usual or as part of the direct emergency response; o To look after the health, safety and welfare of those within our care, as far as reasonably practicable during an emergency impacting on the community or directly on Locala. Resilience arrangements are in place as identified within and coordinated under this document will better ensure Locala are able to meet these requirements. 2.5 Locala and Partnership Working Locala have close working relationships with the following (note: this list is not exhaustive and others may be necessary): o Local GPs; o Pharmacies; o Social Services; o The Public; o National Health Service; o Local Authorities; o Voluntary organisations; o Suppliers; o Subcontractors. Version 3.0 GSC: OFFICIAL 4

9 These partners will be worked with during emergency and non-emergency times in order to maintain, as far as practicable, service provision. This document and will go towards helping to manage expectations of Locala within partner groups (whereby building trust and confidence by ensuring Locala provide what they expect). 2.6 Summary of Locala s Resilience Arrangements Locala have the following resilience arrangements in place to minimise the impact on their service delivery and health, safety and welfare of colleagues, patients and the public: o Surge and Escalation: Escalation Framework. o Emergency Planning: Incident Response Plan; Severe Weather Plan; Fuel Shortage Plan; Outbreak Response Plan; Holme Valley Hospital Evacuation Plan; o Business Continuity: Corporate Business Continuity Plan; Service Level Business Continuity Plans (service level REAP). o Disaster Recovery: Corporate Disaster Recovery Plan. These work together in a response as indicated by the flow chart on Page i: Version 3.0 GSC: OFFICIAL 5

10 3 Locala s Under our NHS Contract Locala are identified as a Category One responder (as per the Civil Contingencies Act (CCA) definitions of responder groups). Under this contract the following responsibilities are placed on Locala: o Have and maintain an up to date Business Continuity Plan, this should include evacuation arrangements for re-locating services to alternative premises; o Have and maintain an up to date incident response plan and general civil contingency plans (Note: within Locala there is the overarching Major Incident Response Plan, incident specific plans and this document); o Carry out tests and exercises as outlined in each standalone response plan in place. o Ensure colleagues are suitably trained and competent around any response role involved in a response under resilience plans put in place to ensure EPRR and CCA requirements are met; o Have and maintain adequate facilities from which to manage emergencies (including an Incident Coordination Centre); o Ensure compliance with the CCA, EPRR and other laws / guidance as relevant; o Ensure that Locala comply with all plans and arrangements in place when responding to an incident or emergency; o Ensure that the Coordinating Commissioner (Note: for Locala this is NHS North Kirklees) is informed of the activation of any resilience plans and arrangements no later than 5 operational days following that activation. Being a recognised Category One responder, due to the NHS Contract in place, gives Locala the following responsibilities towards preparing for emergencies under the CCA (2004). o Carry out risk assessments; o Have emergency plans and arrangements in place; o Have business continuity plans and arrangements in place; o Ensure community and organisational warning and informing is in place; o Cooperate with others involved in the response and share information as necessary to ensure an effective response is delivered. Further to the CCA, Locala have a duty as a health provider of NHS funded services, under the Health and Social Care Act (2012), to ensure they meet the Core Competencies for the EPRR framework. Under the EPRR framework s Core Competencies the following responsibilities are placed on Locala: o Have suitable up to date plans in place which set out how we will plan for, respond to and recover from incidents and emergencies as identified in local and community risk registers; o Test and exercise plans as outlined within each stand alone plan. o Have suitably trained and competent colleagues in place to carry out required roles and duties during a response; o Have suitable facilities in place 24/7 to manage a response; o Share resources as required. In order to ensure that these responsibilities are met, Locala have the following work streams in place to control resilience work streams whereby subsequently ensuring that what is required is in place to the necessary standard: o Emergency Planning (Section 3.4.1); o Business Continuity Management (Section 3.4.2); o Disaster Recovery (Section 3.4.3). Version 3.0 GSC: OFFICIAL 6

11 The work streams of Emergency Planning and Business Continuity are currently contracted out to, and overseen by, the Kirklees Council Emergency Planning Team, in liaison with Locala. The work stream of Disaster Recovery is currently managed internally by Locala, with arrangements contracted out to external parties as appropriate. In order to monitor the progress of resilience work, and assess its compliance with the NHS standard contract for Locala, the CCA and the EPRR core competencies a maturity matrix, as identified within Public Advisory Service (PAS) 2015, will be maintained by the Kirklees Council Emergency Planning Team, as per contract in place, on behalf of Locala. This will then be submitted to the Locala Board for approval and members will be subsequently informed of outcomes. This will also be communicated to NHS England via procedures identified at the time by them. 3.1 Emergencies and Significant Incidents Under the CCA (2004) responders are required to have plans and arrangements in place with which to respond to emergencies within the community. The term emergency in a community context is defined in the CCA as: o An event or situation which threatens serious damage to human welfare in a place in the UK, the environment of a place in the UK, or war or terrorism which threatens serious damage to the security of the UK 2. Under the EPRR framework it is identified that plans and arrangements are required in order to respond to emergencies / significant incidents within the NHS system as a whole or specifically within the organisation itself. Within this context EPRR defines an emergency / significant incident as: o Any event that cannot be managed with routine service arrangements. The response may require the implementation of special procedures and may involve the response of one or more emergency service, the wider NHS and / or a local authority 3. This document highlights what is in place and general arrangements for activation in a response to either an emergency as defined in the CCA for incidents within the community or an emergency/significant incident as defined within the EPRR framework for incidents within the National Health Service (NHS) or a specific health organisation. This document gives the generic response information relevant to the arrangements in place for each resilience strand. This is to reduce repetition between documents and ensure they work together by following the same principles. 3.2 Response Terminology The following table identifies the terminology that should be used by Locala to NHS England and that NHS England will use to communicate with Locala: Terminology What it Means to Locala What it Means to NHS England Standby One or multiple plans are activated at standby. Once NHS England are alerted they will consider declaring an NHS wide 2 Emergency Preparedness (March 2012, Section 1.14, page 6) 3 NHS Commissioning Board, Emergency Preparedness Framework 2013 (March 2013, Page 12) Version 3.0 GSC: OFFICIAL 7

12 Terminology What it Means to Locala What it Means to NHS England Declared Cancelled Stand Down 3.3 Locala Resilience Group Locala must identify to NHS England that this has occurred what plans are active at standby and actions they are taking. Notification of NHS England should be written as standard into all Locala s plans at standby level. Locala will activate one or more plan at full activation level. Locala must identify to NHS England that this has occurred, what these plans are and what actions are being taken. Locala should review active plans and fully activate any plans required and inform NHS England that they have declared an significant incident / emergency. Notification of NHS England should be written as standard into all Locala s plans at full activation level. Plans will no longer be active immediately Plans will be stood down in an appropriate manner to allow a return to normality. significant incident / emergency. Preparatory arrangements will be made in case of escalation to declared. NHS England declare a significant incident / emergency. NHS England will inform other organisations of this so they can fully activate their own arrangements as necessary. NHS England cancel a declared or the need to have plans on standby. NHS England identify that a significant incident/ emergency is no longer occurring therefore inform organisations that their responses can be stood down as per their own procedures. This group oversees Emergency Planning, Business Continuity and Disaster Recovery arrangements within Locala. They ensure that Locala are achieving the necessary work stream for resilience, addressing any issues as appropriate. This, in turn, will ensure that Locala are carrying out the necessary resilience work to meet our requirements under the Core Competencies of the EPRR framework and also of the Civil Contingencies Act (2004) and any area specific British Standards or International Organisation for Standardisation requirements (as identified within the individual work streams in Section to Section 3.4.3). The group will compile and maintain a Locala Resilience Risk Register. This document will be used to prioritise the resilience work to be delivered. The group will compile an annual report on their progress for submission to the Finance, Performance and Quality Committee. The group will maintain and review the Emergency Planning, Business Continuity and Disaster Recovery work streams respectively (Section to Section Version 3.0 GSC: OFFICIAL 8

13 of this document). As such, they will be consulted on all document outputs from these prior to going to board for sign-off/being finalised. This group will ensure that training and awareness programmes are put in place for the Locala employee base around resilience activities and expectations of them under these. Any issues experienced within the delivery of resilience planning arrangements as detailed within the individual work stream descriptors will be taken by the Director of Clinical Operations to the Board to be resolved where they cannot be suitably resolved within the Resilience Group. Membership of the Group: o The Chair of the Group will be the Director of Strategy Planning and Partnerships, or the Head of Quality in their absence. o Standing members: These are those members that are required to attend all meetings of the group. This standing members group should be made up of Heads/Leads of each of Locala s service areas (or their nominated deputies), o Occasional members: These are those members that are only required to attend meetings where they are specifically invited to do so. This will include those that have been given a specific project as such people will only be required for the duration of that project. This may include external partner organisations. o Note: where a standing or invited member is unable to attend they are expected to provide a suitably informed deputy. There will be a minimum of 1 meeting per quarter. Extra meetings may be called where necessary. Further details of this group can be found I the Locala Resilience Group Terms of Reference. 3.4 Resilience Work streams Emergency Planning o Emergency Planning within Locala sits within the Director of Strategy Planning and Partnerships, in close liaison with Clinical and Operational Services Division. Emergency Planning specialisms will sit more specifically within the Health and Safety function o The minimum Emergency Planning that Locala requires is an Incident Response Plan (to address requirements under the CCA). However, under EPRR Competency Requirements the following Emergency Planning response specific plans/considerations are also needed: severe weather, pandemic influenza and infectious disease outbreak, fuel disruption, surge and escalation, evacuation, and lockdown o Locala s Resilience Group should carry out a resilience risk assessment to identify what risks (based on local, regional and national Civil Contingency risk assessments) will likely impact Locala s activities. This should not encroach on existing internal strategic risk assessment but should help feed into them. o The Director of Strategy Planning and within Locala will act as the Emergency Planning Lead and will delegate specific Emergency Planning work to individuals within Locala as appropriate. These individuals will be required to attend the Version 3.0 GSC: OFFICIAL 9

14 Locala Resilience Group to give updates on their work and obtain any necessary ratification on this work. o The Emergency Planning Lead (Director of Strategy Planning and Partnerships) within Locala will coordinate work to be completed to ensure that plans and associated arrangements, systems and controls are in place to respond to risks within the Locala Emergency Planning Risk Register, as appropriate. o The Emergency Planning Lead within Locala, or appropriate deputy, will attend any Locala Authority Resilience Groups held. They will also attend the West Yorkshire Local Resilience Forum Health Sub Group. o The Director of Strategy Planning and Partnerships, or suitable nominated deputy 4, will attend the Local Health Resilience Partnership. o The Kirklees Council Emergency Planning Team, in liaison with the Emergency Planning Lead within Locala, will coordinate work to be completed to ensure that plans and associated arrangements, systems and controls are in place to escalate responses to situations where demands on Locala s services are above those of usual day to day business. This will allow Locala to evidence under EPRR that they are able to offer a scalable service based on pressures at the time. o The Kirklees Council Emergency Planning Team, in liaison with the Emergency Planning Lead within Locala, will ensure that plans and arrangements in place are fit for purpose via consultation prior to their ratification and regular testing and exercising to validate plans and arrangements once ratified. o The Kirklees Council Emergency Planning Team, in liaison with the Emergency Planning Lead within Locala, will ensure that managers and colleagues know and understand their responsibilities under any Locala Emergency Response undertaken to incidents occurring whereby Business as unusual can no longer occur within one or more services. o The Kirklees Council Emergency Planning Team, in liaison with the Emergency Planning Lead within Locala, will ensure that Locala s Board remains appraised of related issues which may impact on the business as usual running of Locala or which may cause issues within a response to an emergency. The Locala Board are subsequently expected to resolve issues raised as necessary. o The Kirklees Council Emergency Planning Team, in liaison with the Emergency Planning Lead within Locala, should ensure that partner agencies, stakeholders and key interest groups are involved in all stages of planning for a response in order to ensure relationships are in place prior to a response occurring. Partner agencies include, but are not limited to: Blue light services (fire, police, ambulance); Local authorities; NHS England; CCGs; Utility companies; Voluntary organisations; Community groups. 4 Suitable means someone with the appropriate decision making and authorisation authority. Version 3.0 GSC: OFFICIAL 10

15 3.4.2 Business Continuity Management o The Director of Clinical and Operational Services within Locala will act as the Business Continuity Lead. Specific Business Continuity work will be overseen by this Director and delegated to individuals within Locala as appropriate (usually to Service leads/senior managers acting as Business Continuity Champions for their area of work). These individuals will be required to attend the Locala Resilience Group to give updates on their areas business continuity work and obtain any necessary ratification as appropriate based on the agenda. o The minimum Business Continuity that Locala requires is a Corporate Business Continuity Plan (to address requirements under the CCA, EPRR and their contract with their Commissioner). However, in order to fully satisfy responsibilities (and best practice under ISO 22301) lower level plans should be created at departmental and/or team specific levels. o Locala s Resilience Group should carry out a resilience risk assessment to identify what risks (based on local, regional and national Civil Contingency risk assessments) will likely impact Locala s activities. This should not encroach on existing internal strategic risk assessment but should help feed into them. o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, will ensure that the International Organisation for Standardisation (Societal Security -- Business Continuity Management Systems --- Requirements) is followed as good practice when designing and implementing Business Continuity within Locala. This will help better ensure the quality and standard of Business Continuity planning and arrangements put in place. o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, will coordinate work to be completed to ensure that plans and associated arrangements, systems and controls are in place to respond to the risks as identified in local level service continuity risk assessments, as appropriate. Subsequent to this the Business Continuity lead will carry out periodic reviews of all related policies and procedures. This will allow Locala to evidence that we are prepared for emergencies, as identified in the CCA, which may impact our ability to deliver business as usual. o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, will coordinate work to be completed to ensure that plans and associated arrangements, systems and controls are in place to escalate responses to situations where demands on Locala s services are above those of usual day to day business. This will allow Locala to evidence under EPRR that we are able to offer a scalable service based on pressures at the time. o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, will ensure that plans and arrangements in place are fit for purpose via consultation prior to their ratification and regular testing and exercising to validate plans and arrangements once ratified. o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, ensure that managers and colleagues know and understand their responsibilities under each level of Business Continuity Plan drawn up, as appropriate. Version 3.0 GSC: OFFICIAL 11

16 o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, will ensure that Locala s Board remains appraised of related issues which may impact the business as usual running of Locala or which may cause issues within a response to an emergency. The Board are subsequently expected to resolve issues raised as necessary. o The Kirklees Council Emergency Planning Team, in liaison with the overall Business Continuity Lead within Locala, should ensure that Locala s colleague base is involved at all stages of planning for a response in order to ensure awareness of arrangements and requirements prior to a response occurring. o The Business Continuity Lead, along with the Procurement Team and other service leads concerning procurement within Locala, should ensure that organisations contracted to provide services to Locala have suitable business continuity arrangements in place and be able to provide the Locala Board and Members Council with assurance as to that. Subsequently, Locala s Corporate Business Continuity Arrangements will take into account how they will need to react if these contracted services suffered disruptions whereby reducing services to minimum levels Disaster Recovery o The lead for the Disaster Recovery work stream within Locala sits within the Strategy Planning and Partnerships Division. Disaster Recovery specialisms will sit more specifically under the Director of Strategy Planning and Partnerships. o Locala requires a Corporate Disaster Recovery Plan to address requirements under the CCA, EPRR and their contract with their Commissioner. Locala s Audit and Risk Committee should carry out an internal risk assessment to identify the risks of losing specific IT services in the short and long term and the impact this will have on the overall running of Locala and delivery of critical services. o Director of Strategy Planning and Partnerships within Locala will act as the Disaster Recovery Lead. Specific Disaster Recovery work will be overseen by the Head of Digital Service and delegated to individuals within Locala as appropriate. These individuals will be required to attend the Resilience Planning Group to give updates on their work and obtain any necessary ratification. o The Disaster Recovery Lead within Locala will coordinate work to be completed to ensure that plans and associated arrangements, systems and controls are in place to respond to IT issues experienced. Subsequent to this the Disaster Recovery lead will carry out periodic reviews of all related policies and procedures. This will allow Locala to evidence that we are prepared for emergencies, as identified in the CCA, which may impact on our ability to deliver business as usual. o The Disaster Recovery Lead within Locala will ensure that plans and arrangements in place are fit for purpose via consultation prior to their ratification and regular testing and exercising to validate plans and arrangements once ratified. o The Disaster Recovery Lead within Locala will ensure that managers and colleagues know and understand their responsibilities under the Disaster Recovery Plan, as appropriate. Version 3.0 GSC: OFFICIAL 12

17 o The Disaster Recovery Lead within Locala will ensure that Locala s Board remains appraised of related issues which may impact the business as usual running of Locala or which may cause issues within a response to an emergency. The Board is subsequently expected to resolve issues raised as necessary. o The Disaster Recovery Lead within Locala should ensure that Locala s colleague base is involved at all stages of planning for a response in order to ensure awareness of arrangements and requirements prior to a response occurring. Version 3.0 GSC: OFFICIAL 13

18 4 Considerations GSC: OFFICIAL 4.1 Risk Registers Whilst creating and implementing resilience planning and response arrangements Locala have taken into account the following risk registers: o West Yorkshire Resilience Forum Community Risk Register (2013); o Kirklees Risk Assessments; o Bradford Risk Assessment; o Calderdale Risk Assessment; o Locala Resilience Risk Register (Section 4.1.1) o Locala s Strategic Risk Register (Locala s Strategic Risk Register (updated monthly at the Executive Management Group meetings). These have been used to identify specific risks that may occur within the communities within which Locala work which may subsequently impact how we work, our ability to deliver our services as usual, and the health and safety of our colleagues and members of the public using our services. Risk specific response plans and arrangements have been created by Locala based on the Locala Resilience Risk Register. Locala s internal strategic risk register identifies what internal risks could stop Locala functioning as usual. This will be managed by adjusting how services are delivered until they are back to business as usual. Therefore, in order to increase Locala s resilience to these risks Business Continuity Plans, Disaster Recovery Plans and associated arrangements have been created, ratified and implemented as per Locala s Business Continuity Strategy (Section 3.4.2) and Disaster Recovery Strategy (Section 3.4.3) respectively Resilience Risk Assessment o This identifies the risks to Locala from an external source. o This risk assessment should be based on: National Risk Register; Regional West Yorkshire Community Risk Register; Locala Authority Emergency Planning Risk Registers. o This internal strategic risk register should bear this assessment in mind. o This risk assessment will be authored and maintained by Locala Resilience Group and signed off by the Locala Board on behalf of Locala (the overall owner of this assessment). o This risk assessment will help dictate specific projects needed for the coming year within each of the 3 previously identified resilience work streams. 4.2 Training Requirements Note: A full annual look training plan will be identified by the Locala Resilience Group prior to the start of the new financial year (in the last meeting of the Group prior to April 1 st ). Version 3.0 GSC: OFFICIAL 14

19 4.2.1 Civil Contingencies Act o The CCA outlines that Category One responders need to be trained to carry out the role they are delivering, not only day to day but during an emergency Emergency Preparedness, Resilience and Response Framework o EPRR Core Competency number 34 identifies that arrangements are required to include a training plan and training needs analysis along with ongoing training of staff required to deliver a response to emergency and business continuity incidents. As part of this the core competencies go on to identify any training needs to be linked to the National Occupational Standards for the industry, in this case, Civil Contingencies. It also notes that, where appropriate, the Joint Emergency Services Interoperability Programme (JESIP) should be considered. o Core competency 37 further identifies there is also a need for incident commanders specifically to maintain a continuous professional development portfolio demonstrating training. o A training assessment to achieve this can be found in Appendix A Duty of Care o As well as statutory duty and core competencies which place requirements on organisations to train, there is also a duty of care. o As a Category One responder Locala is required to have a number of Emergency Plans in place to protect people in the event of an emergency. Therefore: Trained Emergency Planning personnel is needed to create these documents to ensure they are prepared correctly and if activated will not hinder a response or put anyone in danger. Those responding to an emergency as identified under Emergency Plans need to be trained as to what is expected of them and also into the skills to complete their requirements. This is so that their response does not hinder the successful execution of the plan or other responders and to ensure they are not acting in a way which will put themselves or others at any risk. o A full list of those who need training, at a minimum and based on the National Occupational Standards identified during analysis can be found in Appendix A A Finances All the Executive Directors have credit cards that could be used in emergency circumstances. There is also a company credit card, from the finance team, which can be distributed as necessary and used for emergency purchasing. All receipts used for emergency purchases should be kept and submitted as necessary after the response to ensure all expenditure is accounted for and auditable. Locala will be responsible for the payment of their colleagues overtime. Locala will be responsible for the payment of any welfare arrangements put in place to support their colleagues during and after a response. Locala will be responsible for the payment of any extra resources purchased in order to support their response to an incident. Version 3.0 GSC: OFFICIAL 15

20 Locala may become subject to compensation claims after an incident from those impacted by Locala s services being affected (See Legal Section 4.4 for more details). All receipts for anything purchased in support of the response or related to responder welfare should be kept and presented to the relevant authority when requested to do so. 4.4 Legal Locala need to remain aware that where issues with their service delivery due to the impact of an incident negatively impact the health of those they serve they may be open to legal claims against them. 4.5 Data Protection All local resilience documentation and work streams should comply with the Data Protection Act. As such personal and sensitive data used is protected under the Data Protection Act In line with the Data Protection Act 1998 this document will ensure that the information within it is: o Used fairly and lawfully; o Used for limited, specifically stated purposes; o Used in a way that is adequate, relevant and not excessive; o Accurate; o Kept for no longer than is absolutely necessary; o Handled according to people s data protection rights; o Kept safe and secure; o Not transferred outside the UK without adequate protection. 4.6 Freedom of Information o Locala are not subject to the Freedom of Information Act. 4.7 Human Rights All resilience related documents are implemented and reviewed in accordance with that set out with the European Convention and principles provided by the Human Rights Act The application of this plan has no differential impact on any of the articles within the Act. However, failure as to its implementation would impact on the core duties of Locala and its partners, to uphold the law and serve/protect all members of its community (and beyond) from harm. 4.8 Government Security Classification 5 All resilience documentation for Locala requires a GSC classification (plans, policies, procedures, briefing notes, debrief reports etc). The GSC for use on these documents should be chosen appropriately from the following list and recorded in the documents footer (note: the GSC level controls how the document can be shared and should be located in the header and footer of a document presented in capitals): o Official: This is the majority of information that is created or processed by the public sector. This includes routine business operations and services, some of 5 Information taken from Cabinet Office, Government Security Classifications April 2014, Version 1.0, October Version 3.0 GSC: OFFICIAL 16

21 which could have damaging consequences if lost, stolen or published in the media, but are not subject to a heightened threat profile; o Official sensitive: Where there is a clear and justifiable requirement to reinforce the need to know requirements of some information within official documents then assets should be conspicuously marked as official-sensitive. o Secret: This is very sensitive information that justifies heightened protective measures to defend against determined and highly capable threat actors. For example, where compromise could seriously damage military capabilities, international relations or the investigation of serious organised crime.; o Top secret: This is the most sensitive information requiring the highest levels of protection from the most serious threats. For example, where compromise could cause widespread loss of life or else threaten the security or economic wellbeing of the country or friendly nations. o Note: where a document qualifies for a combination of these classifications due to the information of each section then the highest level should be used as a default. 4.9 CONTEST: Prepare The purpose of the CONTEST Prepare strand is to carry out work that will mitigate the impact of a terrorist attack where that attack cannot be stopped. Locala have this document in place to coordinate resilience arrangements which can be subsequently activated if a terrorist attack takes place. Attacks could take place at a Locala site or communities within which Locala colleagues work which may impact our business as usual service provision due to road closures, injuries to colleagues, loss of buildings and or pressures on Locala colleagues to assist in caring for those (either by providing colleagues or bed space) injured during an attack. Locala have security measures in place to deal with any security issues experienced on site. These measures can be found within Security Policy held on Locala s intranet. All Locala colleagues undergo conflict resolution training every 3 years, as mandatory, to minimise and prevent violence against colleagues and patients. Locala have procedures in place to identify how to deal with economic crime (fraud, bribery and corruption) carried out by or against their colleagues. These measures can be found within the Security Policy held on Locala s intranet Framework Administration Owner: The Owner of this document is Locala. Audience: This document is for those within Locala who will be involved in resilience planning and any subsequent responses to incidents under those plans concerning emergency response, business continuity response and disaster recovery response. Publication: This document will be published on Locala SharePoint, Locala s intranet, Elsie and it will be included in the On-Call Pack. Distribution: Locala will publish a link to where the document can be found, once it is ratified, within the Locala Live weekly newsletter. There are no formal arrangements in place to share it with partner agencies unless on request. Version 3.0 GSC: OFFICIAL 17

22 Review and Maintenance: This document will be reviewed and routinely maintained by Kirklees Council Emergency Planning Team, in liaison with the Locala Emergency Planning Lead. This document will be reviewed every 12 months. Maintenance will occur on an as and when basis where updates to details are received indicating that changes are required. Audit Trail: Version control is present and will be updated when changes are made to this document. Changes made will be recorded within the amendments table on page 1. Where changes are numerous separate audit documents will be created to fully detail the changes and be made available via request to the Kirklees Council Emergency Planning Team via the Locala Resilience Group. Consultation: This is purely an internal document therefore no external organisations have been consulted. Within Locala this document has been consulted on via the Locala Resilience Group. Version 3.0 GSC: OFFICIAL 18

23 Appendix A: Training Analysis A.1 National Occupational Standards for Civil Contingencies The following table identifies the minimum skills needed to work in any area connected to civil contingencies (from planning to response) are identified in the National Occupational Standards for Civil Contingencies 6. Note: throughout the rest of this appendix the skill code will be used rather than the full skill. Civil Contingencies Skill Set Skill Code CC AA1 CC AA2 CC AA3 CC AB1 CC AC1 CC AD1 CC AD2 CC AE1 CC AE2 CC AE3 CC AF1 CC AF2 CC AG1 CC AG2 CC AG3 CC AG4 CC AH1 CC AH2 Skill Work in co-operation with other organisations. Share information with other organisations. Manage information to support civil protection decision making. Anticipate and assess the risk of emergencies. Develop, maintain and evaluate Business Continuity Plans and arrangements. Develop, maintain and evaluate Emergency Plans and arrangements. Promote business continuity management. Create exercises to practice or validate emergency or business continuity arrangements. Direct and facilitate exercises to practice or validate emergency or business continuity arrangements. Conduct debriefing after an emergency, exercise or other activity. Raise awareness of the risk, potential impact and arrangements in place for emergencies. Warn, inform and advise the community in the event of emergencies. Respond to emergencies at the Strategic (Gold) level. Respond to emergencies at the Tactical (Silver) level. Respond to emergencies at the Operational (Bronze) level. Address the needs of individuals during the initial response to emergencies. Provide on-going support to meet the needs of individuals affected by emergencies. Manage community recovery from emergencies. 6 Author: Skills For Justice, as required under EPRR core competency 34 Version 3.0 GSC: OFFICIAL 19

24 Imported Skill Sets Managing Volunteers Skill Set Skill Code D1 D2 Skill Plan, organise and monitor volunteer activities. Lead and motivate volunteers. Learning and Development Skill Set Skill Code L6 L7 L10 L13 Skill Develop training sessions. Prepare and develop resources to support learning. Enable learning through presentations. Enable group learning. Managing Justice Services Skill Set Skill Code HG4 HF14 HF23 Skill Develop and manage multi-agency partnerships. Plan, implement and manage systems for the exchange of sensitive information, data and intelligence. Ensure an effective approach to project and process evaluation. Management and Leadership Skill Set Skill Code ML A1 ML A2 ML A3 ML B1 ML B2 ML B3 ML B6 ML B8 ML B9 ML B10 Skill Manage your own resources. Manage your own resources and professional development. Develop personal networks. Develop and implement operational plans for your area of responsibility. Map the environment in which your organisation operates. Develop a strategic business plan for your organisation. Provide leadership for your area of responsibility. Ensure compliance with legal, regulatory, ethical and social requirements. Develop the culture of your organisation. Manage risk. Version 3.0 GSC: OFFICIAL 20

25 Skill Code ML B11 ML D3 ML D4 ML D5 ML D7 ML D9 ML D11 ML D12 ML E1 ML E3 ML E8 ML E9 ML E11 ML F1 ML F2 ML F3 ML F12 Skill Promote equality of opportunity and diversity in your area of responsibility. Recruit, select and keep colleagues. Plan the workforce. Allocate and check work in your team. Provide learning opportunities for colleagues. Build and manage teams. Lead meetings. Participate in meetings. Manage a budget. Obtain additional finance for the organisation. Manage physical resources. Manage the environmental impact of your work. Communicate information and knowledge. Manage a project. Manage a programme of complimentary projects. Manage business process. Improve organisation s performance. Health and Safety Skill Set Skill Code HSS 1 HSP 6 HSP 10 Skill Make sure your own actions reduce risks to health and safety. Identify, assess and control health and safety risks. Develop and implement health and safety risks. Governance Skill Code XA 1 XA 3 Skill Interrogate and use management information to inform Board decisions. Review and support the management of risks for the organisation. Version 3.0 GSC: OFFICIAL 21

26 A.2 Staff Required to Participate in Resilience Training Note: these are based on the main skills identified in Apex A A.1 from the National Occupational Standards Civil Contingencies skill set. Imported skills may be covered but no training will be specific to them as they have roots elsewhere and therefore other providers will need to be considered. The following staff are required to take part in annual training: Staff Emergency Planning Leads Strategic on-call rota staff. Tactical level staff (i.e. those with action cards in plans). Skills needed (by Skill Code) CC AA1 CC AA2 CC AA3 CC AB1 CC AC1 CC AD1 CC AD2 CC AE1 CC AE2 CC AE3 CC AF1 CC AF2 CC AG1 CC AG2 CC AG 3 CC AG4 CC AH1 CC AH2 CC AA1 CC AA2 CC AA3 CC AB1 CC AG1 CC AG4 CC AH1 CC AH2 CC AA1 CC AA2 CC AA3 CC AB1 CC AG2 CC AG4 CC AH1 CC AH2 Imported Skills (by Skill Code) D1, D2. L6, L7, L10, L13. HG4, HF14, HF23. ML A1, ML A2, ML A3, ML B1, ML B2, ML B6, MLB8, ML B9, ML B10, ML D5, ML B11, ML D3, ML D4, ML D7, ML D11,ML D12, ML E8, ML E9, ML E11, ML F1, ML F2, ML F12. HSS 1, HS P6, HS P10. XA3. HG4 ML A1, ML A3, ML B2, ML B3, ML B8, ML B9, ML B10, ML B11, ML D3, ML D4, ML D5, M D7, ML D9, ML D11, M E1, ML E3, ML E9,ML E11, ML F1,ML F2, ML F3, ML F12. HSS 1, HS P6. XA1, XA3. D1, D2. HG4. ML A1, ML A3, ML B1, ML B2, ML B6, ML B8, ML B10, ML B11, ML D3, ML D4, ML D5, ML D7, ML D9, ML D11, ML E8, ML E9, ML E11, ML F1, ML F2, ML F3, ML F12. HSS 1, HSP6, HS P10. XA3. Version 3.0 GSC: OFFICIAL 22