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04 Business Continuity and Emergency Planning

This chapter to be reviewed by November 2008

Summary

• Business continuity and emergency planning are key features of resilience. They are not simply procedures to prepare written policies. They are key corporate management processes. They require to be embedded in the corporate culture of the organisations in which they are undertaken and the responsibility of senior managers.
• BCM and emergency planning are processes that must have regard to assessment of risk. However, plans should provide a sound basis for response to unforeseen risks and combinations of risks. For this reason generic planning is the basis upon which specific plans will be built.
• Planning should be undertaken as part of normal business and be led by senior managers.
• Plans should address the needs of individual organisations and support a combined, multi-agency response at local, Scotland or UK levels.
• Plan development is one aspect of the process, training and exercising are key features of planning and support for those who use the plans.
• Plans are only effective if they are current and reviewed regularly to ensure that changes in the environment in which they are set are recognised and that lessons identified from exercises or emergency response are learned and acted upon.

Introduction

4.1 This chapter provides guidance for responders in preparing for emergencies that affect their ability to perform their function and to utilise those functions to minimise the impact of emergencies. It recommends the adoption of simple models for preparation and response that build on generic planning at all levels.

4.2 As stated in Part 1, integrated emergency management is based on an extension of a responder's normal business activities. Many responders work together, day-to-day, in responding to minor events that require co-ordination of their efforts. For example, the emergency services, local authorities, health services, SEPA and local commercial enterprises may deal with a serious road traffic accident. The incident is dealt with through a clear understanding of the roles, responsibilities, expertise and professionalism of each partner. In addition lines of communication are short and everyone is clear about the objectives of their joint effort.

4.3 When an emergency of a larger scale occurs, scores of interested organisations become involved. They all have specific roles and responsibilities, different objectives, management styles, management cultures and reasons for being involved. They may deal with topics as diverse as investigating the cause of an emergency, its physical effects, the welfare needs of those affected or the responsibilities of government. In such circumstances experience has shown that the management structures and communications strategies that support everyday activity are ill-suited to manage a fast moving emergency response and deal with the myriad issues that can arise.

4.4 Arrangements are required that:

• are seen to be an integral part of normal management processes;
• allow people to do their normal jobs (in which they have particular skills, knowledge and expertise);
• allow responders to manage their business and the services they provide;
• ensure integration of the activities of all responders; and
• simplify co-ordination and communication.

4.5 These things are achieved through the development and maintenance of business continuity and emergency plans.

4.6 The arrangements should also ensure that members of a community that is affected by an emergency are:

• aware of what may happen, what services will be provided; and
• aware of what they, personally, should do for their own protection.

4.7 Effective emergency planning should ensure that the community has confidence in the emergency responders and knows what to expect of them.

4.8 Emergency planning can build upon the relationships established in dealing with day to day crises. In the same way business continuity planning can build upon management's arrangements to deal with business risks, for example, loss of premises, loss of staff and loss of critical information systems.

4.9 In this Chapter the preparation and maintenance of business continuity plans and emergency plans is treated separately. However, there is a good deal in common between the two processes for example in the advice given on exercising and training. Care should be taken where business continuity and emergency planning come together and a responder has to prepare to deal with an emergency that may affect its ability to perform its functions.

Programme management

4.10 In order to be successful, BCM and emergency planning must be regarded as an integral part of an organisation's normal management processes.

4.11 Engaging senior managers is crucial because of the influence they have over resource allocation and the culture of an organisation. However, the commitment at the most senior level is particularly important because:

• BCM and emergency planning requires the leverage it exerts across the organisation;
• decisions about attitudes to risk and service prioritisation can only be taken at the top level; and
• the chief executive and senior management team is responsible for ensuring that effective governance arrangements are in place.

4.12 Experience has shown that there is merit in giving a member of the senior management team overall responsibility for the BCM and/or emergency planning processes. By being appointed they will act as the champion for the processes, increase their profile and ensure that decisions are made at the appropriate level.

4.13 It is important to gain the support and endorsement of the Chief Executive and senior management team at the end of each stage of the planning cycles. Critically, it should be the responsibility of senior management to provide the formal assurance that arrangements are robust and meet the requirements of corporate governance and the Act.

4.14 Experience has also shown the value of establishing working-level responsibility for development and maintenance.

4.15 The best approach for programme management will vary by organisation but the programme is most likely to succeed if an overall co-ordinator is appointed and reports directly to the senior managers responsible for BCM and/or emergency planning. The co-ordinator(s) should have:

• a good understanding of the critical aspects of the business and its key personnel and dependencies;
• an understanding of BCM methodology and awareness of emergency management issues;
• an awareness of relationships with other responders; and
• good programme management, communication, interpersonal and leadership skills.

4.16 In addition it should be made clear that BCM and emergency planning and response are part of every manager's routine responsibilities. The co-ordinator(s) must ensure that all senior managers understand the importance of BCM and emergency planning, the organisation's approach to the subjects and their associated responsibilities.

4.17 For larger organisations, it may be appropriate to consider establishing a team, a network of responsible managers, who will be required to dedicate appropriate time to the BCM and emergency planning processes and have this reflected in their job descriptions.

4.18 The teams should be drawn from managers within key divisions and/or locations within the organisation. Consideration should be given to the composition of the teams. They should contain the right mix of skills and experience and comprise individuals with the authority to make decisions and commit resources.

Business Continuity Management

4.19 BCM is a management process. It helps manage the risks to the smooth running of an organisation or delivery of a service by ensuring that it can continue to operate, as necessary, to the extent required, in the event of a disruption. The risks could be from the external environment (power outages, severe weather, etc.) or from within an organisation (systems failure, loss of key staff, etc.).

4.20 BCM provides the strategic framework for improving an organisation's resilience to interruption. Its purpose is to facilitate the recovery of key business systems and processes within agreed time frames, while maintaining the organisation's critical functions and the delivery of its vital services.

4.21 BCM is a continuous process that helps organisations anticipate, prepare, prevent, respond and recover from disruptions, whatever their source and whatever aspect of the business they affect.

4.22 BCM is a generic management framework that is valid across the public, private and voluntary sectors. It concerns maintaining the essential business of an organisation during an emergency whether that business relates to generating profit or providing public services.

4.23 Under the Act BCM requires responders to plan to maintain normal services, at an appropriate level, whilst also responding to an emergency.

BCM methodology

4.24 The Business Continuity Institute has developed a five-stage process, which has become widely accepted and has been incorporated into a British Standards Institute Publicly Available Specification - PAS 56. This model provides a generic framework that is applicable across the public, private and voluntary sectors. Further information can be found at http://www.thebci.org/pas56.htm . Figure 4.1 illustrates the PAS 56 approach. It describes a five stage process:

Figure 4.1: The BCM Model

Adapted from Business Continuity Management: Good Practice Guidelines, edited by Dr David Smith, Business Continuity Institute, 2002

4.25 As Figure 4.1 shows, the five stages of the process are:

• Stage 1: Understanding your business: Using business impact and risk assessments to identify the critical deliverables, evaluate recovery priorities and assess the risks that could lead to a disruption to service delivery.
• Stage 2: BCM strategies: Identifying the alternative strategies available to mitigate loss, assessing their potential effectiveness in maintaining ability to deliver critical functions.
• Stage 3: Developing and implementing a BCM response: Developing the response to business continuity challenges and the plans underpinning this.
• Stage 4: Establishing a BCM culture: This stage looks at the need to ensure that a continuity culture is embedded by raising awareness throughout the organisation and its key stakeholders, and providing training to key staff on BCM issues.
• Stage 5: Maintaining and auditing BCM: Ensuring plans are fit for purpose, kept up to date and quality assured.

Implementing the BCM model

4.26 The BCM process is continuous as described in Figure. 4.2. The stages in the process are further developed below.

Figure 4.2: The BCM life-cycle

Adapted from Business Continuity Management: Good Practice Guidelines, edited by Dr David Smith, Business Continuity Institute, 2002

Stage 1: Understanding your business

4.27 An accurate assessment of an organisation's business is critical, as it will provide the basis upon which all subsequent BCM policies and processes are based.

4.28 It is important that organisations put in place a process for identifying critical functions and identifying what will be acceptable levels of service provision. If a declared set of aims and objectives exists, they will help identify the critical functions that the BCM process should focus upon. BCM requires an understanding of the inputs, infrastructure and processes that delivery of critical functions depends upon.

4.29 An organisation's business has many dependencies both internally and externally that support its critical processes and functions. It is important to identify these at an early stage.
The involvement of representatives of key supporters and partners - which can include suppliers, contractors and others - will add value to the process.

4.30 Organisations have many external influences that can affect critical processes and functions. These can include government departments, regulators, competitors, trade bodies and pressure groups. It is important to identify these at an early stage and to take their influence into account.

4.31 Having identified the critical processes and functions, organisations should determine what the impact would be if these were disrupted or lost. It should then define what its objectives for recovery should be and what resources would be needed to meet them. This stage is known as Business Impact Analysis ( BIA). BIA is a crucial stage in implementing BCM and helps measure the impact of disruptions on the organisation. It will provide information that will underpin later decisions about business continuity strategies.

4.32 Potential causes of disruption to an organisation's operations are almost limitless. However, the impacts of any disruption are much fewer in number. For example, loss of critical system(s), denial of access to premises, damage to premises or loss of key staff and key resources can all produce similar disruption regardless of the cause.

4.33 The process will also take into account the time sensitivity of each business function/ process to disruption and this information will influence the recovery objectives. Therefore, the BIA enables the responder to focus its efforts on key areas that threaten the continuity of its work.

4.34 It is helpful to rate the impact of disruptions upon the critical objectives of the business in the event of an emergency. The rating given may be based, for example, on a high, medium, low scale or on a scoring system rating them, say, 1-5. The impact of potential disruptions should be measured with reference to the following (non-exhaustive) list of factors:

• implications for service delivery;
• health, welfare and safety of stakeholders;
• environmental implications;
• statutory duties and legal obligations;
• financial cost to the organisation;
• resources required to remedy the situation;
• impact of disruption on partners; and
• reputation.

4.35 All those involved in the critical processes/functions should have an input to the BIA. Very often these processes take place across-functions and internal departments and agreement must be reached on the ratings.

4.36 At this stage the BCM co-ordinator should gain agreement from the senior management team on the output of the BIA because it identifies the organisation's key vulnerabilities in the event of an emergency, and narrows down the focus of the next stage of the process - risk assessment.

4.37 Risk assessment will be conducted to identify the potential disruption of critical processes.

4.38 The risk assessments carried out under the Civil Contingencies Act will assist in identifying the impact of emergencies.

4.39 There are two strands to risk assessment, relating to external threats, such as the risk of an emergency occurring, and internal business risks that could cause loss or disruption of the critical services required to control, reduce or mitigate the effects of an emergency. Guidance on conducting risk assessments can be found in Chapter 3 of this Section.

4.40 The findings from the BIA and risk assessment should be combined to produce a ranking system identifying those areas where the initial BCM effort should be concentrated. The senior management team should agree the rankings produced.

Stage 2: BCM strategies

4.41 Having identified those areas where the organisation is most at risk, a decision has to be made as to what approach is to be taken to protect its operations.

4.42 The nature of the risk - defined in terms of likelihood and impact - will determine which business continuity strategy is appropriate and what, if any, action is required. At one end of the spectrum, disruptions that are low likelihood and low impact may require no specific action and may be dealt with through generic arrangements. Risks that are high impact and high probability, on the other hand, may require the development of specific plans and risk mitigation strategies.

4.43 A number of the strategies that could be adopted are given below:

• do nothing - in some instances senior managers may consider the risk to be acceptable;
• change, transfer or end the process - such decisions must be taken with regard to the organisation's key objectives and statutory responsibilities;
• insurance - may provide some financial compensation or support but will not aid the organisation's response and will not meet all losses that may include its reputation, other non-financial impacts and human consequences;
• mitigate loss - tangible procedures to eliminate or reduce risk within the business; and
• plan for business continuity - an approach that seeks to improve the organisation's resilience to interruption, allowing for the recovery of key processes while maintaining its critical functions.

4.44 Any strategy must recognise the internal and external dependencies of the organisation and must have general acceptance by management. The continuity strategies adopted will shape the ability of an organisation to perform its critical functions in the event of an emergency and these decisions must be taken by the responsible managers.

Stage 3: Developing and implementing a BCM response

4.45 Business Continuity Planning provides the framework upon which an organisation mobilises its response to a BCM challenge in the event of an emergency.

4.46 The BCP is likely to address:

• solutions - how will the risk be managed?
• objectives - what are the recovery objectives, and by when should they be achieved?
• tasks and activities - what needs to be done in order to meet recovery objectives?
• procedures and processes - for delivering the response.
• personnel - who is involved in delivering the response? What do they need to prepare and respond?
• co-ordination - who has the authority to make which decisions? How will decisions be communicated?

4.47 The BCP should have regard to the organisation's recovery objectives and, in turn, the key resources which underpin the delivery of its critical functions. They include:

• data - critical information and documents;
• facilities - working accommodation;
• communications - information and communications technology requirements;
• people - essential personnel to deliver agreed levels of service; and
• equipment - who supplies it and where it is stored.

4.48 The nature of an emergency may require that some non-critical functions might need to be enhanced, reduced or suspended. The BCP should consider the operational processes for implementing decisions regarding functions. For example, if a function:

• needs to be enhanced in the event of an emergency, where would the additional resources come from?
• needs to be scaled down, how would the demands on it be managed?
• is withdrawn, how would staff and customers be informed?

4.49 In developing the plan, consideration should be given to:

• keeping the plan and the arrangements it describes short, simple and user-friendly;
• ensuring the assumptions upon which it is founded are realistic;
• references to other sources of information and supporting documentation - databases, lists of key contacts, resources and suppliers;
• what action plans and checklists are required;
• ownership of key tasks - these should be reflected in job descriptions;
• document management procedures; and
• effective communication with stakeholders and, where appropriate, the media.

4.50 The structure, content and detail of the BCP will depend on the nature of the organisation, the risk and the environment in which it operates. In particularly large or complex organisations, it may be necessary to have discrete local or departmental plans which integrate into one high-level plan.

Stage 4: Building and embedding a BCM culture

4.51 Writing a BCP is only one element of developing a BCM strategy, the success of which depends upon:

• implementation throughout an organisation;
• effective training of those directly involved in the execution of the plan; and
• effective awareness raising to embed the plan both internally and externally amongst relevant stakeholders.

4.52 All parties must appreciate the importance of BCM to the organisation and their role in the process. Business continuity should be a core element of the emergency planning culture especially in organisations affected by the requirements of the Civil Contingencies Act.

4.53 Training will need to be done on a rolling basis to cover staff turnover and succession planning. BCM co-ordinators should consider establishing personnel databases to monitor the adoption of training opportunities.

4.54 It is important to ensure that staff throughout an organisation are aware of BCM and have confidence in its ability to manage in a crisis. It is also important that staff know how they should respond in the event of a disruption and also that their family members have access to information if the organisation is, itself, affected. For example, some organisations distribute 'z-cards' to all staff, setting out what they should do in the event of a range of contingencies containing, for example, details of secondary sites or evacuation points.

4.55 The challenge of building and embedding a business continuity culture requires a programme of activity not only within the organisation itself but also with key stakeholders, partners, suppliers, contractors, customers and others. Third parties may need to be aware of how the BCP response will develop and what this will mean for them.

4.56 Organisations also have an interest in ensuring that their suppliers and contractors have in place robust BCM arrangements. To ensure the resilience of operations it is necessary to ensure that other aspects of the delivery chain are, in turn, resilient. BCM should be part of procurement and contract management processes. The Office of Government Commerce provides detailed advice on these issues which is freely available on its website: www.ogc.gov.uk

4.57 Civil protection is very much a multi-agency activity, where responders must work together and understand each others' capabilities and vulnerabilities if they are to be effective.

4.58 In the emergency planning area, it is essential for responders to be aware of each others' plans. BCM arrangements underpin emergency management capabilities therefore, it is important that responders have an awareness of the continuity issues facing their partners. For statutory organisations the Strategic Co-ordinating Groups in police force areas would be good places for promoting mutual awareness.

4.59 Under the Act Category 1 responders must make relevant information available to the public about what will happen in the event of an emergency. There are three principal classes of information which Category 1 responders should consider communicating to the public:

• a descriptive account of the BCPs they have in place for the purposes of reassuring the public;
• information about the implications of emergencies for the continuity of a Category 1 responder's ordinary operations - for example, the possibility of service suspensions or adjustments. Publishing this information in advance allows the public to think about its own preparations. For example, parents might find it useful to know under which circumstances schools might be closed in the event of severe weather; and
• sources of information and advice about service continuity that the public could consult in the event of an emergency.

4.60 Information can be provided through a variety of media including websites and other publications. This could also be achieved by integrating business continuity issues within mission statements, statements of service and other public information brochures, relating either to the responder as a whole or to its discrete services.

Stage 5: Maintaining and auditing BCM

4.61 Arrangements should be put in place to exercise BCPs to ensure they remain effective. When developing a BCM exercise programme, Category 1 responders will need to consider:

• risks, impacts and capabilities;
• types of exercise to be used;
• the involvement of senior management in developing, executing and quality-assuring the programme;
• the process for delivering exercises; and
• the relationship between the BCM exercise programme and the exercising of emergency plans.

4.62 While there is an extensive number of scenarios and possible responses, the list of impacts and capabilities is limited. This will help Category 1 responders extract maximum value from the programme. A non-exhaustive list of the impacts and capabilities to be considered includes:

• Impacts
  Denial of access or damage to facilities.
  Loss of key staff/skills.
  Loss of critical systems.
  Loss of key resources.
• Capabilities
  Mobilisation (invoking plan and assembling key players).
  Co-ordination (crisis management).
  Communications (media and stakeholder communications).

4.63 Exercising can take various forms and is covered below under Emergency Planning.

4.64 The close synergies between emergency plans and BCPs should be taken into account at all stages of the BCM and emergency planning processes. Indeed, under the Act one of Category 1 responders' critical functions is the emergency response function.

Emergency Planning

4.65 Emergency planning is a management process. It supports the effective management of response to a range of disruptive challenges. It seeks to integrate the activity of all parts of an organisation and, in turn, co-ordinate them with those of its partners at all levels - local, Scotland and UK.

4.66 It is impossible to define all of the events that may cause an emergency. For those emergencies that can be foreseen their effects can only be predicted in broad terms, for example, the numbers of people that may need to be evacuated from a particular flood plain if a particular storm occurs. However, the number, variety and complex inter-relationships of effects are more difficult to determine, being a product of disparate factors such as, the type of event, its timing, where it occurs, the role of the affected organisations and the nature of affected communities (social mix, economy, topography, etc.). Arrangements to deal with emergencies must, therefore, acknowledge this diversity. Plans must be flexible and adaptable to the particular circumstances of an event and allow effective management of resources.

4.67 The environment in which emergency planning is set has changed markedly over recent years just as the nature of society and the threats and hazards it faces have changed. Contemporary emergency planning needs to reflect the complexity of its environment and the increasing demands to be prepared for almost any event.

Generic and specific plans

4.68 To meet these increasing demands organisations require a family of plans that allow them to deploy resources effectively in a managed and co-ordinated fashion. These are described below. They do not stand-alone, their integration, both internally and with partners' plans, will provide a robust mechanism for dealing with all emergencies.

4.69 The family of plans will consist of:

• generic plans - core plans that describe agreed management strategies, co-ordinating arrangements, communications, roles, responsibilities, mobilisation of staff and resources;
• generic capability plans - that describe how a particular function is to be performed. For example how agencies work together to establish rest centres or temporary mortuaries or deal with the long term welfare issues that affect workers or communities,
• specific plans that describe in detail the arrangements in place to respond to particular threats or hazard (for example, pandemic outbreaks, coastal pollution, CBRN), a particular site or location (for example, a manufacturing plant or ferry terminal) or a combination of these.

4.70 It is the intention of this guidance and Scottish emergency planning philosophy that specific plans should build upon, but not replicate, generic plans.

4.71 Guidance in this Chapter on the relationships between generic and specific plans is applicable for both emergency planning and business continuity planning.

Generic plans

4.72 Generic plans are core plans which enable a responder to perform its functions in relation to a wide range of possible scenarios. They should include:

• management structures for control and co-ordination of activity;
• activation procedures;
• identification of roles and responsibilities;
• leadership;
• stand-down procedures; and
• contact details of key personnel.

4.73 General in nature, generic plans are, in the first instance, single-agency plans and are seen as the most important plans for that organisation. SCGs have been asked to establish a framework upon which a multi agency generic plan for its area can be maintained as part of core planning for a combined response. The framework will outline the arrangements made for the leadership, management and co-ordination of activity at the familiar strategic, tactical and operational levels.

4.74 Generic plans deliver four key practical benefits:

• a recognised basis for response for any type of emergency;
• key supporting elements (that is, capabilities and management procedures) that can be selected and combined, as necessary, depending on the particular effects of an emergency and can be drawn on in support of specific plans;
• a recognised corporate management framework, throughout an organisation, for:
• awareness-raising;
• developing training and exercising;
• building ownership of elements of response;
• mainstreaming preparation for emergency response; and

a recognised framework for participating with partners in a combined response.

4.75 Most Category 1 responders under the Act will carry out their main emergency planning responsibility by preparing generic plans. All Category 1 responders must ensure that their response plans not only meet their own requirements but also complement and, where necessary contribute to, the multi-agency response arrangements within each SCG area. This is especially important in management and co-ordination of response and recovery.

4.76 Generic planning should also consider the particular capabilities that may be required in the event of a range of emergencies. Generic capabilities that should be considered include (in no priority order):

• access to resources;
• control centre arrangements;
• determination procedures;
• disaster appeals - trusts and funds;
• interpretation services;
• press and media;
• communication - processes and equipment;
• evacuation - minor, major, mass;
• finance and expenditure;
• mass fatalities;
• recovery;
• rest centres;
• temporary mortuary and body holding areas;
• warning, informing and advising the public;
• welfare arrangements for victims, survivors and emergency response staff;
• engineering support for repair, maintenance and provision of essential physical infrastructure; and
• environmental advice and support.

4.77 These (and other) capabilities should be undertaken by those with the necessary expertise. They should decide on common arrangements to facilitate and support the co-ordination of multi agency activity. They should be developed and maintained by those with knowledge of how their work "fits" within the overall plans for response. Ownership of the arrangements should lie with those who will implement them.

4.78 Although each organisation might produce its individual generic plans, consideration should be given to establishing multi-agency teams, based upon their functionality, and given clear ownership of a task which would be managed within the overall co-ordination structures agreed through the SCG. Engaging in such a process should have considerable benefit by harmonising response in key areas and ensuring integration of arrangements across organisational boundaries. Delegation of ownership, within realistic boundaries, will lead to a more effective management of resources and a speedy and efficient service for those in need.

Specific plans

4.79 There are some emergencies for which response and recovery will require specific plans.

4.80 Where a risk assessment indicates that it is desirable for a particular risk to be addressed, responders should consider whether its generic plan and its supporting capabilities are adequate or should be enhanced. When changes are needed and a generic plan is not the right place to include them, a specific plan may be appropriate for the organisation alone or as part of multi-agency planning.

Plans for specific hazards or contingencies

4.81 Certain types of emergency require additional knowledge or procedures, which it would be inappropriate to include in a generic plan. For example, an influenza pandemic requires major specialist interventions within the health service but also draws on the expertise and activity of a range other responders. As a result, local multi-agency contingency plans have been promoted by the Scottish Executive Health Department. Similarly, chemical hazards on the roads, including spillages, may require specialist fire service and chemical industry expertise and equipment or treatment by private specialist waste firms.

4.82 Wide-area emergencies, such as major storms, generalised flooding or widespread contamination, build on generic plans but can benefit from specific contingency planning.
So, too, can slow-building wide-area emergencies, such as severe and prolonged cold weather, drought, or a foot-and-mouth outbreak.

Plans for specific sites or locations

4.83 Specific plans may be appropriate for identified sites or locations where the consequences and impact at the known location are more easily predictable. It is possible to develop detailed plans that, as a result of exercises, can be regularly tested, improved and embedded.

4.84 There are other sites, permanent or temporary, where emergency plans may be needed. For example, airports, sports grounds, hospitals, arenas or areas where flooding is likely. Particular locations may also need specific plans, such as town and city centres or coastal areas most vulnerable to pollution from major oil spills.

4.85 When it is determined that a detailed specific plan is required it should contain:

• a statement of the aim of the plan;
• links with responders' plans;
• links to generic management arrangements and any specific arrangements;
• leadership;
• information about the specific hazard/threat or site for which the plan has been prepared;
• activation of the plan, including alert and standby procedures if required;
• identification of particular roles and responsibilities of responders' organisations at different stages of the response;
• specialist capabilities and expertise;
• stand-down procedures;
• contact details of key personnel and partner agencies if different from generic plans.

4.86 Specific emergency plans deliver three key practical benefits:

• a more detailed set of procedures and capabilities designed to enhance generic procedures;
• a basis for integration of emergency response to a particular situation or scenario across a number of organisations; and
• a framework for awareness raising, training and exercising.

4.87 Many specific plans are likely to be multi-agency plans. They will be supported by the core generic plans. It is important that specific plans dovetail and are compatible with the various plans of their partners'.

4.88 At its simplest, a multi-agency specific plan might simply record those things that amend or supplement generic arrangements. For example, details of the hazard/threat, roles of agencies not normally involved and their place in the generic management structure, special mobilisation of particular capabilities, special call out arrangements and protective countermeasures.

Multi-agency plans

4.89 The consequences of emergencies cannot be dealt with by one organisation acting alone. There are occasions when it is effective for a number of agencies to work together and maintain a multi-agency plan to bolster integrated emergency management. For example, a plan for a temporary mortuary or a plan related to a particular local risk. There may also be occasions when a risk may affect one or more SCG areas and the SCGs or responders from a particular sector, choose to work together and develop joint arrangements.

4.90 The Regulations require Category 1 responders who have a duty in relation to the same emergency to consider whether a multi-agency plan should be developed and permit the identification of a lead responder to take forward that development.

4.91 Generally, it will be appropriate for a lead responder to be appointed to develop a multi-agency plan. However, such plans can also be developed more informally by joint working or by delegation.

Multi-level plans and the role of the lead government department

4.92 A multi-level plan is one covering more than one level of government - for example, the National Contingency Plan for Marine Pollution. Other national plans have been, or are being, developed. For example, plans will include foot-and-mouth outbreak, anthrax, rabies, influenza pandemic, marine and coastal pollution, CBRN and fuel shortages.

4.93 Section 1 of Preparing Scotland describes the philosophy for emergency preparation and response in Scotland. Complementary arrangements made in each SCG area and by the Scottish Executive will, in effect, form the basis of a multi-level generic plan for Scotland and its links with UK level plans.

4.94 Ownership of their part of these plans is the responsibility of each SCG and of the relevant Category 1 responders. Co-ordination and leadership in the development and execution of these plans may rely on one of the local partners with the direct support of specialist national agencies and government departments. As an example, health services may lead in the development of local plans to complement national arrangements for a contagious disease and be seen as the local link to the Scottish Executive Emergency Room in the event of an outbreak.

4.95 The UK lead government departments and Scottish Executive will take steps, as a matter of policy, to publicise their plans, as necessary and ensure that arrangements dovetail at all levels.

4.96 Multi-level plans can relate to specific risks such as animal disease outbreaks or to generic capabilities which are required to support national plans for coping with catastrophic incidents, such as plans to deal with mass fatalities.

The cycle of emergency planning

4.97 Emergency planning is a systematic continuous process, preparing organisations for response to emergencies. It evolves as lessons are learnt and circumstances change.

4.98 It is usual to view emergency planning as a cycle of activities beginning with establishing a risk profile, if necessary developing plans relevant to the risks in consultation with those involved, embedding, reviewing and revising those plans, at which point the whole cycle repeats. Figure 4.3 is a diagrammatic representation of the process. The lower circle outlines the plan preparation process and the upper circle the lifecycle of the plan. Both circles can stand independently and respond to external factors that may require a new plan to be prepared.

4.99 Embedding emergency planning within the management culture of the organisation is vital to ensuring effective response. Plan maintenance is equally important because plans should be adapted as circumstances change, both in the written plan and in the awareness of those who will implement them.

4.100 Response to an emergency provides the true test of the plan and its value for managers, operational personnel and the affected community.

4.101 Most elements of this cycle are explored below (risk assessment being dealt with separately in Chapter 3).

Figure 4.3: The Cycle of Emergency Planning

The purpose of a plan

4.102 Plan development and maintenance is not an end in itself. The purpose of an emergency plan is to serve a community by providing an effective management process for organisations engaged in response to an emergency. Its aim is to increase resilience by ensuring that all those charged with tackling the emergency on behalf of the community know:

• their role;
• how their skills and expertise contribute to an overall response;
• how their activity is integrated with that of others; and
• that their partners in response are similarly prepared.

4.103 Everyone involved should agree the purpose of a plan.

4.104 Where plans are developed in partnership, co-ordination and co-operation at management level is essential.

4.105 Once the decision to prepare or modify an emergency plan has been made, the following considerations may be helpful. A written plan and associated support material can assist an organisation by serving as:

• a concise description of how a special mobilisation of its divisions, departments, teams and staff will be carried out;
• a record of key decisions agreed with and between the main parties to the plan;
• a guide for briefing, training or exercising staff so that they are prepared for an emergency and know what has been agreed;
• a series of checklists, references or aides-memoire for those involved if they need them; and
• a measure or standard against which performance can be assessed and continuously improved.

Planning for a combined response

4.106 Each responder is responsible for its plans. However, it is vital that their various plans are consistent and complement each other.

4.107 Planning for a genuinely combined response across local organisational and cultural boundaries is not an easy task. The legal framework of the Act and the practical co-operation which it encourages are both designed to assist and improve consistency.

4.108 The Act places duties to plan for emergencies on a number of responders. However this should not preclude close working with other organisations public, commercial, voluntary, and others in preparing plans to work together during emergencies.

The process of preparing plans

4.109 It is important that planning should be seen as a collective process involving, at all stages, those who will be responsible for delivering the plan's objectives on the day of an emergency.

4.110 The cycle of emergency planning shown in Figure 4.3 identifies, in the lower circle, four stages in preparing plans which are described in more detail below.

Stage 1: Risk profile

4.111 The first step is the final stage of the risk assessment process - identifying which risks require treatment through development of an emergency plan. This requires clear identification of the effects of an emergency, its impacts and the challenges for an effective response.

Stage 2: Objectives, including capabilities

4.112 The basic scenarios delivered by the risk assessment then need to be analysed to produce a series of objectives to deal with their effects - including a first assessment of the capabilities needed to meet them. This is the most important stage of the entire plan-making process. Key operational staff at middle-management level need consider the challenges posed by the scenarios and how they would expect to deal with them. They should be encouraged to think honestly 'outside the box' about emergencies that are likely to test, to their limits, their professional experience and capabilities of their organisation. They should be guided to consider:

• how would they go about their tasks?
• what capabilities and resources they would need?
• what are the priorities?
• what are the likely problems to be overcome?
• what standard of response is required?
• are there areas of common interest that should be dealt with in partnership with others, internally and externally?
• do generic plans and capabilities enable an effective response?
• if a plan is needed and what it is required to achieve.

4.113 The key professionals from the various disciplines should be brought together to agree objectives. Those involved should agree a set of planning assumptions and capabilities appropriate to the plan being considered.

4.114 Once objectives are agreed the remaining steps in plan preparation are systematic. However, new considerations may emerge and the objectives may have to be refined or reviewed as part of the cycle of emergency planning.

4.115 The next three steps are part of the planning process and not in the order that they might appear in a plan.

Stage 3: Tasks and resources

4.116 Those responsible for providing the function should then consider, for the risks identified, the tasks they would have to undertake and the means of undertaking them. They should make an informed judgement on whether the resources available would meet the capability required. The matters to be considered should not be restricted to simple quantities such as numbers of people or equipment available. They should include matters such as skills and abilities, management and communications structures and the availability of additional resources and their acquisition.

4.117 These questions should be pursued with the key staff in each functional area. As a result of this process, clear ownership of the relevant parts of a plan will be determined and an awareness and understanding will be developed of all the many activities which will need to be undertaken successfully during an emergency.

Stage 4: Organisation

4.118 The emergency tasks identified at Step 3 need to be integrated with an effective management framework for response.

4.119 Managers need to consider:

• whether the organisation's responsibilities are best met through normal or separate emergency management structures;
• if the control of its tasks and resources is exercised in the most effective way;
• whether the integration afforded by the SCG's management framework will allow effective functional response or whether supplementary, specific, arrangements are necessary;
• what delegation is necessary;
• what arrangements are in place for it to draw on the support of its partners, if required, and
  co-ordinate activity;
• how will different teams and groups be organised so that they share a common understanding as to how they will operate?

Stage 5: Responsibilities

4.120 As the organisational framework of the plan is addressed the allocation of responsibilities across teams and responders can be firmed up. Formalising who does what and, equally who does not, is important.

4.121 Many responders have statutory duties and powers outwith their duties to plan for emergencies and these should be reflected in planning. It is incumbent on those with duties under the Act to perform their functions "so far as is necessary and desirable" in an emergency.

4.122 It would be helpful, at this stage, to ensure that partners' expectations are realistic and match with a responder's ability to deliver.

4.123 The key to an effective planning process is to be clear about its objectives. There should be demonstrable support from senior managers and key staff for the process. Simply writing a plan, having it approved, adopted and issuing it to staff is not sufficient.

Embedding and maintaining the planning process and plans

4.124 So far, the guidance has considered the lower circle in Figure 4.3, the cycle of emergency planning. The next sections consider the top half of the 'figure of eight' and examine how a completed plan is validated, maintained and quality-assured as a living document.

Plan publication (internal)

4.125 The publication and dissemination of an emergency plan is an important part of plan validation.

4.126 For a plan to be valid, it must be accepted as the stated policy of the organisation for which it has been produced. For this to happen, the senior managers in an organisation must have an awareness of the plan and, through sign-off and other processes, have accepted part ownership of it.

4.127 The people responsible for carrying out roles in the plan must be aware of those roles if, for example, their interests have been represented by one of their colleagues. Internal publication of the plan is often accompanied by awareness-raising events designed to promote the plan to those 'who need to know', that should include everyone who is affected by its provisions whether directly or indirectly involved.

4.128 There should also be a general level of awareness throughout the organisation that the plan exists and that it has a commitment to carry out its agreed responsibilities under the plan.

Training

4.129 The Regulations require the training of staff, or other people, to be included in plans. This requires that the plans themselves should include a complementary schedule for training. This training should extend beyond employees directly involved and include all others including contractors and the staff of voluntary organisations who might be involved in support of the plan.

4.130 Training, as such, is distinct from exercises and should raise the awareness of the participants and give them confidence in the procedures and their ability to carry them out successfully. It is particularly important that participants in training understand the objectives of the plan, their part in delivering them and the place of their activity in the overall response.

4.131 It is important that people taking part in exercises should be trained beforehand so that they know what is expected of them.

4.132 Training may address the specific skills needed to perform roles under the plan. Generally, however, plans should aim to place individuals in positions where, in an emergency, they carry out tasks they are used to performing in their normal work.

General awareness raising

4.133 There are many ways by which an organisation can raise awareness of the existence of an emergency plan in which it has obligations and its contents. These include:

• ensuring that emergency planning arrangements are part of induction training for all relevant staff;
• putting the plans on an intranet;
• producing information leaflets for personnel;
• publishing an informal newsletter; and
• holding awareness-raising seminars or workshops.

4.134 Where the plan is complementary to national arrangements the Scottish Executive, Emergency Planning College, Emergency Planning Society and others may provide training. Senior managers should ensure that those who will benefit from external training are given the opportunity to attend.

Plan exercising

4.135 Regulations require that plans include provisions for carrying out exercises. It means that the plan itself must include reference to an exercise programme in order to maintain its currency and validity.

4.136 When developing an exercise programme across a number of plans and over a period of time it may be helpful to focus on:

• all aspects of the main generic plan;
• plans which address the most probable risks and are most likely to be used;
• those plans or parts of plans where the least training and exercising has been done; and
• co-ordination with the exercise programmes of other key partners.

4.137 Those elements of generic plans that contribute to specific plans do not need to be separately exercised but the integration of specific and generic plans should be demonstrable.

4.138 People writing and delivering exercises and training should be suitably experienced and qualified.

4.139 Generally, participants in exercises should have an awareness of their roles and be reasonably comfortable with them before they are subject to the stresses of an exercise. Exercising is not to catch people out. It tests procedures, not people. An important aim of an exercise should be to help people feel more comfortable in their roles, build morale and thereby increase the effectiveness of a response.

4.140 Exercises have three main purposes:

• to validate plans (validation);
• to develop staff competencies and give them practice in carrying out their roles in the plans (training); and
• to test well-established procedures (testing).

Most exercises will have some elements of all three.

Plan testing

4.141 Not all aspects of an emergency plan can be tested but some crucial elements can, such as:

• the contact list;
• the activation process;
• communications equipment;
• the setting-up procedures;
• information management;
• decision taking mechanisms.

4.142 The purpose of these exercises may be to test how well the arrangements are working or to demonstrate their effectiveness.

4.143 Calling the relevant telephone numbers on a regular basis (some responders do this every three months) can test the contact details of each person named in the plan.

4.144 The activation process can be examined by running a short test, in which the staff responsible for triggering a plan are asked to do so and the results analysed. This should be done at least annually.

4.145 Communications equipment needs to be tested for reliability and, if possible, for capacity. Personnel who are not involved regularly with a particular communication system or equipment may need to be tested regularly.

4.146 Establishing control centres and other key facilities should be tested at least annually. This includes provision of necessary emergency supplies and equipment (for example, any IT equipment, stationery, message forms, log books, whiteboards, financial record forms) and ensuring that they can be located and positioned quickly and correctly. Such exercises can form the starting point for larger exercises.

There are considerable overlaps between emergency plan testing and exercising for business continuity planning.

Exercise design

4.147 The design of an exercise should be driven by its objectives. These will be determined by a number of factors that might include:

• the level at which they are set;
• the point in the lifetime of a plan when the exercise takes place; and
• the outcomes of previous exercises and experience of response;

4.148 Care should be taken to ensure that individual organisations' exercise objectives are realistic and, in the event of multi-agency exercises, that they are compatible with those of their partners.

4.149 An exercise scenario is simply a means of setting up situations that test the exercise objectives. It is important that the scenario should be realistic and that it should provide a meaningful challenge. It is important that the scenario is relevant to the type of exercise and that its development during an exercise is within the capacity of players and directing staff.

Exercise types

4.150 There are three main types of exercise, those that are discussion based, tabletop events and live play, real time, exercises. The choice of which one to adopt depends on the purpose of the exercise, the time and resources available for preparation and the numbers of people to be exercised.

4.151 A discussion-based exercise is cheapest to run and easiest to prepare. It can be used at the policy formulation stage as a 'talk-through' of planning proposals and plan objectives. It may be based on a completed plan and used to develop awareness about the plan through discussion. In this respect, it is often used for training purposes.

4.152 A tabletop exercise is based on simulation involving a realistic scenario. The pace of play of the exercise may be real time or compress time to cover key points in response. Tabletop events may take place in a single room or in a series of linked rooms that simulate the physical separation between responders. This is useful when exercising the need to communicate and to co-ordinate activity at different places. The players are expected to be aware of plans and their role as the scenario unfolds. This type of exercise is useful for validation purposes, particularly for exploring the effectiveness of procedures. Tabletop exercises are relatively cheap to run, the principal costs being staff time.

4.153 A live exercise is a rehearsal for implementing a plan. Such exercises are particularly useful for testing logistics, communications, physical capabilities and demonstrating that a plan is effective. They can also serve as training events and support experiential learning. They can be useful in helping participants develop confidence in their skills, build teamwork and providing experience by simulating a real event.

4.154 Live exercises can be expensive to run as they require considerable resources in terms of staff plant, equipment and other physical assets.

4.155 Regardless of the type of exercise carried out it is essential that sufficient time is made available and resources allocated to prepare, play and take opportunities for improvement.

4.156 The three types of exercise can be used for single or multi-agency plans and multi-level plans.

4.157 Guidance on planning for exercises can be found at: http://www.ukresilience.info/contingencies/business/exerciseplannersguide.htm

4.158 In preparing an exercise it is important to be clear about its purpose, the objectives of those taking part, personnel involvement and skills required. Equally important are the facilities and other resources needed, the exercise constraints and "rules of engagement" for participants. If due regard is not taken of the various factors that constitute a successful exercise, there is a danger that the lessons identified will relate to the playing of the exercise and diminish the value of the event. For example, there is a direct relationship between the number of people providing inputs and those receiving them and the lines of communication should, as closely as possible, mirror those that would be used in a real event.

4.159 The exercise programme should have the full support of senior managers but support should not be limited to agreeing the structure of the programme. Senior management should take part in exercises, be involved in quality assuring the exercise programme and endorsing the outcomes.

4.160 Exercising is not about 'passing' or 'failing' it is about learning lessons. Debriefing should be conducted after each exercise in order to capture the experience of all the participants. The debrief outcomes should be collated with an analysis of the objectives of the exercise and a "lessons learned" report should be produced. The plan should be reviewed against the report and an action programmes for improvement proposed, for endorsement by senior managers. The implementation of the programme should be monitored and its completion recorded. Future exercises should examine the effectiveness of improvements. The process described will have provided the audit trail for maintenance and testing.

4.161 However, the output may be a simple memorandum to the effect that the test was completed satisfactorily (a post-exercise analysis) and the section tested is current ( i.e. a 'lessons learned' report) and listing any changes that may be required (a post-exercise report). For example, a call-out cascade exercise that tests the contacts listed within the plan for activation may result in a memo to the organisation's senior management team that the test took place was completed satisfactorily and that all the contacts listed in the plan are correct. The memo would therefore create the audit trail of that aspect of plan testing.

4.162 Any exercises commissioned by SCGs should be reported upon and actions implemented within less than twelve months.

Plan maintenance procedures and revision

4.163 Plans should be revised if a new risk assessment indicates that the plan is out of date or a new risk is identified.

4.164 Other factors, which may require the revision of plans, include:

• lessons learned from experience of emergencies, for example, to address new risks, to improve procedures or to integrate new organisations not previously involved;
• lessons learned from exercises;
• restructuring and other organisational changes, procedures and systems, methods of delivery of functions, redefinitions of an organisation's responsibilities and of its role in emergencies, new policies, protocols, changes in technology and facilities, such as communications equipment or control centres; and
• changes in key personnel.

4.165 It is good practice to adopt a standard cycle for the revision and reissue of plans. Plans may be available in a variety of media, paper-based, CD- ROMs, intranet or internet. Maintenance procedures should reflect the media and may include:

• updating contact details every three months;
• review of all plans periodically;
• issuing revised or new plans as soon as practicable; and
• fundamental review and re-issue of plans every three years.

4.166 Care should be taken to ensure that everyone who needs a plan is aware of reviews, amendments and re-issue, and that any required complementary training and awareness raising takes place.

4.167 Plan maintenance requires systematic procedures for:

• recording and amending contact details;
• ensuring arrangements are in place to monitor changes in the environment in which the plan is set and assess their relevance for the planning process;
• recording senior managers' assurance that commitments to plans and the planning process are being met in terms of knowledge, resources and resilience.
• ensuring version control, so that the dates of all amendments of whatever size and extent are clearly identified on each page;
• reviewing plan objectives and standards, roles, policies, frameworks;
• holding training events, recording who has been trained and how often;
• maintaining a cycle of exercises to validate plans and ensure preparedness of staff by recording who has attended;
• formalising a process to implement lessons identified from emergencies, exercises and other incidents;
• publishing and circulating plans, ensuring that they reach the people who should have them, maintaining records of those who hold them, testing the awareness of those who hold them;
• delivering regular awareness sessions for senior managers, all staff involved, partners, elected members and those involved and affected by the plans;
• co-operating with all partners in plan maintenance activities listed to ensure the continued relevance of the plans; and
• having regard to developments at Scottish and UK levels.

4.168 Where contact details, roles, responsibilities and capabilities are transferable across a number of plans the use of databases linked to maintenance programmes may be helpful.

4.169 At all times senior managers should be able to give an assurance that plans are current and, if appropriate, that any statutory requirement has been met.

Other Planning Considerations

Engaging with the voluntary sector

4.170 Response to emergencies in Scotland has shown, on many occasions, the vital part that the voluntary sector plays in assisting emergency responders, individuals and communities. For effective integration of voluntary sector activity there needs to be an agreed approach in preparation and in response. The arrangements and plans need to suit local circumstances and be understood by all partners.

4.171 Although the arrangements must reflect the volunteering ethos and the constraints on the voluntary organisations involved, they should treat the sector no differently from other local partners, involving them in the planning process at all stages of the cycle. It would be expected that voluntary sectors planning was fully integrated with SCG planning.

4.172 The majority of the voluntary sectors' work will take place at operational level. The co-ordination of effort will take place at tactical level. It is important that the voluntary organisations are involved and that close liaison and co-ordination of activity in preparation and response takes place at these levels.

4.173 There are a number of possible methods for the involvement of the voluntary sector, which may be considered to suit local circumstances:

• If generic and specific planning takes place locally on the basis of functionality the voluntary organisations should be involved in relevant functional areas. For example WRVS and Red Cross may be involved with the caring services, RAYNET with emergency communications, RSSPB with environmental support. Where a voluntary organisation performs a range of functions, it may need to be associated with more than one relevant functional group.
• There might be a formal link between a voluntary organisation and a key responder. This approach can clarify the contributions of voluntary organisations and prevent duplication of demands on the resources available to the voluntary organisations. In some cases there will be one responder and one voluntary organisation linked to a specific function; for example the Maritime and Coastguard Agency ( MCA) and the Royal National Lifeboat Institution ( RNLI).
• Setting up a voluntary sector co-ordinating group at local level may help co-operation between the statutory services and local voluntary organisations. The voluntary sector, however, provides services in a variety of functional areas from bereavement counselling to mountain rescue and effective engagement may not be possible in a single forum.

4.174 A number of other options may be considered locally. Key principles should be to avoid "double-counting" of the support offered by any organisation and to define a co-ordinated system to call out volunteers.

Capabilities of the voluntary sector

4.175 Emergency plans should be prepared by those who will use them, including the relevant voluntary organisations. At the initial stages of the process those involved should be aware of the wide spectrum of operational and support activities provided by the voluntary sector in Scotland:

• There are established organisations that provide a range of services, such as the British Red Cross Society, Women's Royal Voluntary Service ( WRVS), the Salvation Army, and St Andrew's Ambulance.
• Many individual volunteers have particular skills but are not necessarily in recognised voluntary organisations. For example, interpreters or representatives of the faith communities.
• Certain organisations contribute specialist skills in various types of activity:
• search and rescue organisations, such as the British Cave Rescue Council ( BCRC), coastguard response teams ( HM Coastguard's Auxiliary branch), the Mountain Rescue Council ( MRC), the RNLI, the International Rescue Corps ( IRC), search and rescue dog teams ( SARDA);
• groups of doctors, such as the British Association for Immediate Care Schemes ( BASICS);
• voluntary radio operators, such as the Radio Amateurs' Emergency Network ( RAYNET);
• non-governmental organisations ( NGOs); and
• organisations which specialise in providing emotional support and counselling, such as Cruse Bereavement Care and the Samaritans;

and many, many others.

4.176 The voluntary sector can provide support in a number of generic areas:

• welfare;
• social and psychological aftercare;
• medical and first aid support;
• search and rescue;
• transport; and
• communications.

4.177 It is important to be precise regarding the accountability of volunteers to a professional agency because of issues of legal liability, including statutory requirements under the Children Act, and because of insurance indemnity issues. Agencies working with volunteers may become responsible for their health and safety and will need to ensure that they are properly equipped, trained, supervised and supported. Where volunteers could reasonably be expected to work within an inner cordon, they should make arrangements to obtain the necessary skills and personal protective equipment to allow them to operate in safety.

4.178 The statutory and voluntary sectors should be clear about their respective roles in an emergency. They each have their own structures and constraints. Voluntary organisations must appreciate that the statutory responders bear the responsibility for emergency planning and response. Equally, the statutory services must develop an understanding of the voluntary sector as a rich resource for experienced personnel, professional skills and equipment.

4.179 Like all statutory partners the voluntary agencies should be included, where possible, in joint training and exercising. It is very important that voluntary organisations understand how they fit into the management framework for response. There will be some overlap between the functions and capabilities of different voluntary organisations. Joint exercising will identify any problems, ensure plans and procedures are up to date and foster close working relationships.

The vulnerable and victims

4.180 The Government considers that plans should have regard to two groupings of people, the vulnerable and survivors (including survivors, family and friends) in a wide range of situations. A further grouping, emergency responders' personnel, also deserve special consideration.

The vulnerable

4.181 People who are less able to help themselves in the circumstances of an emergency must be given special consideration in plans. Frequently, a distinction is made between the self-reliant and the vulnerable. It is assumed generally that self-reliant people will be able to respond quickly to their personal needs in an emergency, while the vulnerable are likely to require special assistance in taking appropriate actions.

4.182 Planning may be as simple as making arrangements to emphasise to the public that they should adopt a good-neighbourly attitude, keep an eye on vulnerable neighbours and offer help where needed. However, making direct contact is relatively easy when such people live or are present at establishments such as nursing homes, day centres or schools. It is more difficult when they live in the community as individuals. In these cases, the local authority and the health services are likely to have relevant information such as lists of people on dialysis machines in their homes. Arrangements can be made in the planning for access to these lists at the time of an emergency. Plans should refer to these information sources. Utility companies also hold similar but more limited lists on their "help registers". These lists should be available to enable emergency support for vulnerable people but subject to the provisions in the Data Protection Act in planning,

4.183 Special provision also needs to be made in plans for people with disabilities. This provision may include special transport, such as local authority social services or voluntary sector vehicles, or taxis to help in the evacuation of people with mobility problems. Other provision may include plans for the availability of electric wheelchairs in towns and shopping centres to facilitate evacuation when needed.

4.184 It is not easy to define in advance vulnerable people to whom special consideration should be given in plans. Those who are vulnerable will vary depending on the nature of the emergency, for example people with breathing difficulties in face of toxic fumes. For planning purposes there are broadly three categories which should be considered:

• those who, for whatever reason, have mobility difficulties, including people with physical disabilities or a medical condition and even pregnant women;
• those with mental health difficulties; and
• others who are dependent, such as children.

4.185 Further consideration of how best to communicate with those who are especially vulnerable in emergencies is contained in Chapter 5.

Victims, survivors, family and friends

4.186 A second group of people to be considered in planning is the victims of an emergency. These include not only those directly affected by the emergency but also those who, as family and friends, suffer bereavement or the anxiety of not knowing what has happened. There is a discussion of the particular information needs of various groups in Chapter 5.

4.187 Planned procedures at the scene of an emergency, and at secondary centres like hospitals and temporary mortuaries, should pay particular attention to the needs of this grouping. Information planning should be designed to meet their needs. Recovery plans should contain commitments to respond sensitively to the needs of survivor groups. For example, to hold a review meeting within a short time to assess the need for longer-term initiatives and, if necessary, to develop medium and long-term support programmes.

4.188 Many local areas have developed multi-agency planning for social and psychological support for survivors, the bereaved and the wider community following an emergency. Such a plan for a multi-agency crisis support team would be likely to include local social services, health authorities, police family liaison officers and voluntary organisations. The inquiry into the Marchioness disaster recommended that a lead responder needed to co-ordinate the planning. That lead responder would generally be the local authority.

Responders' personnel

4.189 Plans prepared for emergencies should take care not to place unrealistic expectations on management and personnel. All responders should have health and safety procedures in place which determine shift patterns and alert managers to check for levels of stress. The planning should also include provision regarding exposing personnel to danger. Regardless of planning and preparation there may be occasions when responders' staff are affected by their experiences and may need personal support. It is important that all responders should build proper consideration for the welfare of their own personnel, into their plans.

Plan presentation and plan making

4.190 Greater consistency in planning philosophy and the terminology used will ensure improved co-operation between responders at the local level. It will also lead to improved understanding at all levels.

4.191 Some Category 1 responders will focus more on training and developing an effective management culture. The emphasis will be on embedding an awareness of management's role in responding effectively to emergencies rather than concentrating on the production of written plans. All will rely on written plans to a greater or lesser extent.

4.192 An important consideration in writing an emergency plan is that it should introduce the reader to the topic by logical steps. It should also be as concise as possible. Plans should contain:

• a short, overall description of the plan, Its purpose and its place in the family of plans;
• a brief description of the overall management structures for preparation and response, SCG framework, roles and responsibilities of management teams, communications and decision making arrangements;
• the procedures for determining if an emergency has occurred and alerting, placing on standby or activating the key personnel and teams outlined in the management arrangements;
• specific actions to be undertaken, as their contribution to the overall response, by the key teams, organisations, divisions, departments and officers. Key officer checklists can be abstracted from here.
• call-out lists, if necessary;
• resource lists, if necessary;
• further information for example, more on the risk assessment, as necessary; and
• a policy statement on carrying out training and exercises.

4.193 Care should be taken to avoid duplicating information in more than one place in the family of plans. For example, generic capability plans to establish and manage a control/co-ordination centre should exist in the plans once as it can be used to support any specific plans.

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