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CHECKLIST FOR CHIEF OFFICERS

• If an emergency was to happen today are you fully prepared to lead the response of both your organisation and the multi-agency Strategic Co-ordinating Group?
• Is your management team prepared to support you in your management role?
• Have you trained and exercised for your personal role?
• Are you confident that your organisation's arrangements for preparing and responding to crises and emergencies are auditable and will withstand scrutiny in the event of a public inquiry?
• Has the role of emergency planning and planners in your organisation adapted to manage the process for functional preparation and response?
• What part do you play in the Strategic Co-ordinating Groups arrangements for media and public information?

Does your organisation:

• have a scheme of delegation that gives you authority to deploy resources and incur expenditure?
• provide for the welfare of your staff who will deal with an emergency and its effects?
• have a documented Risk Register founded on an assessment of the impacts of risks on its functions?
• have effective Business Continuity and Generic Emergency Plans approved by you, your management team, Board or Council?
• have complementary Business Continuity and Emergency Plans for each of its functions?
• have plans that are documented and clearly and easily accessible for both staff and the public, in so far as they affect services for the public?
• have emergency plans integrated with the Strategic Co-ordinating Group's Generic Plan and emergency management framework?
• have arrangements that provide an audit trail of resources deployed, when, why and by whom, to facilitate cost recovery?
• have effective mutual aid arrangements?

INTRODUCTION

1.1 This short paper provides outline guidance for Chief Officers with overall responsibility for meeting the requirements of the Civil Contingencies Act 2004 and Contingency Planning (Scotland) Regulations 2005. It summarise key elements of the legislation. It examines personal and organisational contributions to the management of local preparation for, and response to, emergencies. Further detailed guidance is contained in Preparing Scotland.

1.2 The Act comprises two parts:

• Part 1: focuses on local arrangements for civil protection and the responsibilities of local responders.
• Part 2: focuses on emergency powers that might be necessary to deal with the effects of the most serious emergencies.

This paper deals only with Part 1 of the Act.

1.3 Throughout this paper the term functions is used. Duties relate to the performance of a responder's functions - those activities defined as "any power or duty whether conferred by virtue of an enactment or otherwise". The Act requires responders to prepare to carry out statutory duties, discretionary powers and common law powers to continue essential services and to respond to emergencies.

1.4 Scottish Ministers may require local responders to provide information about action they have undertaken in complying with a duty or to explain why they have not taken action in complying with a duty. If necessary, Scottish Ministers or local responders may take action in the Court of Session regarding a failure by a responder to perform its duties under the Act. The failure to perform duties includes compliance with regulations and having regard to guidance issued by a Scottish Minister. The Court of Session may grant any remedy or make any order that it thinks appropriate.

INTEGRATED EMERGENCY MANAGEMENT

2.1 Scottish civil protection is based on the principles of Integrated Emergency Management ( IEM) which addresses the consequences of emergencies, not their causes. The underlying aim of IEM is to prepare flexible and adaptable arrangements for effective management of a multi-agency response to any crisis in Scotland, whether it is an emergency, as defined in legislation, or another disruptive event that affects our communities.

2.2IEM seeks to ensure that individuals and organisations can respond to emergencies through their normal day-to-day activity. Therefore, Chief Officers and senior managers have key roles and should prepare for their personal contribution to the management of their organisation's response to an emergency.

WHICH ORGANISATIONS DOES THE LEGISLATION AFFECT?

3.1 The legislation affects two categories of responders.

Category 1 responders are the organisations that provide vital services in an emergency. They include the emergency services, local authorities, health boards and the Scottish Environment Protection Agency ( SEPA).

Category 2 responders are organisations that provide key infrastructure services. They include the utilities, transport operators and the Health and Safety Executive.

WHAT DOES THE LEGISLATION REQUIRE?

Category 1 and 2 responders must:

4.1 Co-operate with other local responders directly and through Strategic Co-ordinating Groups ( SCG).

4.1.1 It is intended that co-operation will reinforce partnership working at local levels.

4.1.2 A Strategic Co-ordinating Group must be established in each police force area. All Category 1 and 2 responders and agencies, including the Scottish Executive, military and key local interests, should be members of the SCG. The SCG is not a statutory body. It cannot direct its members. It is the place where individual responders duty to co-operate is met.

4.1.3 The SCG should formally agree its purpose, aims and objectives (guidance is given in Preparing Scotland). The SCG is the focal point for local resilience building, preparation and response to emergencies. It requires the most senior level of representation - those upon whom the ultimate responsibility for meeting their organisation's obligations falls. In the occasional absence of a Chief Officer, responders must be effectively represented at SCG meetings. Responders from a particular sector may formally choose to be represented by one of their number. Tests apply for effective representation.

4.1.4 The SCG should be clear about its leadership in preparation and in response to emergencies, which should be determined by the nature of an emergency. Flexible arrangements should enable rapid identification of the most appropriate leader at a time of emergency. Each member of the SCG should be prepared to lead the multi-agency response in a crisis.

4.1.5 Category 1 responders may co-operate in the joint discharge of a duty. This may take a number of forms. Joint working on the basis of functions is encouraged.

4.1.6SCGs may agree that one responder shall take a lead role or perform a duty on behalf of other responders. Nominating a lead responder places statutory obligations on all responders. It is not necessary for the lead responder in preparation to be the lead responder when an emergency occurs.

4.2 Share information with other local responders.

4.2.1 Information should be shared freely between local responders. However, some information will be controlled if its release to the public would be counter productive or damaging in some other way.

4.2.2 There are formal requirements for making and responding to requests for information. If a responder makes a formal request for information it must be provided unless certain exceptions apply. The exceptions relate to sensitive information that might be prejudiced by disclosure or information supplied by the intelligence services. Sensitive information includes that which would affect national security, public safety, commercial confidentiality and personal information.

4.2.3 Regulations limit the use and disclosure of information.

The following duties apply only to Category 1 responders:

4.3 Assess the risk of emergencies occurring;

4.3.1 Risk assessment provides a rational basis for prioritisation of objectives, work programmes and resource allocation. Responders must assess the likelihood and impact of risks in their area. They must collaborate in producing a Community Risk Register that must be maintained.

4.3.2 Scottish Ministers may issue guidance on the likelihood or impact of an emergency or an assessment of the risk of an emergency. Local responders must take into account any guidance and adopt any assessment as their own.

4.3.3 Category 1 responders must consider the impact of risks upon their functions and review the effectiveness of their planning and their ability to respond to those risks.

4.3.4 Responders do not require a discrete plan for every risk. If generic plans can cope with the impacts no additional planning is necessary. If they cannot cope specific plans may be required (see below).

4.4 Maintain business continuity plans;

4.4.1 Responders must maintain business continuity plans to ensure that they can continue to perform their functions in the event of an emergency in order to:

• mobilise and deal with the effects of the emergency;
• minimise the impact of the emergency on their day-to-day activity; and
• provide vital services for the community.

4.4.2 The duty relates to all of a responder's functions. Plans must recognise that all three elements of the duty may need to be performed simultaneously.

4.4.3 For a plan to be valid it should be accepted as a stated policy of the organisation. Chief Officers and senior managers should endorse the plans and must be trained and exercised in their roles.

4.4.4 Responders are not expected to deliver normal levels of service in an emergency. Some critical functions will need to be scaled up whilst others can be reduced or suspended. Decisions on prioritisation of services should be taken by senior managers prior to an emergency and the public should be made aware of what it can expect.

4.4.5 Responders' business continuity plans should be generic and supported as necessary by specific plans. They should have regard to, and be integrated with, the responder's emergency plans.

4.4.6 Each business continuity plan is required to contain policy statements and schedules regarding the nature of training and exercising, the timing of events and the people for whom they are intended.

4.5 Maintain emergency plans;

4.5.1 Responders must maintain emergency plans to ensure that, so far as is reasonably practical, they are able to perform their functions to:

• prevent the emergency;
• reduce, control or mitigate its effects; or
• take other action in connection with it.

4.5.2 Prevention, in this context, means carrying out functions to prevent an imminent emergency occurring or "nip it in the bud". It does not require responders to prevent all possible emergencies.

4.5.3 Plans should enable prompt remedial action to reduce the impact of an emergency through the rapid mobilisation and management of resources.

4.5.4 The effects of emergencies are not all predictable. Some effects may not be foreseen. Therefore, responders may need to perform their functions in innovative ways. Supporting arrangements and procedures are captured by "other action". They may include, for example, emergency control centres, internal communications, financial management and staff welfare.

4.5.5 Each responder's emergency plans should be integrated with both their internal management arrangements and the generic management framework for response established by their SCG.

4.5.6 For a plan to be valid it should be accepted as a stated policy of the organisation. Senior managers should endorse their plans and must be trained and exercised in their potential emergency role.

4.5.7 Category 1 responders must maintain generic plans. They must consider if would be worthwhile to maintain multi-agency emergency plans. It is considered worthwhile to establish a generic plan for each SCG area or for discrete parts of a larger area. Adoption of a SCG generic plan on the basis of the management structure described below will simplify the management of preparation and response. Planning for specific risks should build upon, but not duplicate, generic planning.

4.5.8 Responders are required to consider the voluntary sector in their work at all stages of preparation.

4.5.9 Each emergency plan is required to contain policy statements and schedules regarding the nature of training and exercising, the timing of events and the people for whom they are intended.

4.5.10 Each business continuity and emergency plan must be supported by auditable processes to ensure that they remain current. Regular review of the environment in which they are set is vital. Matters such as changes in risk, management reorganisation, personnel, training, accommodation and technology should be considered.

4.6 Maintain arrangements to make information available for the public before, during, and in recovering from, an emergency;

4.6.1 Responders must:

• increase public awareness by publishing those parts of risk assessments and emergency plans that will enable self-help in emergencies;
• make arrangements to warn and inform the public when an emergency happens; and
• make arrangements to provide advice on the progress of an emergency and actions the public can take.

In doing so, care must be taken to avoid alarming the public and to protect sensitive information.

4.6.2 To avoid duplication of effort, and possible confusion if several organisations provide information about the same risk, responders must consider identifying a lead responder for maintaining arrangements to warn and inform the public. The arrangements can be generic or specific for particular emergencies. Procedures should identify the lead responder at the time of an emergency and be sufficiently flexible to allow the lead to change as a response progresses.

4.6.3 Warning and informing the public requires identification of the means of informing different audiences with different needs, including those with difficulty understanding standard messages. Responders should aim to provide the right information for the right people at the right time.

Local Authorities must also:

4.7 Provide advice and assistance on business continuity management for businesses and voluntary organisations.

4.7.1 Local authorities must provide general advice and assistance on business continuity management. This may be achieved by providing leaflets, web-sites, seminars and other media that suits the needs of the local business and volunteering communities.

4.7.2 On request, Councils may also provide specific advice and assistance and charge for that advice on a cost-recovery basis. That advice may be as simple as providing information on how to engage business continuity management professionals.

4.7.3 In carrying out this duty local authorities must co-operate within a SCG area. They may collaborate with their SCG partners and must take account of their related activities.

EFFECTIVE PREPARATION

5.1 It is recognised that preparing for emergencies is one of a number of pressures on managers. Therefore, it makes sense for preparation to be kept as simple as possible and relate to normal business.

5.2SCGs have been asked to establish a formal management framework for preparation and response to emergencies based on the Strategic, Tactical and Operational model. It would be beneficial if they established a multi-agency generic plan for their area. Each responder should then make its generic plans to link with the SCG generic plan. Those plans will provide the basis for response to any emergency. A description of the management framework is detailed in Section 1 of Preparing Scotland.

5.3 Experience has shown that effective response to emergencies is a multi-agency activity. The nature of responders' normal work means that there are natural groupings of people who work together in particular functional areas. For example, a number of responders carry out construction works or care for vulnerable people and the emergency services train and exercise together to deal with day-to-day accidents and incidents. Management of response to emergencies should build upon established functional networks.

5.4 Chief Officers and senior managers should assure themselves of the adequacy of their organisation's plans and ensure that it can perform its functions at a time of crisis. Emergency roles, responsibilities, authority and delegation should be clarified in preparation.

5.5 Each of a responder's functions should make arrangements for continuing its business in a crisis and contributing to a multi-agency emergency response. Those arrangements should be integrated with the responder's generic management arrangements. Experience has shown that in the event of significant emergencies many, if not all, of an organisation's functions will be affected.

5.6 The organisation's generic plan should, in turn, be integrated with the SCG's generic plan which will describe:

• the objectives of the SCG partnership's plan;
• the co-ordinating management structure for response (see below);
• roles and responsibilities of partners;
• mobilisation procedures; and
• procedures for identifying the leadership of the Strategic Group at a time of emergency.

5.7 The Strategic Co-ordinating Groups management structure will be linked to the Scottish Executive's Emergency Room ( SEER). The Emergency Room has links to the Cabinet Office Briefing Room ( COBR) for management of emergencies that have consequences for the UK.

5.8 A simple diagram showing the management structure is attached as Annex 1. A fuller description is to be found in Section 1 of Preparing Scotland. The structure is modular and can be adapted to meet the needs for effective management of response to a wide range of emergencies. Where the discrete elements of the structure overlap there is a need for a communication link, a single management point of contact in the first instance. It is critically important that the links, contacts and the responsibilities of those nominated for management roles are clear and understood by all responders in each group in which they work. The structure as shown will expand, contract and develop according to the nature and scale of an emergency. For example, response to a coastal pollution event such as a major oil spill will require specialist advice and information and the management structure may adapt to include the Secretary of State's Representative ( SOSREP). Specific arrangements will be described for particular emergencies in Section 4 of Preparing Scotland.

5.9 The Civil Contingencies Act defines a particular level of emergency for which arrangements have to be made. However, local agreement should allow activation of elements of plans for a lower level of event. Adopting a multi-agency functional approach will promote effectiveness, flexibility and adaptability in preparation and response.

5.10 There are benefits in planning generically, on the basis of functions, and integrating arrangements with the SCG management structure and generic plan. Functions will prepare their plans only once in order to carry out their normal business at a time of emergency. Managers will know how their part in the co-ordination of multi-agency activity. Each function and management group will "own" its arrangements, maintain them and ensure that their integration with partners through the SCG management framework is robust and current. The impacts of particular emergencies will be measured against a function's plans which can be readily amended or improved as necessary.

5.11 The emergency planner should manage a process to support management teams and functions in making their arrangements and integrating them with the overall SCG management framework for response. The knowledge and expertise in a particular functional area of response lies with its professionals (for example those that deal with the media in each organisation). The emergency planner will support professionals and ensure that their preparations will enable them to contribute effectively to a multi-agency, multi-level response.

5.12SCG's should consider the benefits of combining civil protection/emergency planning resources at SCG level. There will be advantages both in terms of increased effectiveness in the use of limited resources and in the ability to provide opportunities for the development of particular functional expertise across agencies. The Scottish Executive will support local responders in training and awareness-raising, exercising and providing specialist advice.

Key

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