OE21 Guideline: 6.2c 

Safety and Emergency Preparedness

Strategic Objective:

Provide a safe continuous environment for the organization and workforce

Strategic Objective:

Implement safety, disaster or emergency preparations and recovery plans

Quality Objective:

Quality Objective:

Responsibility:

Lead: Operations Focus Team (OFT)  Support: CFT and WFT

Strategic Objective:

Strategic Objective:

Approved by: (Name), Leadership Focus Team (LFT)

Approved: DD-MMM-YY

VALUE ADDED

 VALUE ADDED - Safety and Emergency Preparedness

 

  1. Implement a good safety manual, and accident prevention program

  2. Implement a business continuity program with preparations and recovery from disasters

  3. Implement a disaster/hazards risk analysis and plan to mitigate risks and recover rapidly

  4. Protect the organization's workforce, facilities, equipment, vehicles and intellectual property

POLICY          6.0 COMMENTARY

The organization has adopted the Baldrige Framework Item 6.2c Safety and Emergency Preparedness, and 7.1b(2) Emergency Preparedness Results as the internal policy, including the following sub-items:

 

6.2c(1) Safety- The organization provides a safe operating environment, including accident prevention, inspection, root-cause analysis of failures, and recovery.

 

6.2c(2) Business Continuity - The organization ensures that it is prepared for disasters and emergencies. The disaster and emergency preparedness systems that include:

  • prevention of and recovery from disasters or emergencies that disrupt the business;

  • implements disaster and emergency preparedness systems that take into account reliance on the workforce, suppliers, and partners;

  • ensuring that information technology systems continue to be secure and available to serve customers and business needs. 

 

7.1b(2) Emergency Preparedness Results  - The organization tracks current and trends in key measures or indicators of the effectiveness of preparedness for disasters or emergencies (including cybersecurity breaches); and how these differ by location or process type; as appropriate.

PROCESS

Figure 6.2c-1 FLOW DIAGRAM - Safety and Emergency Preparedness)

6.2C Process Chart (Figure 6.2c-2 Safety and Emergency Preparedness)

Inputs to 6.2c Safety and Emergency Preparedness

  • Safety Manual (content inputs; see Implementation Task 6.2c-1)

 

 

 

Measurement and Analysis Tools and Techniques

  • Disaster and Emergency Plan (examples) for major disasters would typically incorporate useful guidelines from the following documents published at www.ready.com/hurricanes:

 

  • Hurricane Seasonal Preparedness Social Media Toolkit (link)

  • Hurricane Information Sheet (PDF)

  • Six Things to Know Before a Disaster (video)

  • National Hurricane Center (link)

  • National Weather Service Hurricane Safety (link)

  • When the Waves Swell – Hurricane Animated (Video)

  • How to Prepare for a Hurricane (PDF)

  • Hurricane Playbook (PDF) - Note: The "Playbook" documents are excellent sources for use in creating Disaster and Emergency Plans.

NOTE: The OE21 6.2c implementation instructions suggest that organizations assess their most likely disaster types (depends on many factors including location and actual events that occurred). Next, each disaster type will likely have a specific handbook at the www.ready.com site. 

Outputs from 6.2c Safety and Emergency Preparedness

  • Overview Video: 6.2c Safety and Emergency Preparedness

  • Safety Manual

  • Business Continuity Plan

 

Case Study

  • Read the 6.2c Case Study

Implementation Instructions

Key Decision: The OE21 focus team responsible for this standard should begin by deciding whether or not the OE21 standard adds value (on is non-value added) when compared to any existing standard, SOP, or process the organization uses now. The decision process is:

 

1. The focus team studies all Tasks and tools used in the OE21 standard.

2. The focus team answers the questions:

  • NON-VALUE ADDED? Does the organization currently use a standard, SOP process that is deemed as better or essentially as good as the OE21 standard? If YES, then the focus team should document that this standard is deemed as NVA, and then the focus team should proceed ahead to the next OE21 standard.

  • VALUE-ADDED? Does the organization currently use a standard, SOP process that is deemed as better or essentially as good as the OE21 standard? If NO, then the focus team should proceed ahead to complete the following OE21 Implementation instructions.

 

Note: The NVA finding will be used later in the OE21 Certification Audit process.

START IMPLEMENTATION

Task 6.2c-1 Create or Revise the Safety Manual - The Operations Focus Team (OFT) ensures that the organization provides a safe operating and working environment, and maintains a Safety Manual that addresses the following:

 

  • Legal and regulatory requirements for safety (e.g., OSHA)

  • Commitment to safety-first

  • Prevention of accidents

  • Safety inspections

  • Safety issue root-cause analysis of failures

  • Recovery from accidents or other safety problems

  •  

The OFT creates or revises the Safety Manual by seeking and collecting input from people directly involved in the work and work processes, a detailed review of historical safety incidents and assessment of current safety practices, and an analysis of all applicable legal and regulatory requirements for safety. As a minimum, the Safety Manual includes these contents:

 

  • Corporate Safety Policy

  • Company Policies and Procedures

  • OSHA Inspection Procedures

  • Housekeeping Program

  • Hazards Communication Program

  • Personal Protective Equipment (PPE) Program

  • Stairway and Ladder Safety Program

  • Fall Protection Program

  • Equipment, Tools, and Ground Fault Safety Program

  • Lockout and Tagout Program

 

  • PROGRESS: You have reached Milestone 1 (good work). Input the status [15%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Task 6.2c-2 - Implement Safety Program - The Operations Focus Team (OFT) implements the Safety Program through the deployment of the Safety Manual to all workforce members directly involved in the work and work processes. The Safety Manual is also deployed to non-workforce personnel or outside organizations (e.g., contractors, suppliers) who may benefit from the general safety policies and procedures in the Safety Manual (e.g., stairways, fall protection, equipment (e.g., electrical and mechanical), hazardous facilities and materials or chemicals).

 

The OFT conducts regular Safety Manual training workshops for the workforce, contractors and suppliers. Training includes tests of workforce, contractors and suppliers' knowledge of the organization's safety policy and procedures.

 

The OFT conducts regular inspections of all workspaces for the detection of safety issues. The OFT takes rapid and effective action to prevent safety-related accidents before they occur. If safety-related accidents happen, the OFT initiates a root-cause analysis of the accidents and the failures of equipment, facilities, vehicles or people that were involved. Based on the root-cause analysis, the OFT may implement changes to the Safety Manual, following by workforce, contractor and supplier training in these changes.

  • PROGRESS: You have reached Milestone 2 (good work). Input the status [45%] on the organization's OE21 Intranet Main page alongside the title of this standard.

 

Task 6.2c-3 Implement a Business Continuity Program - The Operations Focus Team (OFT) works under the direction of the Leadership Focus Team (LFT) and with the support of the Customer (CFT) and Workforce (WFT) focus teams to implement a Business Continuity Program. The organization recognizes that when the business or organization is disrupted by any significant event (disasters, cyber-attacks, other), there is likely to be revenue loss, unplanned expenses, and loss or delay of workforce payout and contractor and supplier payments.

 

The purpose of the Business Continuity Program is to ensure the continuity of operations during and after an emergency (e.g., fire, flood, weather-related, utilities, cyber-attack, equipment or vehicle theft or destruction, intellectual property theft, local or national terrorist emergency).

 

The OFT uses the U.S. Government guidelines to help create the Business Continuity Program. These references are available at this link:

 

         https://www.ready.gov/business/implementation/continuity

 

The following are examples of business continuity program tools that are provided by the U.S. Department of Homeland Security and the Federal Emergency Management Agency (FEM) for use in creating the business continuity program:

OFT_6.2c.1_Business_Continuity_Plan_Guide (.pdf)

OFT_6.2c.2_Business_Continuity_Plan_Worksheet (.pdf)

Note: The 6.2c.2 Business Continuity Plan Worksheet provides guides for the Business Continuity Plan administration, organization roles, participant contact information, and suggested contents of the plan.

OFT 6.2c.3 Business Impact Analysis Worksheet (pdf)

Note: The 6.2c.3 Business Impact Analysis Worksheet provides guides for the duration (hours; weeks; months) of the interruption, operational impacts (e.g., lost sales or income, negative cash flow, increased expenses, regulatory fines, contractual penalties, customer dissatisfaction or defection, and delays in executing business plans and strategic initiatives.)

 

There are four steps to create the Business Continuity Program (plan):

 

  • Step 1 -  The OFT conducts a business continuity impact analysis to identify time-sensitive or critical business functions and processes and the resources (and workforce members) that support them. The Business Impact Analysis Worksheet and Business Continuity Plan are used as aids in this analysis and development of the Business Continuity Program. Note: The ability to run both office productivity and enterprise software are deemed as critical to the organization and its customers. Therefore the Business Continuity Program and supporting procedures include impact and recovery procedures for the organization's information management system, including networks, servers, desktop, and laptop computers and wireless devices.

 

  • Step 2 - The OFT identifies, documents, and implements procedures to recover critical business functions and processes after a disruption. These procedures are documented and controlled as standard operating procedures (S.O.P.)

 

  • Step 3 - The OFT and LFT work together to organize a business continuity team and compile a business continuity plan to manage the business or organization disruption. Recovery strategies and manual "backup plans" for information technology are developed to ensure that technology can be restored in time to meet the needs of the business or organization. The Business Continuity Program incorporates procedures for reliance on the workforce, contractors, suppliers, and partners, as appropriate. The LFT, with support from the CFT and WFT reviews and approves the business continuity plan. 

 

  • Step 4 The OFT uses the Business Continuity Plan and S.O.P. to conduct training for the business continuity team, including testing and "scenario exercises" to evaluate recovery strategies and the plan.

 

  • PROGRESS: You have reached Milestone 3 (good work). Input the status [53%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Task 6.2c-4  Implement a Disaster and Emergency Risk Analysis -The Leadership Focus Team (LFT) directs the use of the following document:

 

  • Ready Business Mentoring Guide a publication of the U.S. Department of Homeland Security and the Federal Emergency Management Agency (FEMA). 

 

The Ready Business Mentoring Guide includes a sample Business Continuity and Disaster Preparedness Plan and includes lists of serious hazards used to conduct the organization's Disaster and Emergency Risk Analysis as shown in Figure 6.2c-3 Worksheet for Risk Analysis Survey. The list shows 12 natural hazards, four technological hazards, and five terrorism hazards.

 

Figure 6.2c-3 Worksheet for Risk Analysis Survey

source: www.ready.gov

The Leadership Focus Team (LFT) and Operations Focus Team (LFT) will use a number of web sources to help predict the most likely disasters that the organization may experience. Example sources:

 

The U.S.A. Disaster Maps: 

https://web.archive.org/web/20140717040901/http:/www.crisishq.com/why-prepare/us-natural-disaster-map

 

Tulane University Disaster Data:

https://www.tulane.edu/~sanelson/Natural_Disasters/introduction.htm

 

World-wide Disaster Maps:

https://ourworldindata.org/natural-disasters

 

The Operations Focus Team (OFT) uses the OE21 Risk Management tool to prioritize and measure risks of each of the most significant disasters that could impact the organization. As shown in Figure 6.2c-4 (left side) below, each disaster has an estimated impact (1-5), and a probability (in %). These two inputs are used to calculate the risk score (color-coded green, yellow, red). The highest risks have the highest scores as shown in Figure 6.2c-4. Notice that the example shows that links were input to add further value to understanding details of the particular disaster and risks. The sources for these links are provided by the U.S. Department of Homeland Security (www.ready.gov) and are useful in creating the risk mitigation plans for each disaster.  

 

The OE21 Risk Management tool (right side) provides for input of the disaster risk responsible persons or teams, the dates for which the risk is evaluated, the actual percent of plan completion and a narrative description of risk triggers (e.g., media reports of approaching hurricanes).  

Figure 6.2c-4-1 OE21 Risk Manager - Disasters (left side)

Figure 6.2c-4-2 OE21 Risk Manager - Disasters (right side)

  • PROGRESS: You have reached Milestone 4 (good work). Input the status [68%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Task 6.2c-5  Implement a Disaster and Emergency Plan for Significant Risks - The OFT with support from the CFT and WFT, prepare a Disaster and Emergency Plan for each of the significant risks determined in Task 6.2c-4 Step 3.

 

To prepare this plan the OFT uses applicable documents available from the U.S. Department of Homeland Security, including:

Source: https://www.ready.gov/business

A Disaster and Emergency Plan (example) for a Hurricane disaster would typically incorporate useful guidelines from the following documents published at www.ready.com/hurricanes:  

  • Hurricane Seasonal Preparedness Social Media Toolkit (link)

  • Hurricane Information Sheet (PDF)

  • Six Things to Know Before a Disaster (video)

  • National Hurricane Center (link)

  • National Weather Service Hurricane Safety (link)

  • When the Waves Swell – Hurricane Animated (Video)

  • How to Prepare for a Hurricane (PDF)

  • Hurricane Playbook (PDF) - Note: The "Playbook" documents are excellent sources for use in creating Disaster and Emergency Plans.

The Disaster and Emergency Plans for each significant disaster (hazard) identified in Task 6.2c-4 Step 3 are created by the OFT, reviewed by the WFT and CFT and then submitted to the LFT for final review and approval.

 

The associated action plans to implement each of the plans will be incorporated into the OFT 6.1a  Operations Excellence Action Plan as described in Task 6.2c-6.

  • PROGRESS: You have reached Milestone 5 (good work). Input the status [98%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Task 6.2c-6 Update Operations Excellence Action Plan - The Operations Excellence Action Plan is updated to include any additional project tasks or other information necessary to meet the requirements specified in this OE21 Guideline. The Leadership Focus Team (LFT) reviews and approves changes to the Operations Excellence Action Plan, and may use the outputs of this guideline to update the Strategy Plan.

  • OFT_6.1a_Operations_Excellence_Action_Plan (.xlsx)

 

Task 6.2c-7 Input Safety and Emergency Preparedness Metrics into PMS - Unless the organization has its own Performance Management System, the OFT uses the Excel Workbook: 

 

  • OFT_7.1_PMS_Operations_Excellence_Metrics (.xlsx)

 

As a minimum, the OFT selects, input and tracks key measures for Safety and Emergency Preparedness including:

 

  • Extent of Safety Manual Completion and Deployment

  • Extent of Safety Program Implementation

  • Number of Safety Problems or Issues Detected 

  • Extent of Business Continuity Program Implementation

  • Cycle time of Safety or Emergency Incident (detection to recovery)

 

On a quarterly basis, the OFT with support from all focus teams uses the Performance Measurement System to monitor trends in cybersecurity initiatives versus goals. Normally these are updated quarterly, or when changes in conditions require updates. The OFT appropriate action to drive measures towards their goals. When goals are met, the OFT may raise the goals higher, as appropriate. See OE21 4.1 Task 4.1.5 for guidance.

 

Figure 6.2c-3 is an example Trend Chart and Action Plan for Number of Safety Problems Detected

Task 6.2c-8 Use PMS to review Safety and Emergency Preparedness Metrics

On a quarterly basis, the OFT with support from all focus teams uses the Performance Measurement System to monitor trends in safety and emergency preparedness versus goals. Normally these are updated quarterly, or when changes in conditions require updates. The OFT appropriate action to drive measures towards their goals. When goals are met, the OFT may raise the goals higher, as appropriate. See OE21 4.1 Task 4.1.5 for guidance.

  • PROGRESS: You have reached Milestone 6 (congratulations). Input the status [100%] on the organization's OE21 Intranet Main page alongside the title of this standard.

Figure 6.2c-3 Trend Chart and Action Plan for Number of Safety Problems Detected (example) 

Figure 6.2c-3 Trend Chart and Action Plan for Number of Safety Problems Detected