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Welcome

Managing Beyond the Crisis: Reflect, Refresh, and Rethink –

How to Move Your Organization Forward

Managing Beyond the Crisis

Lauren Frary, MA, LRC, CSWExecutive Director

The Arc of Somerset County (NJ)

About The Arc of Somerset County

• Incorporated in 1972

• Started with 1 program – pre school

• Initially had 16 children and 4 staff members

The Arc of Somerset County Today

Today:

• 35 separate programs throughout the county

• 1,400 Children, Adolescents, and Adults served

• 17 Million annual budget

The Arc of Somerset County

• Full range of programs• Early Intervention• Day Care• Pre School• Respite (self hired and Saturday)• Parenting & Family Support• Residential• Employment/Day Hab/Supported Employment• Integrated post-secondary academic program (College

Program)• Camp• OT/ PT

Disaster Definition

“A serious disruption occurring over a short or long period of time that causes widespread human, material, economic, or environmental loss which exceed the ability of the affected community or society to cope using its own resources”

• Wikipedia

Disaster

• Key Elements/Examples:

• Serious disruption (Political unrest/riots)

• Widespread human, material, economic, or environmental LOSS (Weather Events/Pandemic)

• Exceeds the ability for the community to cope with their own resources (Requires FEMA/OEM/others)

In My Time…

• Since becoming Executive Director I have experienced:

• Hurricane Floyd• 9/11 Terrorist attack on NYC• Super storm Sandy• Hurricane Irene• Active Shooters• Fires/Floods/Power outages (lasting more than 8 days)

What Have We Learned?

• Plan for the worst (this is not the time to be optimistic)

• We can do more with less

• Many of our facilities are not necessary

• Flexibility and variety of funding sources is key

• Services can be offered in a variety of mediums

• Communicate, Communicate, Communicate

Disaster Recovery

Assuming you have a Disaster Master Plan and/or response plan…

A Disaster Recovery plan is just as important, if not more so…

Purpose

The Sole purpose of a Disaster Recovery and/or Business Continuity plan is to…Maintain a minimum level of service

While…Restoring the organization to business “as usual”

Why?

According to some estimates, up to 40% of small businesses that experience a disaster never

reopen their doors.

Who?

Everyone needs a disaster recovery plan:

• Nonprofits to continue funding and services• Governments to assure continued funding and

existence• Communities to protect and strengthen their

populations

The Difference

The Difference between Disaster Recovery/Emergency Response Plan (DR/ER) and Business Continuity is:

• Disaster Recovery/Emergency Response is Reactive; its focus is to pick up the pieces and to restore the organization

• Business continuity is Proactive; its focus is to avoid or mitigate the impact of a risk

** Disaster Recovery is an integral part of a Business Continuity Plan – you need BOTH

Disaster Recovery/Emergency Response (DR/ER) Plan

Can include but not be limited to:

• Emergency procedures for evacuation/shelter in place/ quarantine

• Internal warning systems

• Contact information for employees/families

• Emergency supplies

• Individual preparedness (register ready)

An ExampleShelter in Place Policy


Emergency Operations Plan

Shelter in Place

PURPOSE: To provide The Arc of Somerset County staff with guidance in the performance

of their duties in the event of a Shelter in Place incident.

OVERVIEW: The Shelter in Place policy is not intended to stand alone and should be

initiated as a response to an emergency situation. Authorized personnel should consider

sheltering in place based on the current situation. The incident threats could be a terrorist

threat, chemical release, pandemic, tornado, blizzard, or another severe weather event. All

could potentially warrant sheltering within our facilities.

Shelter-in-place involves special considerations depending on the incident threat. Many of

the individuals served may be medically fragile and/or dependent on mechanical support

equipment, thus all agencies Director level staff must be trained on shelter-in place

procedures to progress in a planned and orderly manner.

POLICY:

The Arc of Somerset County’s warning plan and shelter-in procedure for emergencies is

available on the agency server and located in each program location. Local Somerset

County Office of Emergency Management (OEM) will be provided a copy of our Emergency

Operations Plan and will provide updated information to Executive Staff.

To ensure the plan runs efficiently and successfully, certain aspects of the plan must be

maintained and updated for new learning and response to local conditions/resources. The

Agency Safety Officer along with the Safety Committee is responsible for conducting a

scheduled review of the protocol annually. Updates should be coordinated with the Executive

Director.

ACTIVATION

Authority to Activate: Not all emergency situations require sheltering in place. When it

becomes apparent that an external or internal danger may result in injury, possible exposure,

or loss of life to individuals served, visitors, and staff, the Executive Director is responsible

for ordering the facility or department(s) to shelter-in-place.

The Incident Commander is the responsible authority to order shelter in place. The IC is

designated as the Associate Executive Director of The Arc of Somerset County. Additional

authority is by designation and with the Incident Commander

Decision to Activate: Sheltering-in-place should be ordered based on the circumstance of

the threat/and or directives from local/ county or state authorities. Executive Management

should evaluate the nature of threat as it occurs, evaluate availability of resources, and

reassess regularly to determine the proper course of action. Individuals served should be

sheltered in place only when necessary. In some situations, it may be safer and more

medically responsible for The Arc of Somerset County to shelter in place verses evacuation

of departments and/or buildings. In an emergency in which personnel and individuals served

are safer inside the facility than outside, shelter-in place should be ordered. The Executive

Management may decide an evacuation is more appropriate given the incident.

Activation of EOP:

• The decision to implement the Emergency Operations Plan (EOP) should be determined

by the Executive Director or Incident Commander ( IC) The IC should retain the full

authority and remain responsible for the decision-making process until relieved by The

Executive Director or designee.

• The Shelters within The Arc of Somerset County that will be used in order of priority:

o All available Residential vacancies

o Jill Court ATC (3 Jill Court, Building 15, Hillsborough , NJ)

o Camplain Road ATC (2320 Camplain Road, Hillsborough , NJ)

o Branchburg ATC (161 Industrial Parkway, Branchburg, NJ)

The Incident Commander will:

• Activate facility EOP.

• Appoint Lead Staff

• Activate the Communications Center (points of contact and dissemination of

information). As a potentially life-threatening emergency situation, all staff would

continue to follow notification minimally required for Unusual Incidents

• Determine if shelter-in or evacuation is appropriate.

• Order the organized and timely sheltering-in of the facility.

• Identify quarantine locations

• Provide guidance/ directive with regards to visitors access to program locations

The Public Information Officer:

• Conduct regular meetings with media on situation status and appropriate patient

information. This is not to supersede policy regarding Media Representation as the

sole discretion of the Executive Director.

• Oversee patient family notification when needed.

The Foundation Director:

• Work with communication center and coordinate with external community partners

about facility status and shelter in place order.

• Will solicit support and donations for basic needs

• Will communicate via all media outlets the status of programs including

communications to affected families and guardians

The Safety Officer ( AKA Associate Executive Director)

• Oversee immediate stabilization of facility.

• Recommend areas for immediate shelter-in-place to protect life.

• Work with emergency response, including local first response teams, to ensure safe

shelter in place of persons served, staff, and visitors.

The Maintenance Director:

• Monitor facility damage and initiate repairs of incident site(s), as appropriate, as long

as it does not hinder sheltering in of the facility.

• Coordinate resources.

• Coordinate communications with local infrastructure utilities such as gas, electric, etc

The Finance/Administration Section:

• Keep records and manage funds.

• Record daily cash flow report

• Determine all available resources that can be assessed

• Make resources available as needed

The Supply Coordinator

• Will research additional resources for essential food and supplies (PPE)

• Will assess the needs of each program

• Will coordinate supplies and distribution to programs/ families

IT Director

• Manage IT systems

• Initiate Disaster Recovery Plan if/ when appropriate

• Provide resources for work from home scenarios

OPERATIONS:

Program Directors will initiate and perform the following duties, during a sheltering-in.

• Identify sheltering location • Rapidly receive information from field incident command on current situation and

recommendations, etc. • Upon orders to Shelter in Place, program staff is responsible for rapid initiation of

shelter-in place protocol.

• Staff should act immediately and orderly to follow the instructions and preserve

needed functions of service to recipients.

• All staff are responsible to follow local laws and guidance from local OEM or other

response entities that have special instruction.

• In general perform the following in the event of a shelter-in-place: o If appropriate to situation, follow severe weather shelter in place protocol. o If appropriate to situation, follow chemical release shelter in place protocol.

o If external event, assist everyone outside the facility inside as quickly as

possible.

o Secure appropriate access to the facility and incident area.

• Staffing Guidelines: Each program staff is responsible for his/her individuals served.

The following guidelines should be observed:

o If necessary, transfer individuals served to designated shelter-in locations.

o Ensure each consumer served has the following

▪ Blankets and pillows

▪ 5 days worth of clothing

▪ Shoes / waterproof boots

▪ All medications

▪ Adaptive equipment

▪ Special dietary equipment and foods

▪ Personal hygiene items

• Command Staff will identity and address issues associated with ongoing shelter in

place within the facility.

• ALL CLEAR SIGNAL: The IC will contact the OEM and Executive Director to provide the all clear signal.

• RECOVERY AND RESPONSE

Please refer to The Arc of Somerset County’s Disaster Preparedness and

Recovery Plan

MUTUAL AID AGREEMENTS:

Mutual aid agreements/ Memorandum of Understanding (MOU) regarding medical supplies,

equipment, and other resources should be kept up-to-date and regularly maintained.

Organization Supplies Contact Phone Number Back-up

Phone #

The Arc of

Hunterdon

County

Out of

County

Shelter

Executive

Director 908.730.7827

RWJ/ BH

Hospital

Care for

medically

Fragile

Community

Outreach

Coordinator

908-685-2200

Somerset

County Office

of Emergency

Management

Shelter

supplies,

medications

Director,

Doug

Vornlocker

908-725-5070

908-231-

7000

STAFF TRAINING and EXERCISES:

• The Arc of Somerset County Director level staff will be trained regarding the policies

and procedures of the Shelter in Place Policy.

• Exercises will be done to evaluate plans and individuals retention of training.

• Plans will be revised to address issues and problem areas that were discovered during

the above exercise.

• The Arc of Somerset County will incorporate governmental, emergency management,

and public health officials in local response for local planning and community

exercises.

**Please also refer to

• The Arc of Somerset County’s Disaster Preparedness Plan’s

• The Arc of Somerset County’s Disaster Recovery Plan

• The Arc of Somerset County Program Relocation Plan

Date of Executive approval: 9-18-18

Review dates: ___9/4/2019__, 3/18/2020_________________

Business Continuity Plan

Can include but not be limited to:

• Essential Functions• Hazard/RISK assessment• Delegation of authority• Communication plan• Facility and equipment• Vital records and data• Essential personnel• Insurance

Emergency Management Cycle

Disaster Recovery – Plan Elements

• Evacuation/isolation/shelter in place

• Internal warning/notification system

• Contact information for all employees/service recipients/ families

• First Aid/emergency supplies/PPE

• Individual preparedness

An ExampleDisaster Recovery Manual

Business Continuity Plan Elements (1 of 2)

• Define essential functions

• Complete a Hazard/Risk assessment

• Delegation of authority – define roles

Business Continuity Plan Elements (2 of 2)

• Communication Plan/roles

• Facility and equipment inventory

• Vital records and data/corporate documents

Inventory

Take inventory of all IT (Information Technology) assets:• Hardware• Software applications• Data• Applications, storage devices, servers , access points,

network switches, and network applications• Include the physical location of the asset• Identify the back up location

Inventory: Data

• Ensure spyware/malware detection software on all work computers is installed

• Back up your data – off site

• Be sure someone is crossed trained to recover data (or obtain a MOU for an outside vendor)

Inventory: Other Assets

Take an inventory of all other vital assets

• Property

• Vehicles

• Office space

• Equipment/PPE

• Data bases – donors/staff/persons served

Understand what items/people can be repurposed or relocated in the event of a disaster

Perform a Risk Assessment

• This is the process of identifying potential hazards and risks to the organization, persons served, and finances

• Go through all of your business functions and identify all the risks to that function

• Prioritize the risks• Probability of the occurrence• Impact on the organization

Risk Assessment

• Risk Assessments should be an annual event that involves input from major stakeholders

• As societal/environmental challenges change, so too should your risk assessment tool

• Remember the risk to reputation and donor relations as a key element to your risk assessment

ExampleRisk Assessment

Risk Management Plan

2020

The Arc of Somerset County is committed to long-range planning to ensure service continuity and, therefore, to a

formal and periodic risk management process. Specifically, we are committed to risk management as a way to:

• Identify any loss exposures • Analyze and evaluate any loss exposures

• Identify a strategy (including techniques and/or actions) to be taken to counter any potential losses or identified exposures

• Implement the most effective strategy/plan to reduce risk • Provide ongoing monitoring of any actions taken to reduce risk

• Report results of actions taken to reduce risks

• Include the results of risk reduction activities in performance improvement activities.

This plan document contains both the permanent risk mitigation activities/systems engaged in by The Arc of Somerset County, its annual assessment documentation, and current year action items as developed through analysis of exposure.

Permanent Activities/Systems:

This portion of the plan will serve to catalog the major risk mitigation activities and related systems that remain as permanent and ongoing procedures at The Arc of Somerset County. If, in a given year assessment reveals the need for additions or edit to ongoing activities, this portion of the plan will memorialize such changes when they are established operationally. This portion of the plan is intended as a guide to current risk management at the agency.

The full breadth and definition of larger processes such as programmatic compliance to state incident reporting regulation, the related list of incidents tracked or a complete listing of financial controls are beyond the scope of this document. Detailed information on these items is contained in The Arc of Somerset County Operations Manual or the operations manual of the specific department(s) where they apply.

Some overlap where illustrative or equally crucial to more than one department or area is noted in the table of permanent risk management systems. Some items may be highlighted for further explanation elsewhere specifically as they satisfy multiple mitigation activities, cross multiple departments, or are a relevant example of compliance or beyond with a key regulatory partner. Sample documentation may also be included where applicable to show the process. These examples are not all inclusive.

Annual Assessment:

This portion of the plan will serve as The Arc of Somerset County’s process to evaluate changes in current risk, the state of mitigating controls, and attend to edits in the plan or operational processes. The attached assessment will be distributed annually among The Board of Directors, key agency personnel, and when deemed appropriate, stakeholders in partnership with the agency. Results will be aggregated and goals for the coming year identified to improve specific management activities or items and reduce loss exposure.

Annual Analysis & Action Items:

All analysis as mentioned will be reviewed jointly at the board and management level for the purposes of setting action items. Annual results of both the assessments and post analysis will be included as part of the plan in each year. Updates toward completion or edits as required due to barriers or new learning will be recorded as needed by management as updates within a current year and presented to The Board of Directors. In detail:

1. As per the calendar of the Board of Directors annual risk assessment will be distributed to board members, director level staff, other key personnel as needed or requested.

2. Responses will be collected and aggregated by the Quality Management Department highlighting top responses and trends.

3. Results will be shared with the Board of Directors and recommendations for improvement activities for the current year determined and carried out by applicable staff directed by the Advisory Council and the appropriate department director.

PERMANENT RISK MANAGEMENT SYSTEMS 2019-2020

MITIGATING ITEM / ACTIVITY RISK CATEGORY

PHYSICAL FINANCIAL HR TREND

AWARENESS REPUTATION

MAINTENANCE & SAFETY PROPERTY REPAIRS TRACKED BY PROPERTY WORK ORDER

REQUEST #, INITIALED WHEN COMPLETE, RELATED RECEIPTS

LABELED BY WORK ORDER REQUEST #

X X

VEHICLES (Quarterly Vehicle Inspection Report) CHECKLIST,

DISTRIBUTED UPON COMPLETION, WORK ORDER # NOTED, REPAIRS NOTED, RELATED RECEIPTS LABELED

X X

PROPERTY PREVENTATIVE MAINTENANCE MONTHLY CHECKLIST,

WORK COMPLETED ON SITE OR REFERRED TO WORK ORDER #, RELATED RECEIPTS LABELED

X X

PROPERTY QUARTERLY MAINTENANCE & SAFETY INSPECTION REPORT, WORK COMPLETED ON SITE OR REFERRED TO WORK

ORDER REQUEST #, RECEIPTS LABELED, REVIEWED BY SAFETY

COMMITTEE

X X X

5 YR MAINTENANCE PLAN X X X SAFETY COMMITTEE REVIEW OF SAFETY 1ST PROGRAM, WC AND COMM LOSS

X X X X X

COMPLIANCE WITH STATE AND LOCAL INSPECTIONS, FIRE, BOARD AND DEPARTMENTS HEALTH WHERE APPLICABLE

X X

PROPERTY/VEHICLE ON-CALL EMERGENCY RESPONSE SYSTEM, TRACKED BY WORK ORDER REQUEST #, INITIALED WHEN

COMPLETE, RELATED RECEIPTS LABELED BY WORK ORDER

REQUEST #

X x

PROGRESS OF ALL OPEN WORK ORDER REQUESTS CHECKED

DURING DAILY PROGRESS MEETINGS x x

ORION Fleet Intel. x x x x x Vehicle Use and Safety Manual x x x x DRYER VENT MONTHLY/ANNUALLY X X FINANCE CHECK REQ SECOND APPROVAL X TWO CHECK SIGNERS X MONTHLY STATEMENT APPROVED BY FINANCE COMMITTEE X X FRAUD/WASTE/ABUSE/ETHICS LINE X X X CODE OF ETHICS X X X AGENCY AUDIT X X X ATTENDANCE REVIEW X DELEGATION OF FINANCIAL AUTHORITY X X CONTINGENCY PLAN X X X FEDERAL AND STATE 990 W/BOARD & COMMITTEE REVIEW X X CONSUMER ATTENDANCE REVIEW X X X ANNUAL FINANCIAL FORECAST X X CREDIT CARD PROGRAM FINANCES X X X

FFS BILLING AUDITS X X BUSINESS PLAN X X X

MITIGATING ITEM / ACTIVITY PHYSICAL FINANCIAL HR TREND

AWARENESS REPUTATION

CONSUMER SERVICES & RELATED STATE UIR PROCESS, OPIA SCORECARD, QUALITY TRACKING,

QUALITY AND SAFETY COMMITTEE REVIEW X X X X X

ACCREDITATION AND LICENSING PROCESSES AND REVIEW, CARF, ACA, DCF, DHS OOL, DDD AND ALL RELATED COMPLIANCE

ACTIVITIES X X X X X

ADDITION OF JDCCF CAMERAS, CHILD SAFE STANDARDS X X X ROTATION OF KEY CODE CHANGES: GH/JDCCF X X X FFS DOCUMENTATION AUDITS/LEVEL APPROVAL X X X ACTIVITY BASED PROGRAMMING X X X HUMAN RESOURCES & INSURANCES FRAUD/WASTE/ABUSE/ETHICS LINE X X X BACKGROUND, OIG, MVR, ABUSE REGISTRY CHECKS UPON HIRE

AND REGULAR AS APPLICABLE X X

ALL INSURANCES AND BROKERS REVIEWED ANNUALLY X X X ANNUAL INSURANCE UPDATE TO BOARD X X X X X EMAIL ENCRYPTION X X X 24 HOUR ACCIDENT INVESTIGATION X X X X X KOMNINOS LAW X X X X GOVERNANCE ANNUAL RISK MANAGEMENT ASSESSMENT X X X X X DELEGATION OF FINANCIAL AUTHORITY X X MAINTENANCE OF MISSION AND BYLAWS X FEDERAL AND STATE 990 W/BOARD & COMMITTEE REVIEW X X ANNUAL AUDIT ENGAGEMENT AND REVIEW X X DEVELOPMENT GRANTING SCHEDULE X TIMELY SPENDING POLICY X X REGULAR PR ACTIVITIES X X X VOLUNTEER RECRUITMENT, RETENTION AND TRACKING X X FOUNDATION DEVELOPMENT X X X X PLANNED GIVING X X X X GOLF EVENT/CAMPAIGN X X X

DEFINITIONS:

RISK CATEGORIES

• PHYSICAL: Threat to people and property. Risk to persons or property of consumer, employee, or agency

• FINANCIAL: Threat to income and ability to accomplish goals. Risk to the financial viability of the agency,

through fraud, waste, abuse, error, or reduction/elimination in critical funding

• HUMAN RESOURCES: Threat to people, goodwill, and ability to accomplish goals. Risk to personnel policy or law,

adopted or regulated agency ethics, viability of personnel, recruitment or retention

• REPUTATION: Threat to goodwill. Risk to the internal or external perception of the agency and its services as

held by stakeholders at all levels including funders current and potential and the general public not in receipt of

services

• TREND AWARENESS: Threat to ability to accomplish goals. Risk to the vigilance of the agency to critical items, its

transparency to stakeholders at varying levels or its ability to self monitor for strategic or operational

improvement

MITIGATING ACTIVITY AREA

• MAINTENANCE AND SAFETY: The maintenance and safety department, safety committee, and related

regulatory partners of The Arc of Somerset County

• CONSUMER SERVICES AND RELATED: All consumer service departments, related external regulatory partners ,

and the Quality Management Committee of the board of directors of The Arc of Somerset County

• FINANCE: The finance department, finance committee of the board of directors, and related regulatory partners

of The Arc of Somerset County

• HUMAN RESOURCES AND INSURANCES: The human resources department, the human resources and

compensation committee of the board of directors, related vendors and regulatory partners of The Arc of

Somerset County

• GOVERNANCE: The board of directors, all associated committees, and applicable duties as assigned to

management of The Arc of Somerset County

• DEVELOPMENT: The development department, related development activities as delegated agency wide, and

the development committee of The Arc of Somerset County

ANNUAL ASSESSMENT (Sample):


Risk Management Plan and Assessment

Background:

The Arc of Somerset County is committed to long-range planning to ensure service continuity and, therefore, to a formal

and periodic risk management process. Specifically, we are committed to risk management as a way to:

➢ identify any loss exposures ➢ analyze and evaluate any loss exposures ➢ identify a strategy (including techniques and/or actions) to be taken to counter any potential losses or identified

exposures ➢ implement the most effective strategy/plan to reduce risk ➢ provide ongoing monitoring of any actions taken to reduce risk ➢ report results of actions taken to reduce risks ➢ include the results of risk reduction activities in performance improvement activities.

Risk Management Plan:

The Executive Director or delegate(s) is responsible for ensuring that an annual risk management assessment is

conducted and for reporting the findings of that assessment to the organization’s leadership. To that end, the Executive

Director has established the process to distribute and analyze the attached assessment tool engaging The Board of

Directors, Agency Directors and other key stakeholders as designated.

Current assessment: This document provides documentation of our current risk management assessment, conducted in a given year. The

results will be used to guide the efforts of the Advisory Council, strategic planning process and appropriate

departments/committees.

Assessment Instructions:

Key Stakeholders and personnel are to complete the following:

2020 Arc of Somerset County Risk Management Assessment Please complete the following questions based on your areas of familiarity. Where requested, evidence of answer will be beneficial in advancing the agency conversation regarding current risk mitigation activities. Potential gaps in risk mitigation as known to you may similarly be listed.

1. HIGH**Do we anticipate significant changes in the types of people we currently serve? (For example, is it anticipated that we will need to serve more people who do not speak English as their primary language? Is it anticipated that the medical needs, age, or cognitive capacity of those we serve will present new demands? If yes, describe the impact of these anticipated needs in terms of fiscal and human resources and the projected impact on service delivery.) Include where possible sources of evidence to support this change.

(Insert narrative answer/response here)

2. HIGH**Do we have sufficient policies and procedures in place to comply with Medicaid funding regulations and minimize the risk of inaccurate billing, compliance assurances and maintenance of cash flow?


3. Does it appear that our inventory and accountability system for

office equipment, computers, and other high value items is sufficient to protect against loss, theft, or inappropriate use? Has there been a known loss to support this? If no, identify a course of corrective action. (Insert narrative answer/response here)

4. HIGH**Does our physical plant at all locations provide reasonable security for people and staff members? If no, identify improvements and/or changes needed to rectify the problem. Include specific items or needs related to the locations you are aware of.


5. MID**Have we conducted an accessibility evaluation at all program locations to identify all barriers to accessibility and develop a plan for elimination of all identified barriers? If no, list the projected date for the completion of the accessibility evaluation.


6. HIGH**Does our health and safety program appear effective in identifying possible risks and hazards? If so, how does it accomplish this? If no, list all problem areas and a plan of corrective action. Is the health and safety program available for review and subject to input from accrediting/regulatory bodies? Have you been presented with relevant information from the health and safety program.


7. MID**Do we have an adequate oversight system in place to minimize the risk of misappropriation of funds? If yes, how does the system accomplish this? If no, what plans do we have to address that situation? What funds if any were identified as misappropriated in the past year?


8. Does our corporate compliance program appear to be effective in preventing fraud, waste, and abuse? If no, what changes need to be made and what specific weaknesses exist?


9. MID**Does it appear that we will face increased business competition or loss of revenue in the next eighteen months? If yes, provide an estimate as to how that competition/loss could affect our revenue generation efforts and client base. Please be specific in the source of competition/notice of revenue loss.


10. HIGH**Does it appear that we have sufficient insurance coverage to protect our assets and protect our personnel in the event of a lawsuit? If no, describe any shortfalls in insurance coverage that need to be addressed. Please describe review of insurances and/or define the location of coverage information for review.


11. HIGH**Are our emergency plans and procedures adequate to provide for the health and safety of persons served, personnel, and visitors in the event of actual emergencies? If no, please describe any changes that need to be made. Please describe any actual event that provided evidence of strength/weakness.


12. Describe our most significant challenge in the next eighteen months. Include an assessment of how that challenge will impact us and, more critically, how we will meet that challenge.


13. MID**Are our policies and procedures regarding business associates, business agreements, and confidentiality of client information consistent with federal and state laws and, more specifically, the Health Insurance Portability and Accountability Act (HIPAA)? If yes, please list basic measures taken to adhere to law. If no, describe plans for ensuring compliance with HIPAA and the projected date for compliance.


14. Do we have sufficient hardware, software, peripherals, and other technology to acco mplish our mission and provide quality care? If no, describe any purchases/acquisitions that need to be made and the projected time line for acquiring the technology necessary to support persons served. Please be specific when defining a need or process that requires increased technology.


15. HIGH**Do we have sufficient policies and procedures in place to minimize the risk of consumer abuse, neglect, and exploitation? Please consider abuse both sexual and otherwise of adults AND children within our service.


16. Do any of our policies and procedures have the potential to put us at risk and/or subject us to legal liability? If yes, identify the policies and any changes/revisions that need to be made and the time line for making the changes.


17. Describe any immediate action(s) that needs to be taken to ensure the long-term viability of The Arc of

Somerset County’s Services.


_______________________________________________ Date: ________________

Printed Name

Title

Planned 2020 Priorities:

Risk Options

AVOID/Transfer the Risk• Usually the most expensive option• Outsourcing major functions

MITIGATE the Risk• Less expensive• Reduces the impact

ABSORB the Risk• Allows for reassessment of old processes/functions

Define Roles and Responsibilities

Delegation of Authority The Executive Director can’t and should not manage a

disaster alone.

• Separate the roles of the Executive Staff

• Have back up personnel for key roles

• Create a list of key roles, their responsibilities, and any equipment they may need

Roles and Responsibilities

Key Roles:

• Incident/Disaster Commander• IT recovery and back up • Employee Liaison• Donor Relations• Family and Consumer Liaison• Safety and Security Director

Create a Comprehensive Communication Plan

• Outline the protocol for communicating with key people

• Ensure all employees have updated their contact information

• Communicate clearly, consistently, and honestly regarding the status of your organization

• Use social media to your advantage

• Consider creating a HOTLINE for particular segments of your business

Facilities and Equipment

• Take an inventory of all facilities

• Which can be easily converted into a Shelter

• Work with local Emergency management for shelter requirements

• Create MOUs with local facilities for back up sheltering –churches, nursing homes, schools

• Define what equipment is portable

Vital Records/Data

• Make sure vital records can be accessed off site

• Ensure EHRs can be accessed off site/stored electronically and securely

• Put corporate documents on a server that can be accessed off site, stored electronically and securely

Outline Disaster RecoveryProtocol for Employees

Employees are our greatest asset• Disaster recovery must make provisions for employee safety and

security

• Create roles and action steps for each type of disaster• Consider employees may be dealing with their own family needs

during a disaster

• Cross-train staff to support multiple roles• Include the provision of supporting employees in your shelter

plans (if you have shelters)• Ask donors to support both your organization and your employees

Disaster Protocols:Vendors/Service Providers

Incorporate disaster protocols with vendors/service providers:

• Consider your major business partners/insurance brokers

• How can they assist during a recovery period (delayed billing; emergency services, etc; suspension of premiums)

• Review contract to ensure that there is a maximum response time to address your issues

Train and Test

• Train all key staff on the Disaster Recovery plan

• Make sure they have access to the plan

• Conduct “disaster drills” of various types at least annually

• Discuss any “gaps” in the plan and revise accordingly

• Consider sharing your plan with local authorities for input, recommendations, and awareness

Service Considerations

• Where can you relocate your services?

• Create MOUs with other facilities

• Can volunteers supplement staffing?

• Virtual or other mediums for program substitution

Business Continuity

What to protect:

• Our Employees and Service population

• Services/Supports for service population

• Critical Support/Operations • Human Resources• Finance• Boards• IT• Facilities/Safety and Security

ExampleBusiness Continuity Plan

Coronavirus

Response

Business Plan

3-1-2020

“The Arc of Somerset County provides a lifetime of comprehensive services, advocacy and supports to individuals with intellectual and developmental disabilities and their families to promote growth, achievement and ongoing involvement in the community”

Prepared by:

Lauren Frary, Executive Director

Chris Corv ino, Associate Executive Director

Herbert McMullen, Director of Finance

Coronavirus Response

Business Plan

• Introduction:

This interim financial response plan is based on what is

currently known as of 3/1/2020 with regards to the financial

impact of the Coronavirus . The Arc of Somerset County will

update this interim business plan as needed and as

additional information becomes available.

Potential Reduction of RevenueRevenue Source Amount of

impact- weeklyStatus Notes

Loss of Billing for Day program and other

Medicaid Fee for Serv ice billing

Will the state provide Gap

Funding?

Are there alternate services that

can be billed?

Are there alternate formats for

services?

Loss of Tuition for Developmental Day

Care program

Will the state provide Gap

Funding?

Are there alternate services that

can be billed?

Are there alternate formats for

services?

Reduction due to cancelation of Early

Intervention Serv icesTele therapy being offered?

Reduction in Tuition due to Camp being

Suspended for Summer

virtual Camp – we have some

restricted funds for this.

Reduction in TAC tuition – Offering v irtual

summer programming; Full in person

classes will be offered in the fall

Billing for summer tuition has

begun; Fall billing will begin shortly.

Roster for TAC is full

Potential Increase in Expenses

Expense item Amount of impact-weekly

Progress Notes

Overtime to staff Residential

Programs 24 hours a day

State providing some gap

funding?

Additional supplies needed – food ,

cleaning , PPE

Fundraising/ Donations are a

source.

Consider local / County OEM

Expenses related to professionally

clean facilities

Get estimates early

Employee incentive Bonus Enhanced salaries for all

employees to keep them

engaged

Expenses related to additional IT

needed for “work at home” and

virtual programming

ZOOM licenses, micro phones

& camera

Sources of revenue to considerProposed Resolution Amount

availableProgress Notes

Agency Operating Should have 3 months, ideally

between operating and

reserves

Agency Reserves Are they readily available as

cash?

Maintenance Reserves Consider catastrophic

damages / roofs/ trees etc

Foundation/ Investment Account What is the allocation of cash

Bank Balances

Line of Credit Do you have multiple lines in

the event of an emergency?

Fund raising / crowd funding Encourage stakeholders to

fundraise for you

Private foundations Specialized disaster grants-

FEMA/OEM

Local/ County / CARES/ FEMA etc…

grant programs

Other ConsiderationsProposed Resolution Amount Progress Notes

Delay PayablesEverything is negotiable

Furlough non essential employeesCross train now, so you are prepared

Reductions of non essential employee hours Work should be towards key / essential functions only

Property sales/ eliminate “lazy assets”

Insurance Costs/ Legal considerations ( law suits)Can premiums be lowered for vehicles/ facilities not being used.

Make sure your policies have coverage's for common disasters –be aware of exclusions ( i.e. virus exclusion on business interruption policy )

Assumption that current grant cycles will remain intact (County grants, CDBG grants etc)

Will granters allow flexibility or deferral of expected outcomes.

Advocacy – make sure your legislators are aware of the impact of the disaster on their constituents.

Appeal to your legisilaters to ensure your population / business is included in all relief efforts

Who Is Involved

Everyone

• Executive management

• Leadership/middle management• Boards• Donors

• Vendors/business partners• State and local Emergency Management

Conclusion

“Planning is bringing the future into the present so that you can do something

about it now.”- Alan Lekein

managing beyond the crisisconvention.thearc.org/wp-content/uploads/2020/11/... · 2020. 11. 3. ·...

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