Date Issued: September 25, 2019
- All Residential Treatment Providers
- All Inpatient Rehabilitation Providers
- All Medically Managed/Inpatient Withdrawal and Stabilization Providers
- Local Governmental Units (LGUs)
The purpose of this Local Services Bulletin is to ensure Office of Alcoholism and Substance Abuse Services (OASAS) providers who provide residential and/or inpatient services develop emergency preparedness plans that are coordinated with local behavioral health partners and emergency preparedness agencies and organizations, and that all OASAS certified residential programs utilize the New York State Evacuation of Facilities in Disasters System.
The New York State Office of Alcoholism and Substance Abuse Services (OASAS) operates and certifies substance abuse and gambling treatment and prevention programs that serve an average of 100,000 individuals on any given day throughout the State. Each of these providers is responsible for developing, maintaining, and updating a Comprehensive Emergency Management Plan (Plan) to prepare for, respond to, and/or recover from an internal or external emergency that may present an immediate danger to personnel, patients, programs, and/or property.
The objectives of each Plan are to:
- identify, assess and prioritize vulnerabilities to emergencies or disasters and the resources available to prevent or mitigate, respond to, and recover from them;
- outline short, medium and long-range measures to improve the capability to respond to and recover from an emergency or disaster;
- provide for the efficient utilization of all available resources during an emergency or disaster; and
- ensure the continuity of operations in times of emergency or disaster situations.
While no Plan can cover every conceivable emergency or disaster situation and related response activity, the concepts and components outlined in this Local Services Bulletin (LSB) have a broad range of applicability to a wide variety of emergencies or disaster situations. This LSB will ensure that OASAS and its network of providers will have sound Plans, and the capability to continue operations in times of emergencies or disaster situations.
Notification and Ongoing Communication with OASAS Staff, Other Providers and Counties
OASAS providers are responsible for distributing updated agency-specific emergency management contact information to its respective Regional Office representatives on a quarterly basis.
OASAS Regional Office personnel are responsible for initiating contact with its network of providers to ensure they are aware of the nature of large-scale incidents (e.g., major fire/flood, radioactive or chemical contamination, disease outbreak, sustained blizzard conditions, major natural gas pipeline eruptions, terrorist attack, or extended utility outage).
OASAS Providers are responsible for notifying Regional Office staff of small-scale, site-specific emergencies (e.g., power outages and downed power lines, etc.). We would like to remind providers and counties that the local County Emergency Management Office is the first line of defense, and providers should be communicating with their County Office of Emergency Management to ensure that they are aware of evacuation plans and other aspects of the county’s emergency response. The Department of Homeland Security and Emergency Services Office of Emergency Management has all county emergency management websites (with contact information) available online at: http://www.dhses.ny.gov/oem/contact/map.cfm.
Regional Office personnel should maintain ongoing contact throughout the response phase to ensure that providers are able to continue to protect the health and safety of those individuals in their programs. Attention should be paid to providers of inpatient/residential treatment since they are responsible for providing services to their patients on a 24/7 basis.
As you may recall, during Superstorm Sandy in October 2012, more than 13,000 patients and residents were evacuated from State-regulated and State-run facilities, including more than 7,100 from hospitals and nursing homes. When these storms struck, there was no statewide system in place to track vulnerable patients and residents who had to be transferred to alternative locations due to flooding, power outages or damage to facilities. As a result, the New York State Evacuation of Facilities in Disasters System (NYS e-FINDS) was introduced in 2013 to provide secure, confidential, fast and easy-to-use real-time access to healthcare and human services patient and resident locations in an emergency. Under this system, all OASAS certified residential programs will use barcode wristbands to monitor where a patient gets evacuated to and evacuated from; locations will be updated and tracked using hand-held scanners, mobile apps, or paper tracking (if power and/or phones are out of service).
Overview of Emergency Management in New York State
When an emergency or disaster is beyond a local jurisdiction’s capability, towns and cities (except the city of New York) will request help through their respective county government. Village governments will request assistance through their town government. Counties and the City of New York will request State assistance through the State Office of Emergency Management (SOEM). If it is necessary, at the direction of the Governor, New York State will request help from federal agencies or the President of the United States.
Direction and control of State risk reduction, response and recovery actions is exercised by the New York State Disaster Preparedness Commission (DPC) and is coordinated by the State Office of Emergency Management (SOEM). SOEM coordinates state response and recovery activities under provisions of State Executive Law Article 2-B and the State Comprehensive Emergency Management Plan.
OASAS is committed to ensuring that the provider can appropriately interface with the local and county response agencies in times of emergencies. Furthermore, OASAS must also ensure that it is prepared to respond to an emergency as part of the collective state disaster response.
OASAS Role: Emergency Management in New York State
OASAS participates on the DPC. OASAS will collaborate with SOEM, the Office of Mental Health (OMH), and the Department of Health (DOH) to:
- manage volunteer services,
- arrange for replacement of damaged/destroyed essential equipment,
- arrange for access of personnel to impacted area,
- arrange for transportation,
- prepare for the administration, safeguarding and recording of medications,
- develop legal opinions that support an emergency response (e.g., licensing, informed consent, confidentiality, providers licensed in other jurisdictions, personal, professional and organizational liability, patient records management, waiver of contracting or other procurement rules during emergencies), and
- submit funding requests from appropriate State/Federal agencies.
OASAS is the primary state agency responsible for promoting the continuity of Methadone Maintenance Programs during emergencies. OASAS provides emergency management guidance to certified chemical dependence prevention and treatment providers. These are coordinated with other State, county, and local entities such as: SOEM, OMH, DOH, Conference of Local Mental Hygiene Directors (CLMHD), Local governments (e.g., counties), Professional organizations (e.g., Association of Substance Abuse Providers, Committee of Methadone Program Administrators), and other Chemical Dependence prevention treatment providers.
Scope of the Provider Emergency Management Plans
Each Plan should outline overall provider policies and activities in three areas:
Focus on identifying natural, technological or human-caused hazards (which may originate from an internal or external source), mission critical agency business processes and systems, potential continuity problems affecting the agency, and steps taken to prevent or mitigate those problems.
Involves measures to recognize and respond to an emergency, provide for a warning system, identify protective actions, and ensure that mission critical activities are carried out. Response efforts also encompass efforts to alleviate damage, loss and hardship and other issues associated with business continuity. All providers should take steps to identify an alternate facility if one of its sites is rendered inoperable by an emergency or disaster. In some cases, portions of, or the entire, agency facility may be uninhabitable, requiring the use of an alternate facility.
Each provider should complete an assessment of its business processes and identify the required elements that are necessary to ensure continuity of operations at an alternative location. This includes a stock of the following supplies and equipment to ensure 96 hours of operation while minimizing the impact of human suffering in an emergency: backup generator(s), which are tested to ensure operability; supply of patient medications; bottled drinking water; food supplies; and cots for staff who will stay at the site to manage patients in the event other essential staff are unable to get to the facility. Please make sure that laptops, jet packs and cell phones are charged and ready for use in the event of a network outage. Physicians and nurse practitioners in unaffected areas of the state will have the ability to see patients for medical concerns via tele-practice. Vehicles should also be fully serviced with a full tank of fuel to assist in an emergency or disaster.
The emergency or disaster related to the hazard may have a severe impact on a provider, its facilities, and its system operations. Some emergencies or disasters will warrant the employees to take some sort of protective action, such as sheltering in-place or evacuating. In a widespread community disaster or emergency, employees may need to take the appropriate steps to ensure that safety and security of their families prior to returning to work.
Recovery efforts include short and long-term strategies to restore agency business operations following an emergency or disaster and should include identifying ways to prevent/mitigate internal hazards and mitigate the effects of external hazards.
Disaster preparedness and emergency response plans should be developed to address all foreseeable hazards. Provider planning efforts should consider the business impact that a hazard may have and its ability to continue to operate and provide services. Certain planning assumptions should serve as the basis for the development and implementation of the Plan. A hazard may be of a natural, technological or human-caused nature. This could have a negative impact on staff assignments. There may be disruptions in utility services including electric, gas, telecommunications, water and cable. Vendors, county and local governments, and other state agencies that a provider normally deals with may also be responding to the emergency and may be experiencing some disruption in operations.
Aspects of an Effective Emergency Management Plan
Planning for emergencies is often a difficult and challenging undertaking. The Emergency Management field has developed a 10-Step Planning Process that has proven to be a successful method for developing, testing and implementing an effective emergency management plan. Utilizing this format aids in developing plans that are consistent with existing methodologies and serves as a viable planning tool in identifying emergency preparedness before, during and after the emergency.
A summary of the ten steps is as follows:
Step 1: Form a Planning Team
Providers should identify an Emergency Manager who has the primary responsibility to act as a liaison between executive staff from the program and an OASAS representative. The Emergency Manager ensures that policies and initiatives regarding emergency preparedness are disseminated to individual departments/section leaders for implementation.
The Emergency Manager should develop an emergency planning team to guide the preparedness, response and recovery planning efforts. As necessary, the planning team will coordinate response activities with the local emergency services, as appropriate. Planning efforts should not be conducted by one individual working autonomously from a group. The key is to utilize the expertise and support from those individuals that may be involved in the response organization. Utilizing a team approach will yield a quality Plan by incorporating the knowledge of others. The process not only provides an accurate reflection of response capabilities, but also fosters team-building, which will be invaluable in times of emergency.
Developed teams comprised of facility management staff and employees who have volunteered for emergency preparedness roles, such as Fire Wardens, Floor Wardens, Floor Marshals and Evacuation Aides for individuals with disabilities. Key players on these teams are also front-line and middle managers who can utilize their knowledge and expertise to identify the mission-critical tasks and assignments that will be necessary for continuity of operations in the immediate aftermath of a disaster.
Education and Awareness: Employees of a provider should be trained in what their role is in response to an emergency. In addition to training, employees should receive awareness training in emergency response, such as how they will receive a warning, what the evacuation routes are, where the congregate area or assembly point is, and what is expected of each employee in an emergency.
Executive staff have the responsibility to ensure that all its employees have had the opportunity to receive emergency preparedness training. The training should be conducted at least annually, but preferably semi-annually. Training should include:
- Education on hazards that may impact the facility, both internal and external;
- Familiarizing staff with the kind of protective measures that have been developed to respond to any emergency;
- How the employees will be warned in an emergency;
- What is expected of each employee; and
- The procedure for post-disaster follow-up and assessment.
Provider agencies should reach out to their local County Office of Emergency Management or, in the case of providers situated in the City of New York, to the NYC Office of Emergency Management.
Local Treatment and Prevention Emergency Preparedness: OASAS strongly encourages collaboration with county governments (e.g., County Mental Hygiene Directors, Conference of Local Mental Hygiene Directors, and Offices of Emergency Management), and other agencies (e.g., Alcohol and Substance abuse Providers of NYS, Committee on Methadone Providers Administrators of New York State, Inc.) to support local emergency preparedness for chemical dependency providers.
Step 2: Hazard Analysis
Hazards are community based. Each OASAS residential and/or inpatient treatment provider should conduct a Hazard Vulnerability Analysis to determine the potential impacts on the facility. The analysis should include identifying both internal and external hazards. The analysis will assist in identifying where efforts would be best served in developing contingency plans and incorporating mitigation measures and activities. Examples of hazards are: Terrorism, Fire, Flood, Hazardous Materials Accident, Hazardous Materials Fixed Site, Utility Failure, Tornado, Snow Storm (Severe), hurricane, super storm wind and rain event, Earthquake, Ice Storm, Structural Collapse, Radiological Accident, Transportation Accident, Epidemic, Indoor Air Quality, Infestation, Armed Intruder, and Civil Unrest.
Identification and Analysis of Potential Hazards: This portion of the Plan provides for the identification of hazards that the provider must prepare for, respond to and recover from. Hazard identification should include internal hazards (e.g., fire) as well as external hazards (e.g., hurricane, chemical release). In assessing the external hazards, providers should consider obtaining advice and assistance from local response agencies as well as the appropriate state agencies. Several methodologies exist to identify hazards, ranging from the simple to the complex. It is important for each residential treatment program to conduct a Hazard Vulnerability Analysis and to look at natural, technological and human-caused hazards. In addition to being an excellent awareness tool, the analysis should assist in identifying where efforts would be best served in developing contingency plans and incorporating mitigation measures and activities. Your local County Office of Emergency Management or, in the case of providers situated in the City of New York, NYC Office of Emergency Management, can provide guidance.
Step 3: Risk Reduction
Upon completing a hazard vulnerability analysis, providers should consider applying Risk Reduction (Prevention and Mitigation) measures to those hazards. Mitigation measures vary in application and expense, including both structural and non-structural concepts. Risk Reduction activities can range from the very expensive to a minimal expense, such as training and exercising. The key is to explore options, think broad-based and be creative.
For each hazard reduction action identified, the following information should be developed by the Emergency Management Team: a description of the action; a statement on the technical feasibility of the action; the estimated cost of the action; the expected benefits and the estimated monetary value of each benefit; and a prioritization of the actions being proposed.
Staff should consider implementing mitigation measures in a short-term / long-term methodology. The short-term measures could be implemented almost right away, while long-term mitigation actions take place over a longer period of time. Mitigation measures should also be considered where capital programming is under consideration or capital improvements are being made.
Examples of mitigation/risk reduction are: Incorporating physical security upgrades, including access and egress controls, perimeter security, credentialing, vehicular parking polices, the use of bollards at primary exits and securing / upgrading the building air-intake system; incorporating the use of security window film to hold glass intact in the event of it being broken to help in preventing glass from becoming lethal flying projectiles; and incorporating the use of a back-up generator for use in emergencies or disasters that may have an impact on the availability or distribution of power.
Step 4: Capability Assessment
A Capability Assessment is a planning tool that is used to evaluate the effectiveness of an emergency response plan and the ability to implement it. A tabletop exercise is the choice methodology to use when conducting a capability assessment. In this exercise, key staff are presented a scenario of a simulated emergency. The exercise is designed to elicit discussion by participants as they attempt to resolve hazard-specific problems based on existing resources and procedures. Selection of the hazard should be based on actual or potential threats identified in the hazard vulnerability analysis. The results of the assessment should assist in identifying both strong and weak points in current plans and should provide direct input into plan development or review. A Capability Assessment can be used to identify several key personnel and resources that are needed to ensure the ability to respond to an emergency and continue its operation.
Step 5: Testing Drills and Exercises
Providers should conduct practical exercises to identify shortfalls, and incorporate lessons learned from the exercises. Exercises should be reality-based and test specific components of the Plan. Training and exercising go together with testing the effectiveness of a Plan. Plans should be tested as part of the planning process and NOT during the actual emergency. A debriefing session is conducted after each internal or multi-location exercise and policies and procedures are revised accordingly. Additionally, this Plan should be reviewed annually for necessary updates and revisions.
Step 6: Community Involvement
This is comprised of individuals or organizations that will play a role in response to an emergency. Consider providing a copy of the draft plan for review and comment to those participants. This step serves as an educational piece, as well as an opportunity for incorporating more expertise.
When appropriate, providers should coordinate their plans with the other building tenants. A building-wide or standardized plan for the whole building is acceptable provided that the employers inform their respective employees of their duties and responsibilities under the plan. When multi-employer building-wide plans are not feasible, employers should coordinate their plans with the other employers within the building to assure that conflicts and confusion are avoided during times of emergencies. In multi-story buildings where more than one employer is on a single floor, it is essential that these employers coordinate their plans with each other to avoid conflicts and confusion. Because of the level of detail and coordinative planning associated with evacuations, each provider should develop an evacuation annex to the overall agency emergency management plan.
Step 7: Response
The Plan needs to bring together all the core concepts, capabilities and response mechanisms and assemble the information into a systematic format. This part of the Plan is the most crucial as it identifies the providers response to an event. The chain of command needs to be formally identified to alleviate confusion during an actual emergency. In addition, it also provides a good opportunity to identify primary and alternate staff to fill the positions and to maintain a manageable span of control.
Step 8: Planning for Recovery
Actions in this area should be developed to address questions such as: How long will it take to recover from an emergency? What programs are available to support in the recovery process? This step of the planning process should identify the short-term and long-term recovery steps, which should include seeking technical and fiscal assistance from all levels of government (local, state, and federal) in the disaster recovery process.
Step 9: Plan Approval
This step will formally identify the command and control document that OASAS will review during a re-certification and or site visit from our Regional Office. The Plan must be reviewed and approved annually by the Chief Executive and Board of Directors. A log must be maintained and signed by the Executive Director acknowledging the annual review.
Step 10: Update the Plan
The Comprehensive Emergency Management Plan must be reviewed and updated annually. It must also be re-evaluated at the end of an incident, regardless of its magnitude, for the purpose of review, training, and future enhancement of the Plan. A debriefing session will be conducted after each internal or multi-agency exercise and policies and procedures revised accordingly.
SOURCE(S) OF FURTHER INFORMATION
Questions on the contents of this bulletin should be directed to OASAS Emergency Response Manager at (518) 485-2319 or via email to [email protected].
Copies of all active Local Services Bulletins are available on the OASAS Website.
/s/ Arlene González-Sánchez