Public Risk February 2019 by Moire Marketing Partners

PUBLISHED BY THE PUBLIC RISK MANAGEMENT ASSOCIATION FEBRUARY 2019

PAGE 6

ALSO IN THIS ISSUE

IMPLEMENTING A SAFETY MANAGEMENT SYSTEM IN THE PUBLIC SECTOR

A Case Study PAGE 10

WHAT YOU NEED TO KNOW ABOUT SELF-EVALUATION AND TRANSITION PLANS TO COMPLY WITH THE ADA PAGE 15

Further your public sector risk management education without leaving the office! This Webinar series features top presenters delivering risk knowledge to your desktop!

PRIMA’S 2019 RISK MANAGEMENT

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FEBRUARY 13 | 12:00 PM – 1:30 PM EST

FEBRUARY 27 | 12:00 PM – 1:30 PM EST

GENERATIONAL LEADERSHIP & COMMUNICATION

TRANSFORM YOUR ORGANIZATION’S CULTURE BY BECOMING A TRANSFORMATIONAL LEADER

SPEAKER: Jim DeLung, PhD, Director of Training, Organizational Development Professionals

SPEAKER: Randy Anderson, CSP, Independent Training Consultant, E3 Professional Trainers

DESCRIPTION: Participants will be introduced to the three major generations in the American workforce: Baby Boomers, Generation X, & Millennials (Generation Y). Attendees will also learn the major characteristics of each generation. This course of instruction explains methods of motivation and communication for each generation. Comprehending the diverse generational communication styles is paramount for implementation of organizational mission, vision, and values.

DESCRIPTION: Many managers spend their days working through emails, sorting through stacks of papers on their desks and trying to keep up with the neverending demands of overseeing their employees. All the while, many of your employees are more focused on “looking busy” than high productivity. What if you could transform the culture within your organization from crisis management and a constant state of “survival,” to one where your employees are fully engaged in their work and experience fulfillment from their job? This presentation will equip you to create a culture change and improve your team members’ performance. The eventual result will be a more positive environment that yields high engagement, productivity and retention.

AT T E N D E E TA K E AWAYS :  List three major generations in the workplace  Describe at least two characteristics for each workplace generation  Understand generational leadership style

AT T E N D E E TA K E AWAYS :  Understand how developing relationships with team members within your organization will help to establish and cultivate a culture that will produce better results  Discover how redirecting your evaluation/appraisal process will directly affect bottom line profitability  Learn how to maintain a constant stream of communication to instill a deep commitment to core values throughout your organization  Challenge yourself by considering if you’re modeling a leadership style and level of engagement that will produce maximum results

For more information, or to register, visit primacentral.org/webinars.

FEBRUARY 2019 | Volume 35, No. 2 | www.primacentral.org

CONTENTS

The Public Risk Management Association promotes effective risk management in the public interest as an essential component of public administration.

PRESIDENT Jani J. Jennings, ARM Risk Manager City of Bellevue Bellevue, NE PAST PRESIDENT Amy J. Larson, Esq. Risk and Litigation Manager City of Bloomington Bloomington, MN PRESIDENT-ELECT Scott J. Kramer, MBA, ARM County Administrator Autauga County Commission Prattville, AL DIRECTORS Brenda Cogdell, AIS, AIC, SPHR Risk Manager, Human Resources City of Manassas Manassas, VA Forestine Carroll Risk Manager Memphis Housing Authority Memphis, TN

Succession Planning

Sheri Swain Director of Enterprise Risk Management Maricopa County Community College District Tempe, AZ Donna Capria, CRM, CIC, AINS Risk & Insurance Coordinator WaterOne of Johnson County Lenexa, KS Michael S. Payne, ARM, HEM Risk Manager City of Fresno Fresno, CA Melissa R. Steger, MPA Asst. Director, Workers’ Compensation University of Texas System Austin, TX

ARE YOU READY? By Sharon Harris

NON-VOTING DIRECTOR Marshall Davies, PhD Executive Director Public Risk Management Association Alexandria, VA EDITOR Jennifer Ackerman, CAE Deputy Executive Director 703.253.1267 • jackerman@primacentral.org ADVERTISING Jennifer Ackerman, CAE 703.253.1267 • jackerman@primacentral.org

Implementing a Safety Management System in the Public Sector A Case Study By Jose Inclan

IN EVERY ISSUE

What You Need to Know about Self-Evaluation and Transition Plans to Comply with the ADA By Dana Barton

Public Risk is published 10 times per year by the Public Risk Management Association, 700 S. Washington St., #218, Alexandria, VA 22314 tel: 703.528.7701 • fax: 703.739.0200 email: info@primacentral.org • Web site: www.primacentral.org Opinions and ideas expressed are not necessarily representative of the policies of PRIMA. Subscription rate: $140 per year. Back issue copies for members available for $7 each ($13 each for non-PRIMA members). All back issues are subject to availability. Apply to the editor for permission to reprint any part of the magazine. POSTMASTER: Send address changes to PRIMA, 700 S. Washington St., #218, Alexandria, VA 22314. Copyright 2019 Public Risk Management Association

| 4 NEWS BRIEFS | 19 ADVERTISER INDEX

FEBRUARY 2019 | PUBLIC RISK

THINK. SHARE. TRANSFORM. the leading event for public risk professionals

JUNE 9 â&#x20AC;&#x201C;12 2019

MESSAGE FROM PRIMA PRESIDENT JANI JENNINGS, ARM

s a public risk manager, do you have an effective loss control program? Let’s back up…what exactly is a loss control program? Does it mean having an effective safety program? Does it mean implementing policies that keep your entity in compliance with regulatory bodies? Does it mean ongoing supervisor training to keep them abreast of employment liability exposures? Yes, yes, and oh yes!

Loss control is the discipline within risk management of reducing the probabilities of loss. All losses…not only accidental losses public entity’s face, but quite possibly malicious, criminal or regulatory issues of loss. A successful loss control program is a combination of elements: loss education, loss prevention, and loss reduction.

“

As public risk managers, we should think of loss

control as structured common sense, understanding

what can cause loss and the actions needed to avoid

them and minimize the effects if and when they occur. Most losses can be prevented, or at least minimized with the implementation of a strong loss control

“

UNDER CONTROL

program and will enable us to protect the financial

assets of our entities and better protect the safety and welfare of both employees and citizens.

Loss education teaches the common-sense approach to safety and the need to recognize exposures that may be created by actions taken. For example, as we learn the exposures associated with our public works departments, we are able to tailor safety training to specific topics such as forklift operation or mower safety.

what can cause loss and the actions needed to avoid them and minimize the effects if and when they occur. Most losses can be prevented, or at least minimized with the implementation of a strong loss control program and will enable us to protect the financial assets of our entities and better protect the safety and welfare of both employees and citizens.

The series shows how to keep it simple: how to protect the people, the public, and property. We learn how to build our framework’s foundation and how to recognize our exposures. The series addresses the importance of building a culture within our organizations where everyone from top management to front-line employees contribute to risk control.

Loss prevention is the action or policy directed at preventing an accident or injury from occurring. Developing policies such as requiring employees wear personal protective equipment, fall protection or fleet operation policies are common examples of loss prevention.

But where do we start? How do we know our loss control program is hitting the mark?

Whether we need a refresher course on the fundamentals of loss control or we’re building a brand-new program from scratch, this series is second-to-none on covering all aspects of public entity loss control. Log on and learn!

Loss reduction is the action taken to reduce the severity of a loss should an accident or injury occur. For example, learning how to finance risk such as procuring insurance will minimize the severity of an entity’s loss. As public risk managers, we should think of loss control as structured common sense, understanding

We need only look to PRIMA for guidance. PRIMA has launched its new Loss Control Webinar Series. Five successive webinars, each one building upon the last, are currently being released on the PRIMA website for members. These webinars are pre-recorded so you can listen to them any time. Experienced risk managers and loss control experts come together to offer an in-depth understanding of the key challenges faced by public risk managers and provide sensible solutions and examples to identifying, mitigating and controlling losses associated with these challenges.

Sincerely,

Jani Jennings, ARM PRIMA 2018–2019 President Risk Manager City of Bellevue, NE

FEBRUARY 2019 | PUBLIC RISK

NEWS BRIEFS

NEWS Briefs

WITH EARTHQUAKE SENSORS SET TO BE REMOVED, ALASKA OFFICIALS FIGHT TO KEEP THEM Alaska officials are working to keep in place a statewide seismic network that’s scheduled to be decommissioned next year but is vital for understanding earthquake and tsunami risks in the nation’s most seismically active state, reports the Alaska Dispatch News. The National Science Foundation next year plans to remove more than 150 seismic sensors it installed in Alaska in recent years, closing out a $50 million project that vastly improved the state’s limited seismic network, said Mike West, state seismologist.

Sen. Lisa Murkowski “strongly supports” the idea and is taking steps to ensure many of the stations remain in Alaska, said Karina Borger, a spokeswoman for the senator. The temporary stations, largely installed in 2016 and 2017, are part of the USArray project that traveled across the Lower 48, creating CAT scan-like images deep beneath the continent. Alaska was the last stop. “Their real goal is imaging the deep continent of North America,” West said, mapping tectonic plates hundreds of miles underground. The seismic stations were a “game-changer” in Alaska, said West, head of the Alaska Earthquake Center at the University of Alaska Fairbanks. They created a quake-monitoring web, filling in “Montana-sized” gaps that had existed in much of the state.

PUBLIC RISK | FEBRUARY 2019

“

This has been a huge boon to our operation… Four of every five big earthquakes in the U.S. happen in Alaska, but compared to other places, we are poorly instrumented.

“

“This has been a huge boon to our operation,” West said. “Four of every five big earthquakes in the U.S. happen in Alaska, but compared to other places, we are poorly instrumented.”

The federal sensors supplemented the state system—consisting of about 150 sensors limited to Southcentral Alaska and the Railbelt—and allowed scientists to pinpoint the depth, orientation and footprints of the most remote quakes. The system has proven vital in tracking unusual events, such as a 6.4 quake in northeast Alaska and a 7.9 quake off the coast of Kodiak, both striking in 2018. “Without the USArray, some of those far-flung earthquakes would be like listening to thunder over the horizon,” West said. “You know it’s over there, but you don’t really know what happened.”

Mike West, state seismologist

Keeping the stations will help improve the accuracy of tsunami warnings, West said. They also can be a precursor to a statewide earthquake warning system such as the one being rolled out in California, he said. That could one day give Alaskans several seconds of warning before a quake strikes. “It’s fair to say that Alaska is conspicuously absent from the earthquake early warning system discussions in this country in large part because we don’t have the infrastructure to support it,” West said.

Several insurance companies have filed lawsuits blaming Pacific Gas & Electric Co. for a deadly California wildfire that destroyed 14,000 homes and triggered billions of dollars in insurance claims. The lawsuits filed by Allstate, State Farm, USAA and their subsidiaries come on top of several other cases filed by victims of the Camp Fire, which devastated the towns of Paradise, Magalia and Concow north of Sacramento after it started Nov. 8. Investigators have not pinpointed a cause for the fire. But the insurance companies note in their lawsuits that flames ignited near the site of a transmission-line irregularity reported by the utility. They also note a potential second ignition point involving PG&E distribution lines. Under California law, PG&E is held entirely liable if lawyers can prove the fire is linked to the utility’s power lines or other equipment—a fact that sent shares of the company tumbling following the start of the fire. Following a series of deadly fires in 2017 in Northern California’s wine country, PG&E executives and lobbyists tried to convince state lawmakers to change the legal standard and reduce the company’s liability. Lawmakers declined, but they allowed the company to pass along some of the costs from the 2017 fires to its customers in hopes of sparing it from bankruptcy. The law does not help the company for the 2018 blazes.

NEW YORK LOSES THE MOST PEOPLE; SOUTHWEST LEADS POPULATION GAINS New York lost the most population among states last year, surpassing Illinois as the nation’s biggest peopleloser in U.S. census estimates issued in January. Nine states lost population, the largest number in more than 30 years, as Southwestern states led growth again: Nevada, Idaho, Utah and Arizona had the largest percentage increases in population between 2017 and 2018. The biggest factor in population losses and gains was people moving within the country. Nevada’s gain of about 62,000 people (a 2 percent increase, the nation’s highest) was driven by a net 50,000 people moving in, while New York’s net loss of 180,000 movers contributed to its population loss of about 50,000 people, despite gaining more than 70,000 immigrants. Population loss in Illinois was about 45,000, and West Virginia, Louisiana, Hawaii, Mississippi,

“

Alaska, Connecticut, and Wyoming also lost residents. (Eight states lost population in 2017, surpassing a record set in the mid-1980s when oil prices plunged and hit the economies of energy-producing states.) Texas had the largest number of new residents at about 379,000, and Florida had the most people moving in, nearly 133,000. The census estimates released Wednesday are from mid-2017 to 2018 and don’t include effects of Hurricanes Florence and Michael this fall or the recent California wildfires. Nationally, population grew by about half a percentage point or roughly 2 million people, the lowest annual increase of the 2010s so far. More than 90 percent of the growth, about 1.8 million, was in the South and West regions.

Nationally, population grew by about half a percentage point or roughly 2 million people, the lowest annual increase of the 2010s so far. More than 90 percent of the growth, about 1.8 million, was in the South and West regions.

“

CALIFORNIA UTILITY SUED BY INSURERS OVER WILDFIRE DAMAGES

The lawsuits were filed last month in Sacramento County Superior Court. They were first reported by the Sacramento Business Journal. “We are aware of lawsuits regarding the Camp Fire,” Lynsey Paulo, a PG&E spokeswoman, said in a statement. “Our focus continues to be on assessing infrastructure to further enhance safety and helping our customers recover and rebuild.”

FEBRUARY 2019 | PUBLIC RISK

SUCCESSION PL ANNING ARE

RE A DY ?

PUBLIC RISK | FEBRUARY 2019

BY SHARON HARRIS

OU’RE IN A SENIOR LEADERSHIP MEETING WHEN YOUR DIRECTOR OF RISK MANAGEMENT SAYS, “I WOULD LIKE TO ANNOUNCE MY RETIREMENT!” The departure of an organization’s leader is not something we think about, but when the leader makes the big announcement… suddenly, it’s all we think about.

It’s no surprise that the public sector has been experiencing a shift in their workforce as staff in the Baby Boomer generation (ages 53–72) move into retirement. So, are we ready? Are we purposefully engaging our organization in the process, or are we just reacting to every retirement notice we receive?

Succession planning is the process of identifying and developing internal people with the potential to fill key leadership and managerial positions within your organization. All organizations, regardless of their size, need some level of succession planning. It’s critical in today’s rapidly changing demographic environment, but many organizations are ill-prepared for the departure of their current leadership. There’s no time like the present to assemble a set of skilled successors so that your organization can purposefully maintain its operational success.

CREATING A SUCCESSION PLAN — WHY DO IT?

There are many reasons to think about succession planning. One reason: an organiza-

tion relies on its staff to carry out its mission, while providing public services and meeting the organization’s goals and objectives. So, your organization must think about how it will accomplish this if a key person leaves. As Baby Boomers retire, they take with them years of historical and organizational knowledge, working relationships and other critical information. Therefore, organizations must be systematic about transferring this knowledge. But how do you replace them? Employers are running thin because of the recession, especially in the public sector. Middle management positions were eliminated during tough fiscal times—so organizations don’t have the depth of staff to step into the executive or senior management roles.

FEBRUARY 2019 | PUBLIC RISK

SUCCESSION PL ANNING — ARE YOU READY?

STEPS TO CREATE A SUCCESSION PLAN

Organizations can be proactive and have a succession plan for all key positions, not just for those incumbents reaching retirement. Step One: Identify key or critical positions in your individual departments, as well as in the organization as a whole. Identify why this is a key position: does the position perform critical functions within the organization? Is the position a key leadership position responsible for guiding the organization as a whole? If this person left the organization, would it hinder operations?

current positions but have not necessarily changed with industry standards. The organization may need the incumbent (as well as others in the organization and those in the professional field) to identify the future KSAs for the position. Step Four: If the incumbent is retirementeligible within the next 1–5 years, begin training for a transfer of knowledge. For those within their last six months of employment, and assuming a successor has been identified, consider allowing the incumbent to slowly remove themselves from the position. Consider allowing them to scale down to part-time,

As Baby Boomers retire, they take with them years of historical and organizational knowledge, working relationships and other critical information. Therefore, organizations must be systematic about transferring this knowledge. But how do you replace them? Employers are running thin because of the recession, especially in the public sector. Middle management positions were eliminated during tough fiscal times—so organizations don’t have the depth of staff to step into the executive or senior management roles. Step Two: Identify who holds those current positions and who they report to. This will be critical in successfully rolling out a succession plan. The reporting manager must be on board with the plan. Step Three: Identify the knowledge, skills, and abilities (KSAs) needed for the position. Although your incumbent may have the KSAs needed or envisioned, you must identify what’s needed to take the position into the future. Many long-time employees have retained their

PUBLIC RISK | FEBRUARY 2019

while receiving full-time salary and benefits. This allows your new employee to function on their own, while allowing the retiring employee to closely monitor his/or her work and make corrections as needed. It also allows the incumbent to transition from a full-time schedule into retirement.

WHAT ABOUT THE EMPLOYEES?

Effective succession plans bring advantages for both the employer as well as the

employees. The next step after identifying your critical positions is to identify the next leaders in your organization. Hiring and retaining top talent is tough with so many organizations experiencing the same exodus of retirements. Employees have opportunities at your organization as well as with others. With Generation X and the Millennial generation, we know that career development and career opportunities are important factors when choosing to stay or leave an organization. The opportunities need not just be in their specific department; a career path can be organization-wide. Regardless of their generation, employees are more engaged when they see a career path as well as opportunities for continued growth and development. If you identify a career path for them, employees will often focus on that versus looking to move on. Managers can start by making a list of their employees and then meeting with them one-on-one to determine their strengths and their career interests. The managers can then assess the current level of readiness and create an appropriate training program. Managers also should share their lists of employees ready for career advancement with other departments in the organization. This allows all managers to consider the organization’s talent as a whole. Employees, meanwhile, must be selected for potential advancement, and given the time to train. This requires buy-in from the employee’s current manager, especially if the training will be in another department within the organization. Also, a message should be sent from “the top” that current employees should be considered first for open positions, so those interested in career advancement know their organization supports internal growth.

IS THE SUCCESSION PLAN FOOLPROOF?

No! Even a good succession plan will have its challenges. For instance, you may have identified a member of senior management who is staying in his/her position longer than anticipated. This may result in a current

employee/the potential candidate not wanting to wait and seeking new opportunities elsewhere. Or, your succession candidate may not be fully trained and developed—leading to an employee who’s not prepared to take on the critical role. Or, your potential candidate simply was not the right choice for promotion. Succession planning is not a one-time event, however. All organizations must be prepared to adapt to these unforeseen and revisit the succession planning process each time these events happen. When necessary, changes in job duties, assignments and personnel may need to occur.

OTHER CONSIDERATIONS

When creating a succession plan, be careful not to inadvertently engage in age discrimination. In certain states—including Florida, Hawaii, Iowa, Maryland, Minnesota, New Hampshire, New Jersey, New Mexico, New York, Oregon, and Vermont—age is a protected class from age 18. This means an employer may not decide to hire or not hire, promote or not promote, based on the applicant’s age (or the current employee’s age). This is more reason to be purposeful about how your organization builds a succession plan—it also makes it even more critical to

promote candidates based solely on their abilities to fulfill the required KSAs. So, when you’re in a senior meeting this summer and your director surprises you by saying, “I’m retiring at the end of the year”… will you be ready? Sharon Harris is a senior consultant and trainer specializing in risk management, human resources & organizational development with CIS (Citycounty Insurance Services) a public entity pool in Salem, Oregon.

FEBRUARY 2019 | PUBLIC RISK

PUBLIC RISK | FEBRUARY 2019

IMPLEMENTING A SAFETY MANAGEMENT SYSTEM IN THE PUBLIC SECTOR A CASE STUDY BY JOSE INCLAN

HEN ATTEMPTING TO FIND A WAY TO CONSISTENTLY REDUCE the number of preventable accidents and injuries in our municipality, the City of San Antonio, these questions came up: How can we establish a tool to address our day-to-day occupational reality as an organization, in order to consistently prevent illnesses, injuries and accidents from happening? Is it at least possible? After brainstorming on these and other similar questions in our Office of Risk Management (ORM) team, we decided to address them by looking at external experiences, in both the private and public sectors. What follows in this article is a description of how things developed for our City.

FEBRUARY 2019 | PUBLIC RISK

IMPLEMENTING A SAFET Y MANAGEMENT SYSTEM IN THE PUBLIC SECTOR – A CASE STUDY

THE CHALLENGE

Our team started by defining the scope of our study as it is usual in the management practice of other business elements. In this case, we picked the City of San Antonio’s Solid Waste Management Department. One of the main reasons for doing so is that this department represents more than 700 municipal employees, out of the total of about 11,000 the City of San Antonio has. It also resembles the average City risk level based on the NAICS code (medium risk). Additionally, it has great visibility due to the constant contact with the citizenship (more than 350,000 households served). In order to define the problem, we looked at our last three years’ preventable injury, illness and accident rates. The indicators we used for this purpose included the TIR (Total Incident Rate) and LWDR (Lost Work Days Rate), based on the corresponding OSHA definitions. Then, we went deeper into the historic data we had available for the incidents reported including ARB (Accident Review Board) records for information on the causes or contributing factors of these incidents.

participate directly in formal incident investigation processes or risk assessments. CONTRACTOR SELECTION CRITERIA There are several operations carried out by contractors in the department’s premises. However, no mention is made in the procurement policies about contractor training or certification requirements, safety programs, previous OSHA citations history or even experience modification rates (EMR). This has resulted in the use of contractors, whose employees are unaware of the department’s basic safety requirements.

THE APPROACH

budget projects and develop improvement plans once we know how much the risks will be reduced by doing so. Strategy: Implement from the top-down. The Safety Management System (SMS) has to be led by the department director, with defined and documented roles for all employees in the department. One direct expectation of our SMS implementation was that the safety items are now considered part of the executives’ professional performance evaluation process at the end of the fiscal year; that would favor the much needed accountability for an improved safety performance.

After several enlightening discussion sessions, it was suggested that we adopted a safety management systems standard, and looked for the best one in terms of applicability, practicality and availability. We considered internationally developed standards such as ANSI Z10:2012, OHSAS 18001:2007 and the draft of a new standard by the International Organization for Standardization (ISO), ISO/DIS 45001. Since we learned that the official ISO 45001:2018 standard was published in March 2018, we decided to adopt it as a model to establish our Safety Management System (SMS). Such system would become that tool we originally envisioned to address our occupational risk management needs in the department.

Strategy: Going beyond compliance. The Safety Management System does not limit its scope to ensuring compliance with applicable regulatory requirements, such as the ones from Texas Department of Transportation (as they relate to our solid waste collection trucks and light-duty vehicles), OSHA (like in the case of certain confined space, hazardous materials management and lockout/tagout programs) and our own City’s ordinances and administrative directives. Safety compliance is just the SMS baseline; however, it must be maintained through the operation of other SMS elements, like internal audits, periodic management reviews, facility inspections programs, accident investigation procedures, and others.

Other important considerations regarding the department’s safety culture included:

The main reason why we decided that this model was the best-suited for our needs was that it allowed us to establish very sound strategies:

DEPARTMENT’S CULTURAL DIVERSITY The nature of the department’s activity, its employees’ required skillsets and work environment have favored over the years that the culture be results-oriented, rather than safety-oriented. This means that safety has barely been a priority for employees and management, although there are some valuable elements in place such as recurring safety meetings and other interactions. Safety is not emphasized consistently and workers are paying little or no attention to taking safety measures for performing their job duties. Besides, managers and supervisors have basic knowledge of injury reporting, workers’ compensation and training, but they don’t

Strategy: Risk-based rather than hazardbased. The model calls for using formal techniques to identify hazards, evaluate risk and focus on reducing risk levels via current controls and improvement actions. One of the greatest differences between the prior (non-SMS) and the current approach is that the focus changed from “hazard-based” toward “risk-based.” The difference according to ISO 45001:2018 is that the hazard is the condition that can potentially cause harm, while the risk is a measure of the severity, likelihood and exposure of that hazard; i.e., knowing risks allow us to compare and prioritize one hazards vs. another so we can manage our resources better to deal with them. Therefore, it’s straightforward to apply controls,

Once we were able to define the problem, we realized that we needed a Safety Management System (SMS) for the Solid Waste Management Department that helped us: • Manage risks and opportunities • Eliminate hazards • Address opportunities for improvement • Prevent work-related injuries, illnesses and accidents

Our findings revealed that the most common issues were caused by: • Unsafe vehicle driving practices, • Driver and worker inattention, and • Failure to follow the established safety procedures.

PUBLIC RISK | FEBRUARY 2019

THE PROCESS

Once we had defined what to look for, we’re now able to set up a workable action plan to achieve the Safety Management System as we envisioned it. The process involved these main steps: • Identify system gaps. Major gaps found had to do with the consistent identification of hazards, risk assessments, contractor

training and communications, emergency preparedness, and safety compliance evaluation. Some pre-existing elements we had include an ARB (accident review board) process that is being observed very closely by all city departments, a facility safety inspections programs and worker observations processes. The training is also scheduled, delivered and tracked. • Develop an SMS structure. Roles and responsibilities had to be defined and documented. The most important responsibilities and authorities fell on the Executive Leadership Team members, which included the department director and assistant directors. Then, a special team from different levels in the ELT was set up to follow up with the specific implementation plan, in conjunction with the ORM. Once implemented, the system required that safety liaisons be appointed at each department division or site; this function is accomplished

by a manager, assistant manager, or supervisor from each division or site. • Define interaction with interested parties. There was no clear definition about who needed to initiate the communication, who the points of contact were, or how often the communication and any responses would have to take place. The SMS provided a structure to do this. As examples, the most common communications covered by the SMS are between the department and Procurement, Human Resources, the San Antonio Fire Department, and external entities such as OSHA, the National Safety Council and the Texas Department of Transportation, to name a few. • Define SMS documentation. A Safety Management System Manual, containing policies, procedures and references to support safety processes. The SMS structure and its application can be described in the diagram shown in Figure I.

FIGURE I - PLAN/DO/CHECK/ACT CYCLE

A B

Evaluate risks and make plans to reduce them, involve all employees.

D O

Work the plans through roles, training, communication, operational and emergency procedures.

D C

Monitor plans and measure results. Evaluate compliance. Report to management.

Take actions to continually improve safety performance.

THE OUTCOME

ENTHUSIASTIC EMPLOYEE PARTICIPATION The product of the SMS implementation process started to show since the first months of work. The sole idea of getting into this new adventure grabbed the attention of the department’s employees, who were curious about what the SMS was, and what it was for. So, they showed a very enthusiastic level of participation that was kept during all the implementation stages, by means of providing them with SMS training, rehearsing and reviewing the new processes, and checking for feedback continuously. TIMELINE NEEDED OCCASIONAL ADJUSTMENTS Even though all the work was planned several months in advance, the timeline had to undergo adjustments due to the department’s business needs; it implies a good deal of time from each of the implementers on a periodic basis (approximately half-a-day per week), depending on how many people are invited to participate. Also, some projects required more time to be carried out because of their dependency on external parties or major infrastructure changes (like relocating a service center). EFFICIENT ALLOCATION OF RESOURCES The ELT wanted to be flexible in allocating resources to allow for success without compromising the normal business duties of the people involved. Applying a project management approach was crucial to an effective allocation of the department’s resources. INTENSIVE AND EFFECTIVE USE OF THE INFORMATION MANAGEMENT SOFTWARE Another tool that proved important was the selection of a RMIS (Risk Management Information System). In order to comply with the ISO 45001:2018 standard, the SMS must include a way to create, update and communicate documents and records relevant to the SMS operation. We used a platform that included applications for managing document control, safety meetings, legal requirements, internal audits and inspections, nonconformances and corrective actions, training management, and compliance calendars, among others.

FEBRUARY 2019 | PUBLIC RISK

IMPLEMENTING A SAFET Y MANAGEMENT SYSTEM IN THE PUBLIC SECTOR – A CASE STUDY

MODEL CAN BE REPLICATED TO OTHER DEPARTMENTS WITHIN THE CITY The structure of the SMS allows for applying it generically to any other department within the City. The implementation process for a different department should take less time overall.

BENEFITS, SHORT- AND LONG-TERM

Steady improvement. Due to the initial awareness shown among our department’s primary drivers, the number of preventable collisions dropped by 50 percent from the previous fiscal year. However, it’s still too soon to see improvement elsewhere in the SMS. Less drastic variations in safety KPI. Our Balanced Score Card indicators are related to the preventable cases we document per month in the fiscal year. The SMS measures to prevent cases and to apply lessons learned now go together and are becoming standard practice. This will eventually result in smooth KPI variations in the department. Streamlined safety communication processes. Having well-established communication

channels within the internal levels and functions in the department and externally will avoid departures from the expectations the interested parties may have on the SMS performance. Sustained accomplishment of objectives. Continuous improvement is being monitored in terms of how well we can reduce the department’s risk levels. All SMS objectives will be related to known risks, therefore continuous improvement will be achieved as we accomplish the objectives consistently. Sustained savings in workers’ compensation claims. As a direct consequence of reduced incidents, less workers’ compensation claims costs will be achieved as well. Standardized procedures. All documented process have been tested and adjusted to fulfill the department’s needs; this provides the advantage of avoiding deviations from safe operations in a routine and conscious way. Guaranteed safety compliance. Having all the applicable safety regulatory and non-regulatory

LEARN IN YOUR OWN TIME WITH

requirements available, it’s now straightforward to periodically determine continuous compliance. Employees’ culture is evolving to include a greater importance towards complying in the day-to-day work. Efficient inspection processes. Once any real or potential issues are identified through standard inspections, there is an established way to address those findings immediately. This will eventually result in shorter response times for correcting non-conformances at both the operational and administrative levels. In general, we can conclude that implementing an SMS in a municipal entity like ours is a challenging process, but a very beneficial one. Several things go through radical changes, including the culture of documenting, applying and monitoring best practices that will project a steady decline in undesired occurrences, and an improvement of the work conditions and morale for all employees. Jose Inclan is the occupational health and safety manager for the City of San Antonio Office of Risk Management.

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PUBLIC RISK | FEBRUARY 2019

CURRENT PODCAST TOPICS INCLUDE: Comorbid Conditions The Aging Workforce

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WHAT YOU NEED TO KNOW ABOUT SELF-EVALUATION AND TRANSITION PLANS TO

COMPLY WITH THE ADA BY DANA BARTON

The Americans with Disabilities Act (ADA) is the first federal civil rights law that

provides for equal access to individuals with disabilities in all areas of public life. Signed into law in 1990, by President George HW Bush, the law prohibits discrimination and guarantees that people with disabilities have the same opportunities as everyone else to participate in mainstream life.

FEBRUARY 2019 | PUBLIC RISK

WHAT YOU NEED TO KNOW ABOUT SELF-EVALUATION AND TRANSITION PLANS TO COMPLY WITH THE ADA

HE ADA HAS FIVE TITLES, which outline both the rights and the

responsibilities of stakeholders. In addition to eliminating employment barriers for individuals with disabilities (Title I), it defines accessibility to programs facilitated by state and local governments (Title II). The

ADA outlines facility access requirements for all public places, such as retail stores and restaurants (Title III). The law also defines how telecommunication companies

provide services for those who are deaf (Title IV). Implementation and enforcement of the law depends on the type of entity (Title V).

The ADA requires state and local governments ensure that services, programs, and activities are accessible to people with disabilities, when viewed in their

entirety. Title II applies to all state and local governments, and all departments, agencies, special purpose districts and other instrumentalities of state or local

governments (“public entity”). The ADA calls for every public entity that employs 50 or more persons to designate at least one employee to coordinate its efforts to comply with and carry out its responsibilities under the ADA. This includes investigations of complaints alleging noncompliance or alleging actions that would be prohibited by the ADA.

The self-evaluation is an assessment of everything—programs, services, and activities, facilities, and current policies, practice and procedures. The self-evaluation identifies and corrects barriers to access that are inconsistent with Title II requirements. All public entities should have completed a self-evaluation by January 26, 1993. The self-evaluation process allows Title II entities to determine access by people with disabilities to public services, programs, and activities. The U.S. Department of Justice enforces Title II. When completing the transition plan, public entities identify physical and structural barriers to program access. Through the process, recommendations for removing or resolving any barriers are made and a completion schedule is developed.

ADA COORDINATOR

In many organizations, the role of the ADA coordinator falls under the risk manager. However, some organizations may have a designated employee, such as a disability coordinator, civil rights manager or ADA compliance officer. While the Title is not important, what is critical is that the role is defined, and the name of the responsible party is publicly available. Naming

PUBLIC RISK | FEBRUARY 2019

the ADA coordinator is the very first step in completing the required Self-evaluation and Transition Plan (SETP). Once the entity has identified an ADA coordinator, there is a long list of activities that must be completed. Most notable is the SETP. Completing the SETP is critical in mitigating the risk of lawsuits for noncompliance. It can help avert a Department of Justice settlement agreement, will enhance and improve community accessibility, and may even ensure that an entity is eligible for certain grant funding. The ADA coordinator should have a strong familiarity with the public entity’s structure, activities, and employees. Knowledge of the ADA and other laws that address the rights of people with disabilities, along with familiarity with local disability advocacy groups is helpful. The ADA coordinator should also have experience with various alternative formats and technologies that enable people with disabilities to communicate, participate, and perform tasks. There is an ADA coordinator certification training program that assists with gaining the appropriate knowledge for the role.

NON-DISCRIMINATION

Before beginning the evaluation process, entities must adopt a policy of non-discrimination and make it public. Public entities are required to disseminate sufficient information to applicants, participants, beneficiaries, and other interested persons to inform them of the rights and protections afforded by the ADA. • The non-discrimination policy must include statements about the following: • Employment and how to request accommodation; • Effective communication and how to make a request if needed; • How to request a reasonable modification to a policy or program; • A statement noting there will be no surcharges on modifications or the use of an auxiliary aid or service; • And, the process for filing a complaint. Every public entity must make reasonable modifications in policies, practices, or procedures when modifications are necessary to avoid discrimination on the basis of disability. This is, unless the public entity can demonstrate that making the modifications would fundamentally alter the nature of the service, program, or activity. Policies includes: • Service animals; • Power-driven mobility devices; • Effective communication; • Maintenance of accessible features; • Reasonable accommodations; • Contractors; • Ticketing; • And, retaliation/coercion.

GRIEVANCE PROCEDURES

Next, grievance procedures must be established and made public. These are a system for resolving complaints of disability discrimination in a prompt and fair manner. The ADA, however, does not give guidance on what must be included in the grievance procedure. Most include a description of how and where a complaint under Title II may be filed and a statement notifying potential complainants that alternative means of filing will be available to people with disabilities when required. Also consider a description of the time frames and processes to be followed by the complainant

and the entity, information on how to appeal an adverse decision, and a statement of how long complaint files will be retained.

PROGRAMS, SERVICES AND ACTIVITIES

The ADA requires that Title II entities ensure their services, programs, and activities are accessible to people with disabilities. This includes fire stations, police stations, schools, courts, parks, polling places, community centers, sidewalks … just to name a few! Accessibility in physical access, websites, at public meetings, and with service animals must be reviewed within each location and department. It is critical that the ADA coordinator understand the goings-on in each division and department of their entity. Only those programs, services, and activities that the public are invited or required to attend or participate in are covered under Title II. Some examples include swim lessons at the community pool, a public meeting hosted by the city, or a hotline that citizens call to report an issue. A program is those things done in person, at specific locations, in large groups, online, and in one-on-one meetings. Anything run by a State or local government is covered by the ADA! This can get confusing when thinking about areas that may be off-limits to the public. For example, that an entity runs a fish hatchery. This program and the building in which it is operating may only be accessed by employees. However, if a local school group can tour the hatchery, it now becomes a program is subject to Title II of the ADA.

ELIGIBILITY

A primary goal of the ADA is the equal participation of individuals with disabilities in the “mainstream” of American society. The major principals of mainstreaming are 1) Individuals with disabilities must be integrated to the maximum extent appropriate; 2) Separate programs are permitted where necessary to ensure equal opportunity; and, 3) Separate programs must be appropriate to the individual. Individuals with disabilities cannot be excluded from the regular program or required to accept special services or benefits. While offering

The ADA requires a common-sense approach to policies and practices. Modifications are required so people with disabilities are not excluded. It’s a good idea to identify who, within the entity, can modify policy and where modifications will be documented. separate accommodating programs, services and activities for people with disabilities are permitted under Title II to ensure they receive an equal opportunity to benefit from government programs, people with disabilities get to decide whether they want to participate using the accommodations or without. The ADA protects this right even if the public entity does not think a person will benefit from a program or service without accommodations. A state or local government must also eliminate eligibility criteria for participation in programs, activities, and services that screen out or tend to screen out persons with disabilities. The ADA provides for equality of opportunity but does not guarantee equality of results.

POLICIES

Many routine policies, practices, and procedures are adopted by public entities without thinking about how they might affect people with disabilities. Sometimes a practice that seems neutral makes it difficult or impossible for a person with a disability to participate. In these cases, the ADA requires public entities to make “reasonable modifications” to accommodate people who have disabilities.

For example, a person who uses crutches may have difficulty waiting in a long line to vote or register for a program. The ADA does not require that the person is moved to the front of the line, but the staff could provide a chair and note the place in line, so they don’t lose their place. Or, a city ordinance that prohibits motorized devices on public sidewalks must be modified for people with disabilities who use motorized mobility devices that can be used safely on sidewalks. The ADA requires a common-sense approach to policies and practices. Modifications are required so people with disabilities are not excluded. It’s a good idea to identify who, within the entity, can modify policy and where modifications will be documented.

SELF-EVALUATION TASKS

During the self-evaluation, the ADA coordinator should ensure that staff has appropriate ADA training. This may include effective communication for front-line staff or training on how to properly identify a service animal. The ADA coordinator may also seek input using public meetings to ensure that programs, activities, and services are meeting the needs of the

FEBRUARY 2019 | PUBLIC RISK

WHAT YOU NEED TO KNOW ABOUT SELF-EVALUATION AND TRANSITION PLANS TO COMPLY WITH THE ADA

A primary goal of the ADA is the equal

participation of individuals with disabilities

in the “mainstream” of American society. The major principals of mainstreaming are

1) Individuals with disabilities must be

integrated to the maximum extent appropriate; 2) Separate programs are permitted where

necessary to ensure equal opportunity; and, 3) Separate programs must be appropriate to the individual.

disability community. This is also a good time to learn about new technologies and auxiliary aids that are available. During the self-evaluation, each program is viewed in its entirety. This includes a comprehensive review of eligibility criteria, policies, advertisement and promotion of activities, and effective communication. While a program is more than the physical location in which it is held, the most arduous task is evaluating the accessibility of public facilities. To do this, entities collect physical data from all public facilities, buildings, and areas of programs. The 2010 ADA Standards for Accessible Design set the minimum requirements, in both scoping and technical elements, for newly designed and constructed and altered Title II facilities. These facilities must be accessible to and usable by individuals with disabilities. This includes: • Accessible Routes • General Site Elements • Built-In Elements • Plumbing Elements • Special Rooms and Spaces • Accessibility Elements

PUBLIC RISK | FEBRUARY 2019

Entities are not only required to ensure that the 2010 ADA Standards for Accessible Design are met but must also comply with local building codes, such as ANSI A-117 or the International Building Code. When working with different standards, entities must comply with the stricter requirement. To begin the self-evaluation, entities record findings of the following information: • Element location and description • Determination of compliance • Priority of barrier • 2010 ADA Standards citations • Milestone priorities • On-site value of an attribute • Description of finding • Recommendations and values • Mitigation difficulty • Resolution status and comments

TRANSITION PLAN

A transition plan should have been completed by January 26, 1993 and should be based on updates of the self-evaluation conducted. The ADA deadline for completing the improvements listed in the transition plans was January 26, 1995. The plan should be updated periodically to ensure the ongoing needs of the community continue to be met.

Using a database to store self-evaluation data will provide department and division leadership with management, monitoring, and tracking tools. A draft transition plan should be presented to staff before publishing. Local community groups representing persons with disabilities for should be asked for comment, to ensure that the entity is meeting the local priorities of the persons with disabilities in that community. At this point, the finalized transition plan is made public. Completing a self-evaluation and transition plan for a Title II entity is a monumental task. Failure to comply can lead to lawsuits brought forth by the US Department of Justice. In fact, over 3,000 ADA lawsuits were filed against Title II entities 2017 alone. These lawsuits and subsequent settlement agreements are costly and time-consuming. Many entities find that using a national consulting firm with expertise in ADA accessibility compliance is helpful in solving compliance challenges. In addition, the ADA National Network serves as a resource in providing technical assistance and training on the intricacies of the ADA. Dana Barton is the director of the Rocky Mountain ADA Center in Colorado Springs, CO.

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CALENDAR OF EVENTS PRIMA’s calendar of events is current at time of publication. For the most up-to-date schedule, visit www.primacentral.org. PRIMA ANNUAL CONFERENCES June 9–12, 2019 PRIMA 2019 Annual Conference Orlando, FL • Gaylord Palms June 14–17, 2020 PRIMA 2020 Annual Conference Nashville, TN • Gaylord Opryland June 13–16, 2021 PRIMA 2021 Annual Conference Milwaukee, WI • Wisconsin Center PRIMA INSTITUTE October 21–25, 2019 San Diego, CA ISO 31000 TRAINING March 13–14, 2019 Las Vegas, NV November 13–14, 2019 New Orleans, LA

Keep up with what’s happening at PRIMA and connect with your risk management peers! Visit us at www.facebook.com/primacentral.

PRIMA WEBINARS February 13 • Generational Leadership & Communication February 27 • Transform Your Organization’s Culture by Becoming a Transformational Leader March 20 • Understanding Actuarial Reports April 17 • Understanding Your Greatest Risks May 15 • Fentanyl and the Safety of First Responders June 26 • Jail Operations: Evolving Changes and Risk Reduction July 17 • Cultivating a Safety Culture August 21 • Avoiding Liability: Early and Regular Communication with Your Legal Team September 25 • Steps to Developing a Risk Appetite Framework October 16 • Integrating ERM with the Strategic Planning Process November 20 • Improving Safety in Government by Changing Driving Behavior December 11 • What Your Attorney REALLY Wants from Risk Management

FEBRUARY 2019 | PUBLIC RISK

You Know Risk Management is Valuable. Why Doesn’t Everyone? Check out PRIMA’S

VALUE OF RISK MANAGEMENT SERIES Public sector risk management is often not well understood or supported by other public entity staff and policy makers. To overcome this, we must be able to measure the value of risk management and communicate it to others This five webinar series provides you with the tools to do exactly that. TOPICS INCLUDE: Module 1 — Overview Module 2 — Total Cost of Risk Module 3 — Risk Maturity Models Module 4 — The Risk Appetite and Risk Tolerance Framework Module 5 — Strategies for Communication and Change Management In addition to the webinars, PRIMA members will also have access to reference guides and case studies.

For more information, visit primacentral.org/vrms.

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