Critical Incident Management
Critical Incident Management
The attached document developed by the Security Unit outlines a proposed protocol for dealing with crisis/critical situations
within the International Federation.
The terminology used to define such situations is Critical Incident and the definition of a Critical Incident is:
A situation that, threatens, or has impacted on, the safety / security of Federation personnel, assets or operations to the extent
that there is the potential to be a significant disruption or even incapacity to continue to operate.
Typically in most organisations the term crisis is used in the same context and organisations have crisis management plans.
Within the Federation one of our primary mandates is disaster response and recovery – arguably this is in itself crisis
management and hence by our nature we are a crisis management organisation. The term critical incident has therefore been
used so as to differentiate that this protocol is not aimed at introducing a new methodology for or operational planning for
disaster response, although aspects of this protocol could be utilised to strengthen some of our existing procedures, but rather is
aimed at situations that affect the Secretariat directly as opposed to the Secretariat responding to situations that affect others.
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INTRODUCTION
International Federation personnel-- including international and local staff, NS personnel and volunteers – operate in a wide
range of working environments around the world. By the nature of the work the Federation undertakes, personnel often operate
in a higher risk environment. As a result there is a requirement to have procedures to manage situations that may develop due
to this higher risk environment.
The actions required to manage a critical incident will vary depending on the situation, however the process involved should
follow a predefined sequence.
Emergency
Response Plan
Business
Continuity Plan
Scope
This paper outlines a critical incident management protocol for International Federation operations from Geneva headquarters to
country level, and includes operations carried out by PNSs under the security responsibility of the Federation. It incorporates the
notification process for incidents and provides guidance for managers on developing emergency response plans for situations
not covered by existing continuity plans. Guidance on the development of business continuity plans is contained in a separate
document.
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By definition an incident is a situation that causes a deviation from normal activities that requires specific corrective action.
A situation that, threatens, or has impacted on, the safety / security of Federation personnel, assets or operations to the extent
that there is the potential to be a significant disruption or even incapacity to continue to operate.
The term situation is used in the definition so as to be sufficiently broad to encompass, specific situations e.g. death of a
delegate or third party caused by Federation personnel, accidents with serious or multiple injuries, violation of status agreement,
kidnapping; or a major disruptive events such as a building fire or pandemic.
Management Senior manager2 manages the HoZ or in case of Geneva Department Incident managed through Geneva, field teams
Approach incident, and Geneva SMT advised Head/Director manages incident with provide information and act on direction from the
through incident reporting advice and if required direction critical incident manager, a support team may be
procedures. provided by higher management. deployed in the case of a field incident.
Reporting Normal incident report 3 Immediate verbal report via telephone Immediate verbal report via telephone
Requirements
1
The examples given are not exhaustive, but designed to be indicative.
2
The term Senior Manager is used as a generic term, dependent on the situation in the field this could be a Head of Operations, Country Representative,
Regional Representative, or a FACT/ERU Team Leader; in Geneva it will likely be a Department Head.
3
Security incident reporting procedures are outlined in the Security Section of the Fednet - go on FedNet-secretariat-security and then incident reporting.
NOTIFICATION AND RESPONSE PROTOCOL
The notification and response protocol for significant and major incidents is as follows:
INCIDENT
Key Initial Information
Requirements
Once an incident occurs or a developing situation is identified then the first manager to be advised has an obligation to ensure
that a report is made up the chain in order that ultimately senior management either in the field or in Geneva are made aware.
The first line manager involved automatically assumes the role of Initial Incident Manager until relieved by an appointed critical
incident manager. Annex A outlines and role and responsibilities of the Initial Incident Manager.
Upon notification of the incident the Head of Zone or in the case of Geneva the Department Head will assess the situation.
Dependent on this assessment a decision will be made as to whether the incident can be managed at the relevant field level or
department or whether, due to the seriousness, potential strategic implications or requirement for additional resources it should
be managed at a higher level. In which case the appropriate USG or Director is to be informed.
The Director will inform the Secretary General, who in consultation with the Director and if necessary, members of the senior
management team, will direct whether the incident is to be managed at field or department level or whether this is to be
managed by an appointed Critical Incident Manager. Annex B outlines the role and responsibilities of the Critical Incident
Manager.
If during the initial assessment it is assessed that the incident can be managed at field or department level then the relevant
USG/Director is to be informed in order that there is an awareness at a Geneva Senior Management level and so that resources
can be more readily mobilised if the situation should deteriorate.
NOTE: In accordance with the Federation’s incident reporting procedures, in the case of any incidents or situation in which
personnel safety or security are threatened then the Security Unit is to be informed immediately, regardless of any decision to
manage the incident at a lower level.
A CIM may be appointed by, the country manager, department head, appropriate Director/USG or the Secretary General
dependent on the level of the incident. The CIM is responsible for assembling the Critical Incident Management Team (CIMT)
and then managing the response to the situation, and is relieved from the responsibilities of their regular position for the duration
of the response. The CIM will have the delegated functional authorities necessary in order to commit the appropriate personnel,
equipment, finances and other resources to ensure an effective and timely response to the situation, or incidents related to the
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crisis. This would include access to a pre-authorized PEAR established for emergency situations so that funds could be
accessed immediately if required, as well as the authority to task across divisional lines and to zone offices.
The CIM will report directly to the appointing manager who retains the authority to replace the CIM at any time.
Best practice for crisis management argues that CIM should not be the either the HoZ or Secretary General for three reasons:
Other organizational issues may arise that require attention and management, outside of the critical incident affecting the
Secretariat. For example, an earthquake or hurricane occurs during the response to a pandemic. The appointment of a CIM
ensures organisation responds to the critical incident, while the rest of the organization responds to the organization’s regular
demands.
The senior manager provides oversight of the CIM and can replace him or her if required.
Staff members need to be able to elevate concerns with the CIM to a higher level if they disagree with decisions or actions
being taken.
A Critical Incident Management Team (CIMT) is to be established once details of the incident have been confirmed. From the
moment an incident is confirmed, the CIMT takes over all line and operational responsibilities of the incident. The lines of
command should be as short as possible and the authority of the CIMT sufficiently strong to allow immediate urgent decisions,
but equally restrained when it comes to potential liability of the organisation as a whole.
CIMT Composition. Ideally the CIMT should comprise between 4 – 6 persons selected from experienced personnel from
key departments involved. In addition to the appointed CIM this could include:
In the field, representatives from legal, Information/media, HR Security, Programme Coordinator(of programme
involved), FACT/ERU Team Leader or PNS Head of Mission (if incident involves these entities).
In Geneva, representatives from HR, Security, Legal, and Media and the technical department involved.
Others may be seconded for specific planning or executing tasks; however it is vital that the core CIMT does not get
too big such that it becomes ineffective in planning and making decisions.
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In a complex incident or situation where there are operational issues as well as strategic organisational issues that must be dealt
with there may be a requirement to have an operational CIMT in the field and also a strategic level CIMT based in Geneva. For
example in the case of a pandemic there is likely to be a requirement for response management/coordination at a Zone level
while at that same time there will be a requirement for management/coordination at a global level. Where dual CIMTs are
established, the Strategic level CIM and CIMT retains primacy of control and issues directives/guidance to any operational level
CIM/CIMT.
To resolve the incident a five stage process will normally be worked through.
The first action must be to identify whether there is any immediate action required to protect life – if so this must be taken.
Verifiable information must be established outlining the details of the incident. This will be initiated as part of the initial reporting.
Additional information or changes must be advised as they occur and recorded.
An incident log is to be initiated by the Initial Incident Manager immediately after the incident is notified. This is to record the
chronology of events, log phone calls, record notes of all meetings and ensure all documents are recorded and filed.
A useful tool to be established and maintained throughout the incident/situation is four ‘white boards’ or flips charts titled:
What do you know? What do you need What has been What do you need
to know? done? to do?
These boards/charts can be updated regularly and provide a ready reference along with the log of the status of the situation and
can be used to brief senior management or external parties as needed.
The primary aim of this stage is to identify the problem and the parameters surrounding the problem:
RC Movement actors involved (ICRC, NS, PNS) and current status (locations, operational agreements in force)
External actors involved
Country context – current situation (disaster, conflict etc), infrastructure (transport, medical, food and water, sanitation),
capability of Government, status and capability of NS in country, status of Federation in country, limitations on ability to
act
Legal issues
Medical issues
Communications issues
Media issues
Determine the end-state objective (injured person evacuated, body repatriated, hostage released)
CIMT members may be assigned specific roles/tasks and responsibilities for managing relations with specific stakeholders.
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Is this situation covered by existing contingency plans – if so, can they be implemented?
Is the situation severe enough to warrant the activation of a business continuity plan?
Does the Federation have the internal expertise to manage the incident – if not, where can this be accessed?
Established contingency plans currently exist for numerous situations such as medivac or emergency relocation. Based on the
initial assessment, if an appropriate contingency plan exists for the situation at hand it should be activated. If initial analysis
determines that the critical incident is severe enough that it may disrupt the Secretariat’s capacity to continue normal business
(e.g. pandemic, natural disaster, major destruction of assets etc) then the CIM should determine if an existing business continuity
plan has been prepared for the situation. If a situation-specific plan does not exist, the CIM can adapt the generic business
continuity plan for the situation.
Initiating a contingency or business continuity plan will normally replace Stage 3 (Option Analysis) and Stage 4
(Implementation) in this process. However, Stage 5 – Debrief / post incident support must still be initiated. at the completion of
the end state objective.
If there are no existing contingency plans or no existing continuity plans that can be adapted, then a response plan must be
developed. This requires the identification and analysis of options to reach the end-state objective. During this stage the
following should be considered:
Only options and factors that contribute to the identified end-state should be discussed and analysed
Options should have technical input from all members of the CIMT
If technical input is required that is not available from CIMT then this must be obtained.
Options tested against
o Fundamental principles
o Code of conduct
o Limitations imposed by country context
o Resources available to implement
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Preferred option is identified and presented to the HoZ, USG/Director or Secretary General as appropriate for executive
decision.
During this stage additional personnel may be utilised to provide specific technical information, or members of the CIMT may
utilise additional personnel from their departments to assist with work involved in option analysis; for example the media advisor
may use members of the media department to assist development of press lines and proposed media releases. However, the
CIM is to adopt a disciplined approach to those that are part of the CIMT so that the team does not expand and develop into a
task force or committee.
When considering options and having identified the preferred option the CIMT must always consider the fluid nature of the
situation and the potential implication this might have – the question ‘What if?’ (something changes or something new happens)
should constantly be tabled.
Stage 4: Implementation
Implementation of the preferred option should be in the form of a plan. This should:
The CIMT’s role is to monitor the implementation and be prepared to adjust things if required.
Management of the situation also requires constant looking to the future, the question must be asked ‘what if’.
Dependent on the incident it is possible that the situation might continue for a sustained period. After the initial intensity things
may slow down but a sustainable management framework must to be implemented that will enable other business to be conduct
unimpeded; e.g. a hostage situation could go on for months or years.
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In the first instance the incident and situation surrounding the incident is to be fully investigated to determine why it occurred and
whether it could have been prevented. Secondly the debrief is to examine how the incident or situation was managed to
determine what can be learned and whether the manner in which it was managed could be improved; lessons learned are to be
identified and documented.
This process is to work through the incident from start to finish and examine actions taken at each stage.
It is mandatory to ensure support is provided to those directly affected and those closely involved with the situation.
Annexes:
ANNEX A
Roles and Responsibilities: Initial Incident Manager
Who: Receiver of the initial report. He/she will act as the Incident Manager in the early period of the incident and
will continue in that role until relieved or handover to another person.
Reports To: Next senior manager until a Critical Incident Manager is appointed or as directed by Senior Management
Authority: Unless relieved or otherwise directed, the authority to manage the immediate operational impacts and
use all reasonable endeavours to combat the emergency response
Responsibilities: Manage the overall operational and service response to an incident, bringing together and
coordinating the necessary people and their resources to cover all aspects of the operational and
service response and recovery.
Ensure the response is managed with the following priorities:
o protection of human life,
o reduction of trauma,
o protection of reputation,
o protection of equipment and other assets.
Initial Actions Assume overall operational control.
Determine level of response and whether the incident should be escalated.
Review and assess the situation:
o establish whether there is a loss of life or injury or a potential threat to anyone
o ensure the safety of personnel
o co-ordinate other support resources
o establish minimum reporting requirements and communication links
Commence Incident log.
Ongoing Ensure an Incident log is maintained until relieved
Actions
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ANNEX B
Establish clear lines of communication with the Field Critical Incident Management Team (if
established). Ascertain any immediate support requirements, and action.
Notify Communication Team and advise details as known and agree initial internal and external
communication arrangements:
o who will collect information and draft text,
o what is required and timing for media release and interviews, staff notifications,
authorisation arrangements, and
o who will be external spokesperson(s).
Ensure any staff welfare issues are being addressed.
Encourage all Managers to actively contribute and that multiple perspectives are applied to vital
decisions - be alert for assumptions ensure they are surfaced and tested for certainty and importance.
Ongoing Identify potential problem areas and issues that may arise directly or indirectly as a result of an
Actions ongoing response.
Manage appropriate contacts and ensure effective communications with:
o Senior Management (as appropriate/directed)
o Media, and HR teams
o ICRC
o National Societies (as appropriate)
o Other key Stakeholders as identified
o Affected families and employees, other employees,
Continually assess the impact of Federation involvement in the incident and coordinate response
actions to meet any changes in the situation.
Ensure adequate resources are available and that they are effectively assisting the response.
Review and initial the incident log on a regular basis.
Establish CIMT shift arrangements as necessary.
Stand Down Confer with the Field Critical Incident Management Team (if established) on timing and actions of the
Actions stand down process.
Ensure full stand down plans and recovery plans are developed, communicated and implemented.
Ensure all parties (both external and internal) involved in the response are notified and already
understand why the response is being wound down/ceased.
Finalise, as appropriate, the terms of reference and process for the incident debrief and incident
investigation with involved parties.
Obtain advice from the Head of Legal on the terms of reference and matters of legal privilege for any
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investigation.
Ensure Incident Reporting requirements are complied with.
Ensure the Information Manager collects, records and stores all documents pertinent to the incident.
Advise the Chief Executive Officer of the stand down.
Ensure Critical Incident Stress Debrief sessions as required are conducted for the staff involved in the
response.
Ensure that the SMT and other Stakeholders are aware of the stand down.
Thank all groups for their support.
Follow Up Consult with the Senior Management and the areas affected on any issues related to staff welfare,
Actions: morale, or recognition - consider the families of those involved.
Review and identify issues and impacts arising from the incident.
Undertake an incident debrief / investigation procedure, and manage the implementation of
recommendations / actions.
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ANNEX C
Follow Up Consult with the Head of HR or SMT, and the Critical Incident Manager on any issues related to staff
Actions: welfare, morale, or recognition - consider the families of those involved.
Participate in any management review, investigation or debriefing required on completion of the
incident.
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ANNEX D
Roles and Responsibilities: Media Advisor
ANNEX E
Roles and Responsibilities: Security Advisor
ANNEX F
Roles and Responsibilities: CIMT Coordinator
ANNEX G
The log should record all activities and actions under taken. The second column should record details of
any updates received or advice on developments with any actions then taken recorded in the third
column. Action may also be initiated as part of normal planning/management of the situation not in
response to a change or update in which case the second column is left blank and the actions taken
simply inserted in the third column.
The Critical Incident Manager should regularly review the log and initial it signifying the logs accuracy.