The Scottish Government

1.1 Direct co-operation between local responders at one-to-one and SCG levels operates effectively.

Evidence of shared aims, objectives, functional working; engagement of C2 responders. Partnership working; senior managers' awareness and approval; sharing of detailed information on SCG and other meetings; lead responders; SCG lead at different times; multi agency planning (generic, specific); performance review.

1.2 The SCG has a clear programme of work for the Category 1 responders to co-operate in fulfilling their duties under the Act and for the development of multi-agency and generic emergency response arrangements at the SCG area level.

Evidence of Strategic Priorities linked to risk assessment.

1.3 SCG cross-boundary working is operating with Local Resilience Forums in England where appropriate.

Correspondence, SCG agenda items and minutes.

1.4 Voluntary organisations are effectively engaged with the work of local responders and the SCG at the appropriate level.

Evidence of engagement at all levels, sub-groups and functional working.

2.1 Effective information sharing has been conducted between Category 1 and 2 responders.

Evidence of policy for sharing information; dissemination of information; formal requests and responses; risk assessments; sharing plans.

2.2 Information sharing between Category 1 and 2 responders has facilitated the effective performance of the civil protection duties.

Evidence of lessons identified; contact arrangements; record keeping.

2.3 Sensitive Information - Responders have arrangements in place to manage the sharing of information and adhere to the duty to manage it.

Evidence of processes/policies; links to Freedom of Information, Data protection and Environmental Information legislation; secure storage and access arrangements.

3.1 Lead responsibility for assessing risks is clearly identified and agreed in the SCG.

Item on SCG agenda/minutes. Identified in risk assessments/ CRR.

3.2 Individual responder risk assessments have been completed that identify the sources of risk, assess their likelihood and impacts, and rank them in terms of their overall risk.

Responder risk assessments are available for each risk. Risk have been considered/assessed in addition to those in guidance.

3.3 Community Risk Registers ( CRR) have been compiled.

A CRR is available.

3.4 CRRs have been approved by the SCG.

Item on SCG agenda/minutes.

3.5 CRRs have been shared with the Scottish Executive and with Local Resilience Fora ( LRFs) in England where appropriate.

Correspondence.

3.6 CRRs are being used to inform emergency planning and business continuity planning.

Evidence that plans are considered/assessed against risks.

3.7 CRRs have been published and are easily accessed by people in the community.

CRR published on internet website of agreed Category 1 responder. Links to this site are placed on other responder's websites.

4.1 Responsibility for emergency planning issues is clearly defined within the organisation at the corporate management level.

Minutes of emergency planning meetings. Reports to senior management/ management groups.

4.2 Multi-agency generic planning, including generic capabilities, is flexible enough to mobilise staff and resources in relation to a wide range of possible scenarios in the SCG area or in adjacent areas if required.

Plans available with generic functions and relevant staff responsibilities clearly identified. Plans available which are consistent with multi-agency generic structures. Mutual aid arrangements. Generic plans are measured against risks for which specific plans are required.

4.3 Emergency plans are integrated with internal business continuity plans.

Evidence of linking between arrangements to deliver functions in emergency response plans and in business continuity plans.

4.4 Specific emergency plans address specialist requirements and are integrated with generic plans.

Specific plans are linked to identified risks. Links to generic arrangements are clear. Involvement of any national arrangements are identified and integrated.

4.5 Clarity - Plans are clear, unambiguous and easy to use.

Documented evidence of consultation with relevant staff and incorporation of feedback during plan preparation process. Feedback from relevant staff in responder organisations.

4.6 Content - Robust call-out and activation procedures are in place.

Evidence of testing call-out procedures. Records of effectiveness in exercise and actual emergency debriefs.

4.7 The needs of the vulnerable members of society are identified.

Documented arrangements in plans. Evidence ofco-ordinated working with relevant agencies and voluntary organisations in plan preparation.

4.8 Plans contain clear arrangements for involvement of voluntary organisations.

Call-out arrangements for voluntary organisations are in plans. Roles and responsibilities of voluntary organisations are defined and agreed.

4.9 Training and Exercising - There is a programme in place for training key staff and raising awareness throughout the organisation and its key stakeholders.

Local area training programme. Key staff identified from plans. Evidence of newsletters or other information dissemination methods. Training session records and staff training records.

4.10 Plans include provisions for carrying out exercises at appropriate intervals.

Exercise arrangements documented in plans. Local area exercise programme. Documented exercise records and reports. Staff exercising records.

4.11 There is a documented process for measuring the effectiveness of emergency arrangements and capturing and taking forward the lessons identified.

Notes of debrief meetings. Action plans. Review of actions at SCG or other plan preparation/review meetings.

4.12 Review and Evaluation - CRRs are being used as the basis for reviewing and revising emergency response arrangements at individual local responder and SCG level.

Documented plan review process and timetable. Links to risk assessment, exercise, and actual event debriefs. Notes from plan review meetings at SCG and responder levels. Documented timetables for CRR and plan review. Resulting updates/changes to arrangements documented.

4.13 Plans are considered for revision as a result of revised risk assessments.

There is an established review process and identified trigger points. Notes from risk assessment and plan review meetings.

4.14 Maintenance - A clear procedure is in place to ensure that arrangements are kept up to date.

Documented issue of version controlled updates.Plan update acknowledgement systems for recipients.

5.1 Responsibility for business continuity issues is clearly defined within the organisation at the corporate management level.

Minutes of BCM meetings. Reports to senior management/ management groups.

5.2 Critical functions and processes within the responder organisation have been identified and have been agreed by senior management.

Documented procedures for identifying and reviewing functions. Minutes of review meetings. Reports to senior management/management groups.

5.3 A robust business impact analysis has been undertaken, drawing on assessments of risk carried out under the Act.

Documented risk assessment process. Links to risk assessment process and CRRs for emergency response. Reports.

5.4 Risk assessment has been used to focus effort on the areas of greatest need and to develop appropriate continuity strategies.

Documented procedures to review and rank risk assessments and functions. Procedures for developing BCM plans. Meeting minutes. Reports. BCM plans.

5.5 Responsibility for business continuity issues is well embedded within functions.

Minutes of meetings/ with functional managers and response staff. Reports. Feedback mechanisms for function managers and staff.

5.6 The generic business continuity plan is flexible enough to maintain continuity through a range of different risks.

Plan has generic and corporate management arrangements and is based on risk assessment.

5.7 Clarity - Plans are clear, unambiguous and easy to use.

Documented evidence of consultation with relevant staff in functional units and incorporation of feedback during plan preparation process.

5.8 Content - A clear procedure exists for invoking the business continuity plan ( BCP).

Arrangements are documented in plans.

5.9 BCPs identify objectives, personnel involved, and co-ordinating arrangements.

Evidence from plans.

5.10 BCPs outline arrangements for communicating with partners, stakeholders and the media.

Arrangements documented in plans.

5.11 Training and Exercising - There is a programme in place for training key staff and raising awareness throughout the organisation and its key stakeholders.

Organisational training and exercising programme. Key staff are identified in plans. Evidence of newsletters or other information dissemination methods.

5.12 There is a balanced programme of exercise types which tests the full range of capabilities.

Scenarios from exercises.

5.13 The exercise programme has clear objectives.

Documented exercise programme objectives.

5.14 There is a documented process for measuring the effectiveness of emergency arrangements and capturing and taking forward the lessons identified.

Notes of exercise debrief meetings. Action plans. Review of actions at plan preparation/review meetings.

5.15 Review and Evaluation - Risk assessment, risk revisions, and CRRs are being used as the basis for reviewing and revising Business Continuity Plans.

Notes of risk assessment and plan review meetings. Updates of plans.

5.16 Plans are considered for revision as a result of revised risk assessments.

There is an established review process and identified trigger points. Notes from risk assessment and plan review meetings.

5.17 Maintenance - A clear procedure is in place to ensure that the BCP arrangements are kept up to date.

Timetable for BCP review. Notes of plan review meetings. Issue of version controlled updates. Plan update acknowledgement systems for recipients.

6.1 Public Awareness and Education - All or parts of the relevant risk assessments and emergency plans have been published in a format that the public will find useful.

CRRs and relevant plans are available on internet websites. Websites are signposted in other public information documents from responders or on their websites.

6.2 Publicity materials have regard to other local, regional and national publications.

Links or references to other relevant publications are included in publicity material.

6.3 Publicity materials employ clear and simple language, using media appropriate to the audience.

Evidence of pre-testing of material with members of stakeholder groups. Review and production by publicity/ communications sections of organisations.

6.4 Publicity materials are available for vulnerable people and in languages other than English, as appropriate to the needs of the local community.

Published material in languages other than English. Evidence of consultation with social policy sections of organisations during preparation. Evidence of consultation with local authority social work sections, voluntary organisations and others with practical knowledge of local community.

6.5 Warning, Informing and Advising the Public - Arrangements to warn, inform and advise the public are in place.

Documented arrangements, stand-alone or incorporated into generic or specific plans.

6.6 There is clarity between local responders about the responsibilities for warning and informing; lead responders have been agreed.

Documented arrangements, SCG minutes.

6.7 Arrangements have been made to ensure that vulnerable people can be warned effectively.

Documented arrangements and plans. Evidence ofco-ordinated working with relevant agencies and voluntary organisations.

6.8 Arrangements for issuing messages are designed with the target audience in mind.

Evidence of research and consultation with relevant agencies. Documented arrangements.

6.9 There is effective liaison with the local media.

Evidence of consultation correspondence or meetings. Documented contact and dissemination arrangements.

6.10 Personnel who would deal with the media in an emergency, or who deliver public information lines, have received appropriate training.

Documented training programme and records of training. Appropriate staff identified in plans.

6.11 Training and Exercising - All arrangements are tested and exercised on a regular basis.

Public communication is featured as a separate item or identified as part of a range of functions exercised in an area programme.

6.12 There is a documented process for measuring the effectiveness of the arrangements and capturing and taking forward the lessons identified.

Notes of debriefing meetings. Action plans. Review of actions at SCG or other plan preparation meetings/minutes.

6.13 Review and Evaluation - Arrangements are considered for revision as a result of revised risk assessments.

Documented plan review process and timetable with link to risk assessments. Notes of SCG and responder plan review meetings with updates/changes documented.

6.14 Maintenance - A clear procedure is in place to ensure that the arrangements are kept up to date.

Documented review and update. Local review timetable for plans. Documented update issue and acknowledgement.

7.1 Ownership - The allocation of responsibilities is clear, where the authority has entered into collaborative arrangements with other organisations.

Minuted/documented evidence of agreed arrangements.

7.2 A senior responsible manager has been identified within the authority to "own" the arrangements.

Meeting minutes with details of agreement and ownership assigned to responsible individual. Correspondence with acknowledgement by owner.

7.3 Strategy - The local authority has a business continuity management ( BCM) advice and assistance strategy.

Items on agenda/minutes of strategy discussion meetings. Strategy documentation.

7.4 Other Category 1 and 2 responders (especially other local authorities) have been consulted in the preparation of the strategy.

Correspondence with other responders. Agenda/minutes of meetings with collation/consideration of matters raised and incorporation into strategy documentation.

7.5 The strategy reflects other local responders' business continuity work with business and voluntary organisations.

Evidence of liaison/consultation with other responders on BCM.

7.6 The local authority has a clear policy for dealing with requests for detailed business continuity advice.

Staff are identified to deal with process. Documented procedures.

7.7 Delivery - The programme addresses the needs of the business and voluntary sector community and the risk profile of the area.

Agenda/minutes of consultation/discussion meetings. Correspondence with business and voluntary sector.

7.8 The authority has made available information on BCM issues through relevant mechanisms.

Information available on relevant websites. Mailings to local businesses. Leaflets in libraries. Local business/economic forum or Chamber of Commerce involved.

7.9 Review and Evaluation - There is an established review process with identified trigger points.

Documented process. Agenda items/minutes of review or plan preparation meetings.

7.10 The authority has got a mechanism and success measures for assessing the effectiveness of its BCM advice and assistance activity.

Evaluation arrangements - annual review or liaison meeting.

7.11 The review process involves a full range of stakeholders consulted in developing the strategy.

Agendas/minutes of stakeholder meetings. Correspondence with stakeholders.