Management Processes

2015 ASP Domain 2 Topic 2

Lynniece Nisbett Warren MPH

November 2015

EHS ASP Study Group

Topic 2: Management Process

Overview

• Three Management Process Knowledge Areas o Emergency, crisis, disaster response, business continuity;

o Incident Investigations;

o Inspections and auditing.

• Part of Domain 2: Safety Management Systems (SMS) o Associate Safety Professional (ASP) covers 4 major domains;

o Domain 2 is SMS, 23% of the ASP examination;

o Management Process is one of the six SMS topics.

• Resource: www.bcsp.org ASP Exam Blueprint

Emergency, Crisis Disaster

Response, Business Continuity • Purpose

o Prevent fatalities and injuries;

o Reduce damages to assets (infrastructure, buildings, equipment);

o Protect the community (people and environment);

o Quicken restart of normal operations.

• Emphasis o National Incident Management System (NIMS);

o Emergency Operations Plan (EOP).

Resource NIMS 2008

National Incident Management

System (NIMS) • Approach to Incident Management

o Standardized and flexible are the core concepts

• Department of Homeland Security o Developed NIMS

• Federal Emergency Management Agency (FEMA) o Governing agency

• Benefits o National approach (local, state, federal);

o Applicable on full spectrum of incidents and hazards;

o Applicable to events regardless of sizes and complexity;

o Improves corporation b/n private and public entities.

• NIMS two main courses FREE www.fema.gov

• Computer platform and paper materials

• IS-700 NIMS- Basic Introduction

• Main Components o Command and management;

o Preparedness;

o Resource management;

o Communications and information management;

o Supporting technologies;

o Ongoing management and maintenance.

NIMS

NIMS • ICS-100b NIMS- (Covers previous 100)

• Main Components o ICS applications;

o ICS organizational principles and elements;

o ICS positions and responsibilities;

o ICS facilities and functions;

o ICS planning.

• Main Concepts o Common terminology - use of similar terms and definitions;

o Integrated communications – internal and external;

o Modular organization -assets expand or contract;

o Unified command structure –followed by all agencies.

Incident Command System

Resource: www.fema.gov

Command Staff

Resource: US Department of Health & Human Services

Emergency Operations Plan (EOP)

• Document with all hazards approach

• 5 Mission Areas (see diagram)

• Establishes o Who will do what;

o When they will do it;

o How they will do it;

o To what authority.

• Developed from Risk Assessment o Risk = Probability X Severity of impact

• life, property and business

o Hazard Vulnerability Assessment (HVA)

• Collaborative needs assessment

2. Protection

3. Mitigation

4. Response

5. Recovery

1. Prevention

Risk Matrix

Image Credit: HumanAssetRM Resource: Kaiser Permanente Model

Business Continuity (BC) • BC links with Emergency Management

o 5th Mission – Recovery: Contingency Planning

• Purpose: o Deliver products and services;

o During and/or after disruption;

o Acceptable Level;

o Predefined plans.

• ISO standard 22301, FEMA Guideline

• US regulations based on industry.

Business Continuity • Applies the Plan-Do-Check-Act model

Resource: Department of Homeland Security

• Collaborative EOP Plans or Updates o Rooted in NIMS methodology;

o All hazards approach.

• Training: Command and General Staff

• Drill: Identify Goals and Objectives o Use ICS, Play with others agencies;

o Understand three types: Tabletop, Functional, Full-Scale;

o Incorporate Business Continuity Plans.

• Test Goals and Objectives

• Review and Communicate Findings

Emergency, Crisis Disaster

Response, Business Continuity

Incident Investigations • Purpose

o SHORT

• define root cause,

• identify corrective actions to prevent recurrence.

o LONG

• improve safety performance,

• reduce worker’s compensation costs.

• Resources o OSHA Act General Duty Clause;

o Resource: 29 CFR 1904;

o (OSHA approved state plans);

o Cal-OSHA II Participants Guide;

o National Safety Council.

Incident Investigation • IIs should occur soon as possible

o Ensure necessary medical attention for effected employees;

o Secure incident area;

o Assess area for risk to others;

o Preserve scene for fact finding.

• IIs for recordable & non-recordable incidents o Non-recordable: Near miss, first-aid;

o Recordable: Injuries, illness, fatalities.

• All employers must directly report to OHSA o All work-related fatalities within 8 hours;

o Within 24 hours;

• Work-related inpatient hospitalizations,

• Amputations,

• Loss of eye.

II Components • Identify Investigation Team

o Safety committee member, supervisor, injured employed, employee witness, subject matter expert.

• Fact Finding o Who, What, When, Where, Why;

o People (actions), Environment (equipment, PPE) assess scene, pictures); Systems (training, policies, similar incidents).

• Interviews o Determine Sequence of Events;

o Identify Contributing Factors;

• 1. General Open Questions,

• 2. Specific Questions,

• 3. Closed Questions.

II Components • Identify Root Cause and Factors

o 5 Whys Method

o Fishbone-Cause and Effect

o Job Safety Analyses

• Written Document o Findings on incident investigation form

• Corrective Actions & Tracking o Short, medium, long-term;

o Hazard elimination, engineering and administrative controls;

o Follow-up system to measure effectiveness and implementation.

5 Whys Cal-OSHA II Participants Guide Excerpt INCIDENT: Employee Cut Finger 1. WHY?

Machine guard not on machine 2. WHY? Mechanic did not replace after repairs were completed 3. WHY?

Newly hired Mechanic could not find written job procedure for repair task 4. WHY? Procedure manual for this task never ordered

5. WHY? Person responsible forgot to place order CORRECTIVE ACTIONS ARE NEEDED FOR ALL CONTRIBUTING FACTORS

IIs and Data Collection • IIs help to Identify High Risk/Trends

• Data that should also be collected o II Form Fields: i.e. Occupation, Time, Training, PPE;

o Injury Classification;

• BLS Occupational Injury and Illness Classification Manual.

o Compare to previous years or industry;

• BLS annual Survey of Occupational Injuries and Illnesses.

• Incident Rate (monthly, quarterly, yearly)

Incident Rate = Number of OSHA Recordable Cases X 200,000

Number of Employee labor hours worked

Inspection and Auditing • Purpose

o To give more value to the organization by focusing on 4R’s

• Resources – effectively using resources;

• Risk – focuses on risk reduction;

• Return – identifies how value is added;

• Reputation – goal of decreasing reputational risk.

• Resource: ISO 19011 o Covers all Management Systems including EHS

Inspection and Auditing

• Inspection o Internal: IIs, Safety Observations;

o Measures Progress of conditions via Data Collection.

• Audit o External: Fire Department, Federal Agency;

o Measures Strength of System Controls;

• Including the Inspection Process.

Audit Components • Six Principles of Auditing

• Four Focus on the Auditors:

1. Integrity-perform work with honesty and diligence

and comply with applicable legal requirements;

2. Fair presentation-report audits findings, conclusions and reports

truthfully. Include obstacles difference of opinion;

3. Due professional care-necessary competence ,applying factual approach to decision making;

4. Confidentiality-exercise discretion during the audit. No use of information for personal gain.

Audit Components • Two Focuses on the Audit

5. Independence-impartiality, independent free from bias and

conflict of interest;

6. Evidence-based approach-relevant material based on

sufficient audit evidences that are verifiable.

• Written and Communicated Findings

THE END