Sixth Pandemic Influenza Preparedness Summit April 9, 2010

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1 Pandemic Flu: Business Continuity Planning at a Water Utility Kevin J. McMahon, CIH Director, Operational Risk Management New Jersey American Water Sixth Pandemic Influenza Preparedness Summit April 9, 2010

2 H1N1 Pandemic Lessons Learned Emerging communicable diseases can occur without warning and spread quickly Planning, preparation and response is complex and time consuming Supplies can be depleted quickly Cross functional participation is critical Situation can change rapidly Government agencies do not always have the answers (right away); answers can change Local information can be difficult to obtain Scalability and flexibility of plan is critical Logical and systematic (actionable) plan is necessary 2

3 NJAW H1N1 Business Continuity Planning (BCP) Avian Flu Pandemic Plan developed American Water Cross Functional Event Management Team formed in April 2009 for H1N1 Utilized existing event management procedures to respond Operational Risk Management led development of tool kit to assist planning and response Tool kit completed in October

4 New Jersey American Water Pandemic Flu BCP Tool Kit Components Planning Guide Instructions How to use Tool Kit Planning and Response Guide Response Action Scale BCP Work Flow Response Action Matrix Work Status Categories Staffing Assessments Functional Assessments Communications Plan Safety Tailgate Talk/Power Point Flu Poster Flu FAQ Pandemic Supplies Pandemic Supply Distribution List Guidelines for Distribution/Use of Sanitizers Guideline for use of Respirators 4

5 Summary of Planning and Response Process Planning & Response Guidance Lead Functional Groups Assess the Situation Determine Response Level Identify and Implement Response Actions to Mitigate and/or Control Impact to Operations and Personnel Determine Impact on Critical Functions Determine Impact on Personnel and Staffing Levels Implement Operational & Staffing Plans Consult CDC and State, Local Health Depts; local absenteeism Outcome = Low, Moderate, or High Based on Frequency & Severity of Virus Consult Response Action Scale Outcome = Low - R1; Moderate - R2; High - R3 See Response Action Guide Consult Functional Assessment Chart to determine functional priority level -- Low, Medium or High H1N1 Work Categories & Job Status Business Continuity Plans ORM/Event Management Team ORM/Event Management Team Operations/Functional Groups Operations/Functional Groups Operations/Functional Groups Operations/Functional Groups 5

6 BCP Tool Kit & Development Process I. Assessment the Situation by Operational Risk Management and Event Management Team Assess the circumstances: nature of the outbreak determined by the frequency and severity of the virus Frequency - The percentage of individuals with influenza-like illness (ILI) in a facility, community or geographic area Severity - A measure of how sick individuals are. Indicators for this include length of absenteeism, hospitalizations or fatalities 6

7 BCP Tool Kit & Development Process Acquiring information may be difficult Requires availability and access to data that is usually collected by federal and state/local health agencies; not timely Monitoring the available information and assessing its status will be essential to determining the appropriate response actions In the absence of such data, professional judgment should be used leveraging all available federal, state, county and local data 7

8 BCP Tool Kit & Development Process Determine the current level of outbreak (low, moderate, high) based on frequency and severity of cases Estimated from the attack rate (percentage of people getting the flu), transmissibility rate (number of people that can be infected by a person having the flu) and Case Fatality Ratio from the CDC or state/local health departments (difficult to obtain) Local absenteeism rates are important to track and to use for determining the current level of outbreak In the absence of such data professional judgment should be used 8

9 II. Determine Response Level (Operational Risk Management /Event Management Team) After assessing the situation, determine the response actions that are needed to control or mitigate the level of the outbreak Response Action Scale Low Moderate High Based on frequency-severity levels determine the corresponding response level on the Response Action Scale: R1, R2, R3 1. R1 - Response Level 1; Low incidence or severity not greater than normally expected. For operational purposes, less than 10% above normal absenteeism rate. 2. R2 - Response Level 2; An incidence or severity higher than expected. For operational purposes, 10-40% above normal absenteeism rate. 3. R3 - Response Level 3; Incidence or severity reaching serious proportions and/or resulting in actions by public health departments to curb spread in communities. For operational purposes, greater than 40% above normal absenteeism rate. Normally Event Level 3 or 4 Frequency High Moderate Low R2 R1 R3 R2 Severity R3 9

10 III. Identify and Implement Response Actions to Mitigate and/or Control Impact to Operations and Personnel (Operations/Functional Groups) After determining the level of response, the types of actions that can be taken to control or mitigate the effects on personnel and operations can be identified Based on the current level of outbreak and response level (R1, R2, R3), the appropriate response actions can be determined The general types of response actions are summarized in the chart below. Follow the specific response actions found on the Response Action Guide Response Action Summary Response Action Categories Response Prepare & Social Level Communicate PPE Antivirals Vaccines Monitor Distancing R1 X X X R2 X X X X R3 X X X X X X 10

11 PANDEMIC FLU ACTION MATRIX Version 3.0 Note: Actions at lower response levels carry forward to higher response level unless otherwise specified. Response Levels may be changed at a state or district level depending on the localized impact. Function Response Level 1 R1 Response Level 2 R2 Response Level 3 R3 Communications See Communications Plan for Additional Information Develop and distribute communications materials for employees. Distribute general awareness materials. (e.g. Place awareness Increase communication to employees and reinforce general documents on AW intranet and distribute periodic updates via awareness. Provide weekly updates or more frequently, if, intranet, Lotus Notes s and tailgate meetings. Display required to keep employees informed. posters that remind employees about proper etiquette when hand washing, coughing and sneezing. Establish continuous communication with employees to advise them of current and future required actions. Human Resources Develop general guidelines and communications for sick time policy application based on circumstances presented locally Develop and implement plans to have H1N1 vaccines given to employees when available Provide seasonal flu vaccine to employees to reduce overall absenteeism Track absenteeism and report out Establish procedure for monitoring employees absent from work due to flu-like symptoms Establish a hotline for operations to report absenteeism due to flu like illness. Require operations to report daily. Develop guidance for employees to work out of title if needed to fulfill critical task requirements Operations Identify Staffing categories Implement staffing for HIGH and MEDIUM tasks. Consider limiting LOW priority tasks if necessary. Implement staffing for HIGH priority tasks. Consider limiting LOW and MEDIUM priority tasks if necessary. 11

12 IV. Determine Impact to Critical Functions (Operations/Functional Groups) The circumstances of the situation will have various levels of impact on each functional group (Operations, Engineering, Administration, etc.) and their activities To determine the impact of the response/situation level on functional groups and their activities, begin by identifying the priority level (high, medium, low) Situation and Response Level R1 R2 R3 Critical Function Priority Levels Critical Function Priorities High Medium Low High Medium High 12

13 H1N1 Business Continuity Staffing Plans Introduction: This workbook is provided to help develop staffing plans in the event the H1N1 Pandemic Flu outbreak impacts large numbers of employees. The level of response necessary for the situation, the types of tasks, and the staffing required to maintain high priority activities will need to be determined in advance. This workbook is designed to identify the types of tasks that need to be performed and the minimum staffing levels required to perform those tasks. All employees will need to be identified according to one of 4 Job Status categories which address the needs for staffing. Employees may be re-categorized as conditions and needs change. A Job Title Category has been assigned to each person based on their job title and will be used to simplify the staffing process since there are many job titles for personnel performing similar tasks. It is anticipated that the staffing plans will not need to be implemented until a moderate to severe level of illness and frequency begins to occur. Instructions: Assumption: Moderate to severe frequency and severity of illness (> 20% absenteeism above usual levels) resulting in significant impact to operations and restrictions on staffing in order to preserve high priority tasks. Assume a period of 6 weeks of limmited staffing and adherence to existing bargaining agreements as you complete the minimum staffing requirements in Tab 4. 1.) General: Complete the missing information (highlighted) in Tabs 1, 2 and 4 and return the file to Denise Taylor. Click on the Link at the top of each spreadsheet to go to Instructions at the bottom of each page 2.) Tab 1 -- Review the list and complete any missing or incorrect H1N1 Job Title Categories in Column G. Then Select the H1N1 Job Status which best fits from the table in Tab 3 and enter it into the highlighted column (Column H) for each employee on the list. 3.) Tab 2 -- Follow the instructions at the bottom of the page and complete the missing information. 4.) Tab 3 -- Reference Tab for use with Tabs 1 and 2 5.) Tab 4 -- Enter the mininum number of personnel needed to perform the work for each specific Job Title Category in the highlighted column (Column E ) 6.) Contact Kevin McMahon if you have any questions completing the Tables 13

14 V. Determine Impact on Personnel and Staffing Levels The level of response necessary for the situation and the types of functional tasks that should be performed will determine the status of workers that will be needed The criteria for each of the H1N1 Job Status (1, 2, 3, 4) are shown in the table below. All employees should initially be categorized according to one of the four numbers in the table. Employees may be re-categorized as conditions and needs change Work tasks cannot be deferred and may be performed from home or alternate site. Some work tasks can be temporarily deferred. Employee can be sent home (on standby) or may be utilized as an alternate for 1 and 2. Work tasks cannot be deferred and must be performed at work location. Job Status All work tasks can be temporarily deferred. Employee can be sent home (on standby) or may be utilized as an alternate for 1 and 2. 14

15 H1N1 Job Categories and Status -- Field Ops See Instructions at bottom of the page (Link) H1N1 Job Status levels for each employee by department The job title category is predetermined based on job title and description H1N1 Job Status* (Click HERE to go to Tab) Emp # Last First HBU Dept Title H1N1 Job Title Category AC-Field Services Clerk Admin CFS AC-Field Services Field Services Representative Field Services Rep AC-Field Services Field Services Representative Field Services Rep AC-Field Services Field Services Representative Field Services Rep AC-Field Services Field Services Representative Field Services Rep AC-Field Services Field Services Representative Field Services Rep AC-Field Services Supvr Opns I Management CFS AC-Field Services Meter Reader Meter Reader AC-Field Services Meter Reader Meter Reader AC-Field Services Meter Reader Meter Reader AC-Field Services Meter Reader Meter Reader AC-Field Services Meter Reader Meter Reader AC-Field Services Meter Reader Meter Reader AC-Field Services Meter Reader Meter Reader AC-Network Intern (N) Admin Network AC-Network Intern (N) Admin Network AC-Network Specialist Operations (N) Admin Network AC-Network Specialist Operations (N) Admin Network AC-Network Specialist Operations (N) Admin Network AC-Network Specialist Operations (N) Admin Network AC-Network Mgr Field Operations Management Network AC-Network Supvr Opns I Management Network AC-Network Supvr Opns I Management Network AC-Network Supvr Opns I Management Network AC-Network Stockperson Stockperson Network AC-Network Utility Mechanic I Utility Mechanic Network AC-Network Utility Mechanic I Utility Mechanic Network AC-Network Utility Mechanic II Utility Mechanic Network AC-Network Utility Mechanic II Utility Mechanic Network AC-Network Utility Mechanic II Utility Mechanic Network 1 15

16 After determining the critical function priority level (high, medium, low) consult the H1N1 Functional Assessment chart to determine the appropriate tasks that should be performed during that situation level. HIN1 FUNCTIONAL ASSESSMENT FUNCTIONAL AREA PRODUCTION HIGH PRIORITY (MUST DO) PRIORITY LEVEL MEDIUM PRIORITY LOW PRIORITY H1N1 JOB CATGEGORIES 1. General Plant Operations a. Monitoring / Adjusting Treatment X 1 Chemicals Operator Production b. Flow Control X Operator Production 1 c. Monitor / Adjust Unmanned Facilities X 1 Operator Production d. Monitor Plant / Facility Security X Operator Production 1 e. Equipment Calibrations (Perform) X Mechanic Production 1 f. Dam Inspections (Perform) X 1 2. Chemical Delivery a. Ordering Chemicals X Operations Specialists, Supervisors H1N1 JOB STATUS* COMMENTS 2 Some Supervisors need to be Cat. 1 b. Receiving Deliveries X Operators 1 3. Environmental Reporting X Supervisors, Operations Spec. 1 Some work can be done from home a. Sample Collection X Station Operators, Mechanics m 1 (OMM) b. Monthly Water Withdrawal X 1 c. SDWA X 1 d. DMR/NPDES X 1 e. Equipment Calibrations (Report) X 1 3. Sampling a. In Process Sampling X 1 i. Chlorine X 1 ii. Turbidity X 1 iii. ph X 1 iv. Bac-T X 1 4. Recordkeeping a. Annual Reports X 2 i. Water Supply Reports X 2 ii. Solid Waste X 2 iii. BPU X 2 b. Consumer Confidence Reports X 2 c. Dam Inspections (Report) X 2 d. Emergency Response Plans X 2 e. O&M Plans X 2 f. SARA Title II X 2 g. Tier II Reports X 2 16

17 Field Operations Minimum Staffing See Instructions at bottom of page (Link) Department Location Job Title Category Min. # of H1N1 # of Personnel Personnel Job in Job Title Required for Status Category Job Title Code Category H1N1 Job Status Description T&D Belle Mead Admin Network Work tasks cannot be deferred and may be performed from home or alternate site. Foreman Network Work tasks cannot be deferred and must be performed at work location. Inspector Network Some work tasks can be temporarily deferred. Employee can be sent home (on standby) or may be utilized as an alternate for Categories 1 and 2. Management Network Work tasks cannot be deferred and must be performed at work location. Utility Mechanic Network Work tasks cannot be deferred and must be performed at work location. Plainfield Mechanic CFS Work tasks cannot be deferred and may be performed from home or alternate site. Admin Network Work tasks cannot be deferred and may be performed from home or alternate site. Foreman Network Work tasks cannot be deferred and must be performed at work location. Inspector Network Some work tasks can be temporarily deferred. Employee can be sent home (on standby) or may be utilized as an alternate for Categories 1 and 2. Management Network Work tasks cannot be deferred and must be performed at work location. Utility Mechanic Network Work tasks cannot be deferred and must be performed at work location. Utility NRW Network Work tasks cannot be deferred and must be performed at work location. Short Hills Admin CFS Work tasks cannot be deferred and may be performed from home or alternate site. Inspector Network Some work tasks can be temporarily deferred. Employee can be sent home (on standby) or may be utilized as an alternate for Categories 1 and 2. Management Network Work tasks cannot be deferred and must be performed at work location. Stockperson Network Work tasks cannot be deferred and must be performed at work location. Utility Mechanic Network Work tasks cannot be deferred and must be performed at work location. Utility Mechanic Network 3 1 Work tasks cannot be deferred and must be performed at work location. Customer Field Services Belle Mead Field Services Rep Work tasks cannot be deferred and may be performed from home or alternate site. Management CFS Work tasks cannot be deferred and must be performed at work location. Meter Reader Work tasks cannot be deferred and may be performed from home or alternate site. Meter Reader/FSR Work tasks cannot be deferred and may be performed from home or alternate site. Plainfield Meter Reader/FSR Work tasks cannot be deferred and may be performed from home or alternate site. Admin CFS 1 2 Work tasks cannot be deferred and may be performed from home or alternate site. Field Services Rep Work tasks cannot be deferred and may be performed from home or alternate site. Foreman CFS Work tasks cannot be deferred and must be performed at work location. Management CFS Work tasks cannot be deferred and must be performed at work location. Mechanic CFS Work tasks cannot be deferred and may be performed from home or alternate site. Meter Reader Work tasks cannot be deferred and may be performed from home or alternate site. Meter Reader/FSR Work tasks cannot be deferred and may be performed from home or alternate site. Short Hills Admin CFS Work tasks cannot be deferred and may be performed from home or alternate site. Field Services Rep Work tasks cannot be deferred and may be performed from home or alternate site. Management CFS Work tasks cannot be deferred and must be performed at work location. Meter Reader Work tasks cannot be deferred and may be performed from home or alternate site. 17

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19 BCP Tool Kit & Development Process VI. Implement Operational & Staffing Plans After determining the impact to critical functions and personnel staffing the necessary operations should be implemented On-going assessment of the situation and impact on staffing levels should continue to be monitored to determine appropriate response actions 19

20 Leveraging Multiple Communication Channels Vaccine Safety Shot Schedule American Water Communication Channels Internal Address National News Seasonal Flu Prevention Communication Events Sanitizer/Mask Distribution Population Benefits Growth Coverage & Shift Weekly newsletter, to all employees Quarterly print publication to all employees Employee advisory council monthly meetings Intranet page designed exclusively for pandemic and bulletin board updates External (as needed) Water Quality Alerts Case Reported Internally Customer call center talking points Leadership talking points for regulators News release, crisis planning Bill inserts with educational information Revised vendor process for delivery The Perfect Preventative Medicine for Communications: Internal and External communications contacts are part of the event management team 20

21 COMMUNICATIONS PLAN Stakeholder Employee Communication General tips on hand hygiene Internal Announcement Intranet Internet Key messages FAQ Holding Statement SplashPoints Splash August RESPONSE LEVEL 1 Press Release Conference Letter Call Meet Bill insert IVR Employee hotline Phone Notification Tap Us Communication Type Internal Communications Vaccine safety, information, tease shot dates Begin mid-sept. September Seasonal Flu Prevention/flu shot dates 9/22/09 9/22/09 October September CPN call Follow-up flu shots report/benefits coverage reminder (pictures of events) 9/22/09 9/22/09 October Internal Communications Internal Communications Internal Communications Customer Call Center Federal, State, Local officials Commissioners Media Vendor Sanitizer/Mask distribution Upon occurrence Upon occurrence Upon occurrence Upon occurrence Employee *Educational Information Upon occurrence Upon occurrence Upon occurrence Upon occurrence Next Issue Next Issue Yes Internal Communication Internal/External Customer *Educational Information Upon occurrence Upon occurrence Yes Yes Communication Call Center *Educational Information Upon occurrence Upon occurrence Upon occurrence Internal/External Communication Federal, State, Local officials *Educational Information Upon occurrence Upon occurrence Internal/External Communication Commissioners *Educational Information Upon occurrence Upon occurrence Internal/External Communication External Media *Educational Information Upon occurrence *Upon occurrence Upon occurrence Yes Yes Communication Vendor Process for delivery Supply Chain Employee * Educational Information Upon occurrence Upon occurrence Upon occurrence Upon occurrence *Work Schedule/Business continuity Next Issue/ON- GOING RESPONSE LEVEL 2 RESPONSE LEVEL 3 Next Issue/ON- GOING Upon Occurrence Yes Internal Upon occurrence/on- GOING Upon occurrence Upon occurrence Upon occurrence Yes Internal 21

22 H1N1 Virus Pandemic Safety Talk September

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