expect the unexpected: responding to a critical event · •you need to know where your documents...

EXPECT THE UNEXPECTED: RESPONDING TO A CRITICAL EVENT Alice Burns, Director of Client Services

Chris Yowell, President

Celerity Consulting Group Northeast Gas Association Spring Operations Conference

April 7, 2016 11:00am

Northeast Gas Association Spring Operations Conference April 7, 2016 –

Agenda

Introduction

An incident roadmap

Phases of information requirements

Strategies for success

But first…why are we here?

Celerity Consulting Group, Inc.

Founded in 2001

We help clients turn data challenges into valued information and reliable records.

Cross-functional team approach.

Professional Engineers, Lawyers, Records Management Experts, MBAs,

eDiscovery Experts, Certified Forensic Experts, PMPs

Customers include four largest utilities.

We assist Gas with regulatory response, litigation, and engineering and

operational initiatives.


Relevant Critical Response Experience

• Storm Damage

• Transmission Pipeline Incidents

• Distribution Pipeline Incidents

• Gas Storage Failure

• Residential Explosions

• Groundwater Contamination

• Oil Spill

• Infrastructure Accidents


Prevention Protection Mitigation Response Containment Recovery

An Incident Response Framework

Preparedness Response

Incident


Phases of Information Requirements

Company Investigation (immediately)

Emergency/Media Response (w/in 12 hours)

Regulatory/NTSB Investigation (w/in 48 hours)

Claims Filed (w/in 1 month)

Litigation

What You Can Expect

Information Requirements

Challenges

What You Can/Must Do



Emergency/Media Response (w/in first 12 hours)

What You Can Expect• Pipeline employees and emergency

responders on site

• Media onslaught

Information Requirements• Related to immediate situation (who, what,

where, and why) and whether/how to shut down the pipeline

• Safety-focused – Make Safe

Challenges• Tracking who is on scene

• Tracking rapid flow of information

• Tracking information given to Officials

• Reviewing responses and making sure consistent in response delivered

What You Can Do/Must Do• Document requests for information and

responses in a digital fashion

– Person, title, time, date, document name, etc.

• Activate Legal Hold

Records In Play• DOT Emergency Notification Form

• Drawings and As builts

• Repair/leak records

• CIS call records

• Statement by Company Official

• Photos and video

• Social media







LitigationWhat You Can

Expect


Challenges



Regulatory/NTSB Investigation (w/in first 48 hours)

What You Can Expect• Public service/utilities commission on site

• Root cause analysis begins

• Specific requests

IF…• Interstate event

• Involves more than $50,000

• Casualties or injuries

• Significant impact to Company’s business

• THEN NTSB will also get involved

Information Requirements• Related to root cause

Challenges• Timely finding records and data necessary

• Formatting and summarizing the data

• Coordinating requests and responses

• Making sure response are consistent

• Keeping NTSB investigation separate

What You Can Do/Must Do• Ensure no data spoliation

• Iterate on Legal Hold

• Formulate a plan (if you don’t have one in place already) to preserve and hold critical records – enterprise and custodian

• Begin selective records collection

• Need for separation of NSTB information from Claims/Legal information

Records Needed• Drawings and As builts• Repair/leak records• CIS call records• Statement by Company Official• Photos and video• Pipe/asset with a chain of custody form• Visual that demonstrates the history/lifecycle of the

pipe/asset







Litigation


What You Can Expect


Challenges


Claims (with in first month)

What You Can Expect• Starts quickly

• Will be overwhelming

• Run by claims/legal department

Information Requirements• Related to immediate loss

Challenges• Level of customer support required

• Paper-based forms

• Simple process belies complexity

– Validating claim integrity

What You Can Do/Must Do• Update to an electronic process

• Start simply (web-page with fillable PDF form)

• Document who, what, where, when and how

• Setup an email address for Claims, instead of using Fax machine to receive electronic PDFs of claims forms

Records Needed• Completed claims form

• Valid dated receipts

• Insurance information

• Customer service information







Litigation


What You Can Expect


Challenges



Litigation (Complaint with in 30-90 days; Discovery start with in

12-16 months from date of incident)

What You Can Expect• Preparing begins within the first 24 hours

(Legal Hold)

• Filing of complaints

• More data requests

Information Requirements• Related to historical operations and

compliance

• System-wide patterns

• Behaviors and decisions

Challenges• Limiting the scope of discovery

• Implementing a defensible process

• Being consistent with what was provided for investigation

• Tracking data related to departing employees

What You Can/Must Do• Ensure written legal hold is in place and iterated

regularly

• Interview custodians about records and things

• Create/implement a defensible process for preservation, collection and processing records

– Collect records in a forensically sound manner

• Work with IT/Records on preservation strategy

• Work with Legal/HR/IT to address employee departures

Records Needed• Any records or information that may be subject to

discovery requests

• Chain of custody forms

• Witness statements

• Subject matter experts/business interviews

Challenges and Success FactorsShifting the Burden

Fast-moving information

Multiple parties

Paper records

Dispersed information

Multiple requests

Impossible deadlines

Mapping required information to new PHMSA standard

Mitigation Tactics(Reduces Effort and Risk Post Incident)

Incident Response Plan -incorporating information needs

Records Retention Schedule

ESI Data Map

Information Management Platform

Information-Dedicated Team Members

Testing the PlanResponse Challenges(Increases Effort and Risk Post-Incident)


Diving Deeper: Records Retention Schedule

What it is• List of official types of business records

in the company

• Proscribes how long things should be kept -> OR WHEN THEY CAN BE DESTROYED

• Time period dependent on operational requirement, legal requirement, and historical value.

Who maintains it

How it helps• You need to know where your

documents are!

• Aids in responding quickly to requests, when used as a roadmap to where records reside and the department overseeing the record http://www.archives.nysed.gov/records/retention_mu-1_electric-gas-utility


Diving Deeper: ESI Data Map

What it is• A systems-based summary of

where electronic data resides

• Not a visual network diagram

Who maintains it• Not IT

How it helps

• You need to know where your documents are!

• Aids in responding quickly to requests, when used as a roadmap to where records reside and the department overseeing the record


Take a photo of document cover

Email to incident command

Diving Deeper: Information Management Platform

Purpose• You need to know where your documents are!

• You need to track your data and who you send it to!

Required Features

• Mobile Data Capture Capability

• You can do this with most mobile devices and a cellular connection

• Requestor (Name, Title, Company)• Request• Document Details (e.g. Document title,

date, other necessary details)• Date (if different)



Purpose• You need to know where your documents

are!


Required Features1. Mobile Data Capture Capability

2. Secure Document Repository with Multi-Party Support

1. Relevant documents are uploaded to hosted document review application

2. Permissions granted for access

3. Browse, search, print, highlight capabilities, export capabilities



Purpose• You need to know where your documents are!


Required Features1. Mobile Data Capture Capability

2. Secure Document Repository with Multi-Party Support

3. Data Request Tracking

1. Essential for effective and timely reporting

2. Tracks requests receipt/due dates/owners

3. Helps prevent redundant responses

4. Helps ensure consistent responsesCelerity Consulting Group, Inc. – Proprietary Business and Intellectual Property – Do Not Copy or Use Without Authorization




Celerity Consulting Group, Inc. – Proprietary Business and Intellectual Property – Do Not Copy or Use Without Authorization


Diving Deeper: Information-Specific Team Members

Additional Recommendations• Onsite data manager

– Works at direction of Company’s Legal/Regulatory departments

• Planning Section Chief

– Will be a full-time role

Data manager

Diving Deeper: Testing the Plan

Purpose:• Be sure you know where your documents/data are and

certain you can track and report!

How it Works:• Create scenarios (e.g., a regulatory agency request for a

certain document type; ask legal or regulatory team to define)

• Once a year, “press emergency response” – can you deliver in a timely manner?

Important Considerations:• Incorporate into Emergency Response Plan

• Involve Senior Management

• Records Organization for Regulatory Requirements

• Source Identification

• Potential Changes Year-to-Year• New Technologies

• Departed Employees

• Records Management InitiativesNortheast Gas Association Spring Operations Conference April 7, 2016 –

Celerity Consulting GroupInformation Management Specialists for Natural Gas

Website: www.consultcelerity.com

Contact: Alice BurnsDirector, Client [email protected]: 206-795-1994Toll Free: 866-224-4333


http://www.consultcelerity.com/

mailto:[email protected]

expect the unexpected: responding to a critical event · •you need to know where your documents...

Documents