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JEFFERSON COUNTY PUBLIC HEALTH

Continuity of Operations Plans Workbook

Created: April 21, 2015

Revised: May 15, 2015

CONTENTSIntroduction.................................................................................................................................................................3Identify the Essential Functions...................................................................................................................................4

Step 1: Identify All Organizational Functions...........................................................................................................4Step 2: Identify Which Functions Are Potentially Essential......................................................................................4Step 3: Develop Mission Essential Function Data Sheets.........................................................................................5Step 4: Prioritize the Mission Essential Functions....................................................................................................6Step 5: Obtain Leadership Approval.........................................................................................................................7

Understand the Orgnziation’s Essential Functions.......................................................................................................8Identify leadership needs.........................................................................................................................................8Identify staff needs..................................................................................................................................................8Identify communication & IT needs.........................................................................................................................8Identify facility needs...............................................................................................................................................8Identify additional resource needs...........................................................................................................................9Identify associate agency support needs.................................................................................................................9

Orders of Succession..................................................................................................................................................10Delegations of Authority............................................................................................................................................11Continuity Facilities....................................................................................................................................................13

Alternate Sites........................................................................................................................................................13Telework and mobile work Concepts.....................................................................................................................14

Human Resources......................................................................................................................................................15Essential Staff.........................................................................................................................................................15Non-Essential Staff.................................................................................................................................................16

Essential Records Management.................................................................................................................................17Continuity Communications.......................................................................................................................................19Devolution of Control and Direction..........................................................................................................................20Reconstitution............................................................................................................................................................21Tests, Training, and Exercises.....................................................................................................................................22Appendix A: Agency’s Organizational Functions Worksheet......................................................................................23Appendix B: Mission Essential Function Data Sheets.................................................................................................25Appendix C: Priortization Worksheet.........................................................................................................................27Appendix D: Essential Support Activity Data Sheets..................................................................................................28Appendix E: Prioritized Mission Essential Functions..................................................................................................30Appendix F: Orders of Succession..............................................................................................................................31Appendix G: Delegation of Authority.........................................................................................................................32Appendix H: Delegation of Authority Draft Letter......................................................................................................33Appendix I: Reconstitution Team...............................................................................................................................34Appendix J: Essential Staff..........................................................................................................................................35Appendix K: Non-Essential Staff.................................................................................................................................36Appendix L: Communication Methods.......................................................................................................................37Appendix M: Potential Alternate Site Facilities..........................................................................................................38

INTRODUCTION

Continuity of Operations (COOP), also commonly known of as Continuity of Government (COG) and Business Continuity, is the effort within organizations to ensure the performance of their essential functions during a wide range of emergencies and events.

The following workbook describes the steps that should be taken to create a COOP plan. This document is not a plan, or a plan template, but instead the directions for how to write a COOP plan.

This document was created by Jefferson County Public Health. This is the first version of this document. Please provide feedback to Jefferson County Public Health Emergency Preparedness at [email protected].

All text that is in blue italics refer to sections within this document. All text that is in purple italics refers to parts of this plan that refer to supporting documents or information that may become outdated.

IDENTIFY THE ESSENTIAL FUNCTIONS

The first step in the COOP planning process is to identify the organization’s essential functions. To do that, complete the following steps, which are outlined below.

Step 1: Identify All Organizational Functions Step 2: Identify Which Functions Are Potentially Essential Step 3: Develop Mission Essential Function Data Sheets Step 4: Prioritize the Mission Essential Functions Step 5: Obtain Leadership Approval

STEP 1: IDENTIFY ALL ORGANIZATIONAL FUNCTIONS

The first step in this process is to identify all of your organization’s functions. While doing this you have to determine how broadly, or how specifically, to define the organization’s functions. Describing a function too broadly may inadvertently include functions that are not essential during a disruption; describing a function too narrowly may result in too many functions to manage effectively.

This step should involve individuals from all departments and all management levels within your organization.

Complete the “Function” and “Description” columns of Appendix A: Agency’ Organization Function Worksheet.

STEP 2: IDENTIFY WHICH FUNCTIONS ARE POTENTIALLY ESSENTIAL

For each function that you identify, you’ll need to determine if it is a mission function or a support activity, and if it is essential or non-essential. Every function should fall into one of the following four categories:

Mission Essential Function Essential Support Activity Non-essential Mission Function (Deferrable Mission Function) Non-essential Support Activity (Deferrable Support Activity)

This step may involve individuals from all departments and all management levels, or it may be completed by a smaller group of individuals.

Complete the “Mission” and “Essential” columns of Appendix A: Agency’ Organization Function Worksheet. Remember, this is a draft and these categories can be changed.

MISSION FUNCTION OR SUPPORT ACTIVITY

In general, if the function results in the delivery of service to the public or another organization, it probably performs a function that is a mission of the organization. However, this is not always the case, so it can be helpful to consider if the function is performed because of:

Statutes, laws, executive orders, or directives that charge the organization with responsibility to perform the mission/function.

It supports the organization’s mission statement. It is part of the organization’s strategic plan.

In general, if the function results in a service being delivered to another part of the same organization, it likely is a supporting activity. Supporting activities are typically enablers that make it possible for an organization to accomplish its mission.

Some organizations may find they have functions that fall outside of the mission or support activity. During this process you can address these functions and analyze why they are completed. Your organization may need to create a separate category like “politically required” functions, or “grant-funding” functions, at the organization’s discretion. This can complicate the process, however, and should be avoided if possible.

ESSENTIAL OR NON-ESSENTIAL FUNCTION

Essential functions have to be performed during emergencies. Non-essential functions are functions that can be deferred until after the emergency. Most COOP plans are written to address disruption in operations that lasts up to 30 days. For the purposes of this document, a function is essential if it cannot be stopped for 30 days without negative impacts.

Classifying a function as essential, or not, can be a sensitive conversation. All functions an organization conducts are likely valuable and important. This categorization process is only intended to determine if the function must be performed during an emergency or not. It is not intended to rank functions based on their value during normal operations. It is very important to communicate this distinction during this planning process.

STEP 3: DEVELOP MISSION ESSENTIAL FUNCTION DATA SHEETS

For every function that is identified in Step 2 as a potential mission essential function, you’ll need to complete a mission essential function data sheet. The data sheets will:

Identify the function Describe the function Describe potential impacts if not conducted Select a recovery time objective Determine management’s priority level Identify the point of contact

This step should involve the individuals that work on, and supervise, the mission essential functions.

Complete Box #1 of the Appendix B: Mission Essential Function Data Sheet for each potential mission essential function identified in Step 2.

IDENTIFY THE FUNCTION

This is a short statement describing the function. If there is already a formal organization name, like a program title, then that should be used here.

DESRCIBE THE FUNCTION

This is a short description of the function. It should include legal or other requirements (e.g. grant deliverable) for performing this function, and the deliverables that are produced by this function. The narrative should describe the

function so that non-experts can gain a reasonable understanding of what is, and what is not, included in this function.

DESCRIBE POTENTIAL IMPACTS IF NOT CONDUCTED

This is subjective; however, it is important to set standards to measure the impact if the function is interrupted, because you’ll have to use this to compare and prioritize functions later. It can be helpful to select categories, like the following list, to help separate out the potential impacts.

Death/Severe disability Acute health impact Chronic health impact Behavioral health impact Environmental health impact Property impact Business impact

In addition to selecting the appropriate impact categories, also include a short description of the potential impact. Remember, most COOP plans are written to address a disruption in operations that lasts up to 30 days, so you should only consider potential impacts that could occur if the function is disrupted for 30 days or less.

SELECT A RECOVERY TIME OBJECTIVE

This describes how quickly this function should be resumed if it is interrupted before a negative impact will start of occur. For example, a 6-hour delay in processing Social Security benefits may be acceptable, while a similar delay in restoring air traffic control operations is not.

DETERMINE MANAGEMENT’S PRIORITY LEVEL

This is subjective; however, it will be helpful during the prioritization process. This step can be omitted if necessary.

IDENTIFY A POINT OF CONTACT

This is the person within the organization who is responsible for this function and familiar with it.

STEP 4: PRIORITIZE THE MISSION ESSENTIAL FUNCTIONS

This is an objective and subjective process that should consider:

Recovery time objective Impacts if not conducted for less than 30 days Management priority

This process should be conducted by a group of stakeholders within the organization.

Complete Appendix C: Prioritization Worksheet, using the data collected in Step 3 (Appendix B). As a group, rank the mission essential functions.

UPDATING FUNCTION LISTS & RECORDS

During this process, some functions that were identified as potentially mission essential may be re-categorized and removed from the mission essential function list. Be sure to update the Appendix A: Agency’ Organization Function Worksheet during this process.

Additionally, the group should also identify the essential support activities (Appendix A) that are needed to support each mission essential service. Each essential support activity should complete Appendix D: Essential Support Activity Data Sheet.

STEP 5: OBTAIN LEADERSHIP APPROVAL

The draft prioritization list should be shared with the organization’s leadership. It is important to get leadership’s approval for the list of the mission essential functions, and for the prioritization of these functions.

Once leadership has approved the prioritized mission essential functions, this list (Appendix E: Prioritized Mission Essential Functions) should be included in the COOP plan, along with a brief narrative describing the actions taken during steps 1-5.

UNDERSTAND THE ORGANIZATION’S ESSENTIAL FUNCTIONS

Once your organization has identified and prioritized its mission essential functions, then you’ll need to develop an understanding of each mission essential function, and essential support activity (together called the essential functions). For each essential function, you will:

Identify leadership needs Identify staff needs Identify community & IT needs Identify facility needs Identify additional resource needs Identify associate agency support needs

This information will help guide the rest of the COOP elements.

IDENTIFY LEADERSHIP NEEDS

Some functions require senior leadership involvement. This does not include general oversight and supervision, but instead focuses on an authority role. For example, the Director of Safety and Compliance must authorize entry of emergency workers into condemned buildings.

Complete Box #2, Question 1 of Appendix B (for mission essential functions) or Appendix D (for essential support activities).

IDENTIFY STAFF NEEDS

Identify what type of skills and number of staff are required to perform the essential functions. When describing the required skill level, include as much detail as possible. It can be helpful to review current job descriptions and interview the employees that perform this task for your organization.

Complete Box #2, Question 2 of Appendix B or Appendix D.

IDENTIFY COMMUNICATION & IT NEEDS

Identify the communication and IT resources that are required to perform the essential functions. This includes identifying if there is a need for internal or external communication and the method of communication that is needed.


IDENTIFY FACILITY NEEDS

Identify the type of facility that is needed to perform the essential functions. This includes identifying if it is possible to complete the task while working remotely. If it is, be sure that the IT/Communication resources that are needed to work remotely are identified in Box #2, Question 3 of Appendix B and/or Appendix D.


IDENTIFY ADDITIONAL RESOURCE NEEDS

Identify any additional resources that are needed to perform the essential functions. This should include office supplies, equipment and plans and protocols.


IDENTIFY ASSOCIATE AGENCY SUPPORT NEEDS

Identify any associate agencies that your organization is dependent on to perform the essential functions.


ORDERS OF SUCCESSION

It is critical to have a clear line of succession established in the event an organization’s leadership becomes incapable of performing its legal and authorized duties, roles, and responsibilities (referred to as “roles”). Orders of succession are a formal, sequential listing of organization positions (rather than specific names of individuals) that identify who is authorized to assume a particular leadership or management role under specific circumstances. Frequently, successors will fulfill all of the roles of the position they are filling in, however, sometimes specific roles that previously were held by one position will be distributed amongst numerous successors. These succession plans should be clearly explained in the organization’s COOP plan.

In addition to identifying successor(s) for the key leadership position(s) in the organization, it is also important to consider the leadership needs that were identified in Understanding the Organization: Identify Leadership Needs1. Using this information, first identify all the leadership roles that are require to be fulfilled for the essential functions. Then, identify potential successors for each role. If a potential successor holds a leadership position as well, be sure to identify their subsequent successor.

Be sure to consider any legal requirements for succession and authority roles. It is also important to consider the current organization chart, and how succession will impact the organization. Finally, consider the geographic location for successors, as geographic dispersion can be beneficial when possible.

Using the leadership roles identified in Understanding the Organization: Identify Leadership Needs2, as well as the current organization chart, complete Appendix F: Orders of Succession.

This order of succession should be approved by the organization’s leadership. Once the leadership has approved the order of succession, then it (Appendix F: Orders of Succession) should be included in the COOP plan, along with a brief narrative describing the actions that were taken to determine the order of succession. These orders of succession will be closely tied to the Delegations of Authority outlined in the following section.

1 Appendix B (for mission essential functions) or Appendix D (for essential support activities) in Box #2, Question 1.2 Appendix B (for mission essential functions) or Appendix D (for essential support activities) in Box #2, Question 1.

DELEGATIONS OF AUTHORITY

Delegations of authority ensures the orderly and predefined transition of leadership roles within an organization during a COOP activation, and are closely tied to succession. The orders of succession define who can fulfill the leadership roles, and the delegation of authority provides the legal authorization for them to actually fulfill that role.

Using Appendix F: Orders of Succession, complete Appendix G: Delegation of Authority List. Please note, while delegations of authorities are frequently tied to specific positions, many delegations require specific training, qualifications, and certification. So, some delegations of authority should be associated with a specific individual instead of their title.

The delegations of authority should be approved by the organization’s leadership and legal team. Once leadership and legal teams have approved the delegation of authorities, then the list (Appendix G: Delegation of Authority List) should be included in the COOP plan, along with a brief narrative describing the actions that were taken to determine the delegations of authority. This section should also include any relevant legal information, and instructions for how to create, finalize and disseminate the delegation letter, as well as a draft delegation letter (Appendix H: Draft Delegation of Authority Letter). Finally, this section should outline the process and procedures for transferring each leadership role during a COOP activation.

CONTINUITY FACILITIES

Continuity facilities ensures the orderly and predefined transition of the organization’s functions during an incident that impacts the organization’s primary facility (e.g. building fire), or impairs the organization’s staff’s ability to work at the primary facility (e.g. snow storm). The term “continuity facilities” refers to not only other facilities and locations, but also work arrangements such as telework and mobile work concepts.

At a minimum, organizations should identify, prepare, and maintain continuity facilities for the relocation of their essential functions3. Using the information from Understanding the Organization: Identify facility needs4, complete Appendix N: Continuity Facility Needs. Utilizing the information in Appendix N and the following two sections (Alternate Sites and Telework and Mobile Work Concept), the organization should identify their continuity facilities, These should be approved by their leadership.

The Continuity Facilities section of the COOP plan should list all of the identified continuity facilities, including alternate sites, telework and mobile work concepts. The plan should explain the specific activation procedures for each continuity facility, a list of what functions could be performed at that site, and all of the relevant information that is outlined in the following two sections (Alternate Sites and Telework and Mobile Work Concept). This section of the COOP plan is only complete when, at a minimum, all of the essential functions have been assigned to a continuity facility.

ALTERNATE SITES

“Alternate sites” are locations, other than the primary facility, used to carry out essential functions by relocating staff and equipment following activation of the COOP plan. See Appendix M: Potential Alternate Site Facilities for a list of potential locations for an alternate site. In the Continuity Facilities section of the COOP plan, include a summary of the capabilities of each alternate site.

Each alternate site should meet the following criteria, which should be summarized in the Continuity Facilities section of the COOP plan:

Be located in areas where the potential disruption of the organization’s ability to initiate and sustain operations is minimized, based upon their risk assessments.

Be located at a sufficient distance, based upon risk assessments and as judged by the organization, from the primary operating facility, threatened area, and other facilities or locations that are potential sources of disruptions or threats.

Be able to provide a replication of essential functions. o Have the ability to maintain this capability for up to 30 days or until normal operations resume,

and the capability to perform these essential functions under all threat conditions. Be able to provide interoperable communications with all identified essential internal and external

organizations, as well as with customers and the public (see Continuity Communications).

3 Some organizations may plan to relocate only their essential functions, and others may plan to relocate all of their organization’s operations. If the organization plans on the later, then all of the organization’s functions should be evaluated in Appendix N instead of just the essential functions.

4 Appendix B (for mission essential functions) or Appendix D (for essential support activities) in Box #2, Question 4.

Have the capabilities to access and use essential records necessary to facilitate the performance of essential functions.

Have reliable logistical support, services, and infrastructure systems. Have emergency/back-up power capability, so that essential functions and operations can continue in the

event the primary source of power is disrupted. Have housing to support the staff at or near the continuity facilities unless the continuity facility is within

commuting distance.

Additionally, the Continuity Facilities section of the COOP plan should address the following elements for each alternate site:

Who to contact to activate the alternate siteo Include back-up and 24/7 contact instructions.

How to access all critical supplies and equipment in order to achieve full operational capability within 12 hours of notification.

o Consider pre-positioning equipment. o Consider creating Drive-Away-Kits.

Procedures for the orientation, in-processing, and reception of staff and for conducting operations and administration at the alternate site.

Access to computer equipment, software, and other automated data processing equipment necessary to carry out essential functions.

o Ensure information systems are up-to-date with the latest software and system updates. Consideration of the availability of essential support resources such as food, water, fuel, medical facilities,

and municipal services, such as fire and police, to ensure the health, safety, and security.

If the continuity facilities are neither owned nor leased by the organization, organizations should prepare and sign a MOA/MOU with the owner or occupant of the facility and review the MOA/MOU annually, documenting the review with the date of review and names of personnel conducting the review. At a minimum, MOAs/MOUs should specify:

The required notification time for owner/occupant of the facility to have it configured and available for occupancy as a continuity facility;

Space and services to be provided at the facility; and Sole use of allocated space by the organization during the period of occupancy.

TELEWORK AND MOBILE WORK CONCEPTS

Telework and other mobile work concepts can be a very beneficial option during a COOP incident. If any essential functions can be completed remotely, then the organization should consider utilizing telework options. It can also be beneficial to determine if non-essential functions can be performed remotely during an incident. If telework is going to be an option for COOP activation, then be sure that the plan addresses the following elements:

1. Cite organization’s policy and guidance governing the use of telework. 2. Identify equipment and technical support requirements.

Include process to access equipment and technical support. Ensure information systems are up-to-date with the latest software and system updates. Include process to access essential records, databases and communications.

3. Provide training to all staff that may telework, including expectations and procedures.4. Provide procedures for the orientation and check-in of staff and for conducting operations and

administration while teleworking. 5.

HUMAN RESOURCES

Staff is vital to the continuity capability of all organizations. During an incident, an agency will need to address the human resource needs of the staff to ensure the essential functions occur, as well as support the employees who are not involved in the essential functions but are affected by COOP activation.

Certain procedures should be established in the COOP that incorporate existing organization policies and procedures into a response situation. This section of the COOP should include:

Procedures to communicate with, and coordinate activities with, all personnel; continuity facilities and support teams; outside agencies; customers; and stakeholders before, during, and after a continuity event, including alert and notification

o Procedures for communicating the organization’s operating status to all staff Procedures for contacting and accounting for all staff, including contractors, in the event of an emergency

o All staff, including contractors, responsibilities to report in during an incidento How, and the extent to which, employees are expected to remain in contact with their

organizations during an incident References to existing organization-specific guidance and policies for human resource management, such

as guidance on pay, leave, work scheduling, benefits, telework, hiring, authorities, and flexibilities Process to communicate to all staff their human resources guidance for emergencies, such as

pay, leave, staffing, and other human resources flexibilities If applicable, consider incorporating telework options

Provisions and procedures for assisting all staff, especially those who are disaster survivors, with special human resources concerns following a catastrophic disaster

Training for all staff members (incorporated into the agencies larger Training and Exercise Plan) Include personal preparedness and family emergency plans

In addition to these human resources considerations, there are special issues that impact essential staff, and non-essential staff, that should be addressed in the COOP plan.

ESSENTIAL STAFF

During an incident, the staff members that are needed to complete the essential functions must be considered essential staff. In addition to considering the leadership staff that is required to respond to the incident (Orders of Succession), identify the essential staff needs by reviewing the information in Understanding the Organization: Identify Staff Needs5. Using this information, complete rows #1 and #2 (Essential Function and Skill Needed) of Appendix J: Essential Staff.

Once this is completed, work with the individuals that work on and supervise the essential functions to determine which staff members (by title only when possible) should be classified as essential (complete rows #3 and row #4 of Appendix J). When creating this list, be sure to consider alternates that can be utilized if necessary. This list should be approved by leadership before being finalized and incorporated into the COOP. This section of the COOP should also include:

Expectations, roles and responsibilities of these essential staff members during an incident


o Be sure to cite existing organizational policies and procedures Contact information for essential staff, including after-hours contacts

o Be sure organizational policies and procedures support after-hours and overtime work for the essential staff members

Training for essential staff members (incorporated into the agency’s Training and Exercise Plan)o Include personal preparedness and family emergency plans

If bargaining unit employees are included as essential staff, organizations should ensure that all applicable collective bargaining obligations are satisfied. .

NON-ESSENTIAL STAFF

During an incident, the staff members that are not needed to complete the essential functions must be considered non-essential staff. These staff members may be reassigned to participate in other response activities. They may continue to complete their normal tasks or they may be furloughed. It is important to consider your organization’s human resources policies and procedures when addressing how non-essential staff will be utilized or not utilized during an incident.

Using the list of staff members who are not considered Essential Staff, work with leadership and supervisors to complete Appendix K: Non-Essential Staff. This list should be approved by leadership before being finalized and incorporated into the COOP. This section of the COOP should also include:

Process for being reassigned during a responseo Expectations, roles and responsibilities for these essential staff members during an incident

Be sure to cite existing organizational policies and procedureso Contact information for essential staff, including after-hours contacts

Be sure organizational policies and procedures support afterhours and overtime work for the essential staff members

o Training (incorporated into the agencies larger Training and Exercise Plan) Include personal preparedness and family emergency plans

o If bargaining unit employees are included as essential staff, organizations should ensure that all applicable collective bargaining obligations are satisfied.

Process for continuing to work during a COOP activationo Include triggers that would prevent this from being an option

Process for being furloughedo Be sure to cite existing organizational policies and procedures

The Reconstitution Team (Appendix I) should be comprised of individuals that are considered non-essential. Once placed on the Reconstitution Team, those staff members do become essential for the COOP activation.

ESSENTIAL RECORDS MANAGEMENT

During an incident, an agency will need to be able to identify, protect, and make available essential records, databases, and hardcopy documents that are needed to support essential functions. In this section, “essential records” refers to information systems technology, applications, infrastructure, electronic and hardcopy documents, references, and records needed to support the continued performance of essential functions during an incident. In this section, essential records fall into two categories:

1. Emergency Operating Records: These include records and databases essential to the continued functioning or the reconstitution of an organization during and after a COOP activation.

E.g. Emergency plans and directives, orders of succession, delegations of authority, staffing assignments, and related policy or procedural records.

2. Rights and Interests Records: These include records critical to carrying out an organization’s essential legal and financial functions and vital to the protection of the legal and financial rights of individuals who are directly affected by that organization’s activities. Any Rights and Interests Records considered critical for continued performance of essential functions should be included in the Emergency Operating Records.

E.g. Accounts receivable files, contracting and acquisition files, official personnel records, Social Security, payroll, retirement, and insurance records, property management, inventory records

The Essential Records section of the COOP plan should address the following elements:

A complete inventory of essential records, along with the location and instructions on accessing those records. This may be part of the COOP plan, or the COOP plan may cite a larger records inventory program at the agency. Specifically, the COOP plan should:

o Identify and protect those records that specify how an organization will operate in an emergency or disaster

o Identify and protect those records necessary to the organization’s continuing essential functions and resumption of normal operations

o Identify and protect those records needed to protect the legal and financial rights of the organization and the public

Conduct an essential records and database risk assessment to: o Identify the risks involved if essential records are retained in their current locations and media,

and the difficulty of reconstituting the records if destroyed Identify off-site storage locations and requirements Determine if alternative storage media is available Determine requirements to duplicate records and provide alternate storage locations to

provide readily available essential records under all conditions Develop and maintain an essential records plan packet and include a copy of the packet at the continuity

facility (if applicable). The packet should include: o A hard or soft copy of ERG members with up-to-date telephone numberso An essential records inventory with the precise locations of essential recordso Necessary keys or access codeso Continuity facility locations

o Access requirements and lists of sources of equipment necessary to access the records (this may include hardware and software, microfilm readers, Internet access, and/or dedicated telephone lines)

o Lists of records of recovery experts and vendorso A copy of the organization’s continuity plan

Process for ensuring that within 12 hours of a COOP activation, staff have access to the appropriate essential records, including at a continuity facility and remotely (if applicable).

o Instructions on moving essential records from the primary operating facility to the alternate site. Process to annually review all essential records to ensure the latest versions are available.

o Review process should address new security issues and new records.1.

CONTINUITY COMMUNICATIONS

An organization’s ability to execute its essential functions depends upon the availability of effective communications systems that can provide internal and external connectivity. Under all conditions, these systems should support full connectivity among key leadership, internal elements, other organizations, critical customers, and the public.

The COOP plan should address all of your communication needs and how those needs will be met and sustained during COOP activation. Identify your communication needs by reviewing the information in Understanding the Organization: Identify Communication and IT Needs6. You should also consider any additional communications needs that would be required to allow senior leadership to collaborate, develop policy and recommendations, and act under all-hazards conditions. Finally, be sure to include any communication needs specific to COOP operations that are identified in the planning process, such as staff notification producers (Human Resources).

Once all the communication needs are identified, complete Appendix L: Communication Methods and include this table in the COOP plan along with basic information about each system works. This section should include information about the types of communication needed7, the method of communication needed, and if the communications needs to be secure and if requires data management. This section should also address procedures to utilizing back-up communication methods.

6 Appendix B (for mission essential functions) or Appendix D (for essential support activities) in Box #2, Question 3.7 Internal communication, external communication with associates, external communication with the public, ect.

DEVOLUTION OF CONTROL AND DIRECTION

Devolution planning supports overall continuity planning and addresses events that render an organization’s leadership and essential function staff unavailable or incapable of performing its essential functions from either the organization’s primary operating facility or alternate sites.

Devolution may mean different things to different agencies. Devolution is a COOP element that may not be appropriate for every agency. For some agencies, devolution can involve completely shutting down operations of your organization. For other agencies devolution can involve transferring operations to a different location, different individuals within an organization, or it can involve transferring operations to an outside organization completely. These are all options that should be considered when creating your agencies COOP plan.

If your agency’s devolution plan involves moving to another facility within your organization, utilize the Continuity Facilities section of this workbook when creating the devolution plan. If your devolution plan involves transferring operations to different individuals within your organization, then utilize the Orders of Succession, Delegations of Authority and Human Resources section of this workbook when creating the devolution plan.

If your devolution plan focuses on transferring operations, then it should address the following elements:

1. Identify which essential functions the agency would transfer to a devolution site(s)a. List the resources that are necessary to transfer the essential functions to the devolution siteb. List necessary resources to perform the essential functions at the devolution site (see Appendix

B: Mission Essential Function Data Sheet)2. Identify the likely activation protocols (triggers) that would initiate or activate devolution site(s)3. Specify how, and when, direction and control of the organization’s operations will transfer to the

devolution site(s)4. Include a roster identifying organization points-of-contact (POCs) at the devolution site(s)

a. Ensure the POCs have overall responsibility for the trained personnel who will perform the essential functions at the devolution site(s)

5. Establish reliable processes and procedures to acquire resources necessary to continue the essential functions and sustain operations for extended periods

6. Establish capabilities to restore or reconstitute organization authorities to their pre-event status upon termination of devolution (see Reconstitution)

Devolution training should be on-going and incorporated into the agencies’ training and exercise plan.

RECONSTITUTION

Reconstitution addresses how the organization will return to normal operations once leadership determines that the actual emergency or the threat of an emergency is over. The process of reconstitution should start at the beginning of a continuity event.

During COOP activation, a Reconstitution Team should be activated immediately to develop and implement the Reconstitution Plan. The Reconstitution Plan should address:

How the organization will assess the status of affected organization personnel, assets, and facilities Process for phasing down the continuity facility operations and transitioning to either normal primary

facility, another temporary facility or a new permanent facility Process for informing all personnel that the necessity for continuity operations no longer exists Process for instructing personnel on how to resume normal operations Process for verifying operational capability and availability Process for determining which (if any) records were affected by the incident and ensuring an effective

transition, or recovery, of essential records and databases and other records that had not been designated as essential records.

Some parts of the Reconstitution Plan can be pre-planned. Others will be incident specific and will need to be developed during the incident by the Reconstruction Team Leader.

Your organization should pre-identify the Reconstitution Team members. The Reconstitution Team should be comprised of individuals who are not directly involved in the essential functions but who are familiar with the organization’s operations. Please complete Appendix XX: Reconstitution Team, which should be inserted into the COOP plan along with a brief narrative describing the actions that will be taken to activate the Reconstitution Team, as well as the elements of the Reconstruction Plan. The Reconstitution Team (Appendix XX) should be comprised on individuals that are considered non-essential. Once placed on the Reconstitution Team, those staff members do become essential for the response operations.

TESTS, TRAINING, AND EXERCISES

Once your organization completes the COOP plan, COOP elements should be built into your larger Training and Exercise Plan.

APPENDIX A: AGENCY’S ORGANIZATIONAL FUNCTIONS WORKSHEET

List every organizational function. Provide a short description, and determine if the function is a mission function or a support activity, and if it is essential or non-essential.

Mission & Support Activities:

All functions are either mission driven or a support activity. A function cannot be both.

Mission: A function that accomplishes the organization’s mission. If the function results in the delivery of service to the public or another organization, it probably performs a function that is a mission of the organization.

Support Activity: A function that makes it possible for an organization to accomplish its mission. If the function results in a service being delivered to another part of the same organization, it likely is a supporting activity.

Essential & Non-Essential:

All functions are either essential or non-essential. A function cannot be both. A good rule of thumb is to determine if the function is essential is if it cannot be stopped for 30 days without serious negative impacts.

Essential: Functions that have to be performed during emergencies. Non-Essential: Functions that can be deferred until after the emergency.

AGENCY’s Organizational FunctionsFunction Description Mission Essential

□ Mission□ Support activity

□ Essential□ Non-Essential































APPENDIX B: MISSION ESSENTIAL FUNCTION DATA SHEETS

Complete one of these for every function is a mission function and an essential function.

AGENCY’s Mission Essential Function Data Sheet

Box #1Mission Essential Function

Description

Potential impacts, if not conducted for 30 days

Select all that apply:□ Death/Severe Disability□ Acute health impact□ Chronic health impact□ Behavioral health impact

□ Environmental health impact□ Property impact□ Business impact

Recovery time objective (hrs):

Management priority: □ Very Important (5)□ Important (4)□ Somewhat Important (3)□ Somewhat Unimportant (2)□ Very Unimportant (1)

Point of Contact: Name: Title:Phone:

Email:

Box #2Question 1: Does this function require senior leadership involvement? □ No □ YesIf yes, describe involvement:

Can leadership function remotely? □ No □ Yes

Question 2: What type, and number, of staff is needed to complete this function?Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:

Question 3: What communication and IT resources are needed to complete this function? Select all that apply.Type of Communication:□ Internal Communication□ External Communication, Associates□ External Communication, Public□ External Communication, Other:

Method of Communication:□ Land Line□ Cell Phone□ Text Message□ Fax□ Email

□ Computer – desktop□ Computer - laptop□ Network access□ Internet□ EMSystem

□ CO-SHARE□ WebEOC□ CEDRS□ Health Alert Network□ 800 MHz Radio

□ 450 MHz Radio□ Satellite Phones□ HAM/Amateur Radio Operators (ARES)

□ Other:

Does the communication need to be secure? □ No □ YesDoes the communication require data management? □ No □ Yes

Question 4: What type of facility is needed to complete this function?Does this function need a physical facility? □ No, can be completed remotely □ YesIf yes, describe facility requirements below:

Question 5: What additional resources are needed to complete this function?Office Supplies (list below):

Equipment (list below):

Plans and Procedures (list below):

Other (list below):

Question 6: List any associate agencies our organization is dependent on to perform the essential functionAgency: Function:Agency: Function:Agency: Function:Agency: Function:Agency: Function:

APPENDIX C: PRIORTIZATION WORKSHEET

Compile the information collected in the Mission Essential Function Data Sheets into the table. Using the results, prioritize the mission essential functions. An excel document can be used in the place of this table.

AGENCY’s Mission Essential Function Prioritization Worksheet

Priority Rank

Mission Essential Function

Recovery time objective (hrs) Management Priority (1-5) Potential for Impact

APPENDIX D: ESSENTIAL SUPPORT ACTIVITY DATA SHEETS

Complete one of these for every function is a support activity and an essential function.

AGENCY’s Mission Essential Support Activity Data Sheet

Box #1Essential Support Activity


Description

Recovery time objective (hrs):

Point of Contact: Name: Title:Phone:

Email:

Box #2Question 1: Does this function require senior leadership involvement? □ No □ YesIf yes, describe involvement:

Can leadership function remotely? □ No □ Yes

Question 2: What type, and number, of staff is needed to complete this function?Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:

Question 3: What communication and IT resources are needed to complete this function? Select all that apply.Type of Communication:□ Internal Communication□ External Communication, Associates□ External Communication, Public□ External Communication, Other:

Method of Communication:□ Land Line□ Cell Phone□ Text Message□ Fax□ Email

□ Computer – desktop□ Computer - laptop□ Network access□ Internet□ EMSystem

□ CO-SHARE□ WebEOC□ CEDRS□ Health Alert Network□ 800 MHz Radio

□ 450 MHz Radio□ Satellite Phones□ HAM/Amateur Radio Operators (ARES)

□ Other:

Does the communication need to be secure? □ No □ YesDoes the communication require data management? □ No □ Yes

Question 4: What type of facility is needed to complete this function?Does this function need a physical facility? □ No, can be completed remotely □ YesIf yes, describe facility requirements below:

Question 5: What additional resources are needed to complete this function?Office Supplies (list below):

Plans and Procedures (list below):

Equipment (list below):

Other (list below):

Question 6: List any associate agencies our organization is dependent on to perform the essential functionAgency: Function:Agency: Function:Agency: Function:Agency: Function:Agency: Function:

APPENDIX E: PRIORITIZED MISSION ESSENTIAL FUNCTIONS

AGENCY’s Prioritized Mission Essential Functions


Description Point of Contact Essential Support Activities (list)

1.2.3.4.5.6.7.8.9.10.11.12.13.14.15.16.17.18.19.20.

APPENDIX F: ORDERS OF SUCCESSION

For the purpose of this table, “role” means any duties, roles and responsibilities of the leadership position. This can include simply filling the leadership position (e.g. function as the executive director) or can be very specific (e.g. function as the DEA agent for the department).

AGENCY’s Orders of Succession

Role Title with the role 1st Successor (title) 2nd Successor (title) 3rd Successor (title)

APPENDIX G: DELEGATION OF AUTHORITY

AGENCY’s Delegation of Authority List

Role Title with the role Delegate/Successor (title)

Triggering Conditions

Limitations

APPENDIX H: DELEGATION OF AUTHORITY DRAFT LETTER

Work with your legal team to determine what formula documentation is needed to support a delegation of authority.

CONSIDERATIONS FOR DELEGATIONS OF AUTHORITY:

1. In accordance with applicable laws, organizations should establish and document in advance the legal authority for the position of Organization Head and other key supporting positions to make key policy decisions during a continuity situation, including: a. Outlining explicitly in a statement the authority, including any exceptions to that authority, of an official so designated to exercise organization direction;

b. Delineating the limits of authority and accountability;

c. Establishing the rules and procedures designated officials must follow when facing the issues of succession to office;

d. Outlining the authority of officials to re-delegate functions and activities, as appropriate;

e. Defining the circumstances under which delegation of authorities would take effect and would be terminated; and

f. Incorporating the conditions under which delegations will take place, the method of notification, the duration the delegations may last, conditions when the delegations may be terminated, and any temporal, geographical, or organizational limitations to the authorities granted by the orders of succession or delegations of authorities, including the ability to re-delegate authorities.

APPENDIX I: RECONSTITUTION TEAM

The Reconstitution Team should be comprised of individuals who are not directly involved in the essential functions but who are familiar with the organization’s operations.

AGENCY’s Reconstitution Team

Reconstitution Role Title Division CommentsReconstitution Lead (Primary)Reconstitution Lead (Alternate)Team Member (Primary)Team Member (Primary)Team Member (Primary)Team Member (Alternate)Team Member (Alternate)Team Member (Alternate)

APPENDIX J: ESSENTIAL STAFF

AGENCY’s Essential Staff, by Title

Essential Function Skill Needed Title Comments

Reconstitution Lead (Primary)

Reconstitution Training

Reconstitution Lead (Alternate)

Reconstitution Training

Team Member (Primary) Reconstitution TrainingTeam Member (Primary) Reconstitution TrainingTeam Member (Primary) Reconstitution TrainingTeam Member (Alternate) Reconstitution TrainingTeam Member (Alternate) Reconstitution TrainingTeam Member (Alternate) Reconstitution Training

APPENDIX K: NON-ESSENTIAL STAFF

AGENCY’s Non-Essential Staff, by Title

Title Can be Reassigned to Response?

Non-Essential Functions that be continued during COOP activation?

Can be Furloughed? Comments

APPENDIX L: COMMUNICATION METHODS

Only include the communication systems listed below that are needed for the essential functions, leadership operations or COOP operations. Methods include, but are not limited to:

Land Line Cell Phone Text Message Fax Email Computer – desktop Computer - laptop

Network access Internet EMSystem CO-SHARE WebEOC CEDRS Health Alert Network

800 MHz Radio 450 MHz Radio Satellite Phones HAM/Amateur Radio

Operators (ARES)

AGENCY’s COOP Communication Needs

Function8 Communication Method Back-up Method #1 Back-up Method #2

8 Includes the essential functions, leadership response operations and COOP operation needs.

APPENDIX M: POTENTIAL ALTERNATE SITE FACILITIES

Organizations may make use of existing organization or other space for alternate sites. Whenever possible, organizations should select and alternate sites that are not uniquely susceptible to risks associated with natural disasters and select facilities in locations that provide the alternate sites with power, telecommunication services, and internet access, separate from those grids that provide their services to the primary facility.

Potential alternate sites include:

1. Remote/offsite training facilities: These facilities may include an organization training facility located near the organization’s normal operating facility, but far enough away to afford some geographical dispersion.

2. Regional or field offices: Some organizations have a regional office or a field office that they can use as a continuity facility.

3. Remote HQ operations: Some organization HQ operations are so extensive that their operations and the facilities required to support them extend beyond the geographic July 2013 G-1 CGC 1 expanse of the organization HQ host city, and necessitate an additional HQ location(s) elsewhere. One of these locations could serve as continuity facility.

4. Memorandum of Agreement (MOA)/Memorandum of Understanding (MOU) for colocation with another organization: One organization may relocate to another organization’s facilities. The organization that is relocating could occupy available space in the receiving organization’s HQ or training facilities, field offices, or other spaces.

5. Space procured and maintained by NFGs: An organization may have a department with the responsibility to acquire, equip, and sustain both privately owned and leased space to accommodate that organization’s need for continuity facilities.

6. Space procured and maintained by another organization: Some organizations offer space procurement services that organizations can use for continuity facilities.

7. Participation in a joint-use continuity facility: Several organizations may pool their resources to acquire space they can use jointly as a continuity facility. With this option, organizations will ensure that shared facilities are not overcommitted during a continuity activation. An organization may co-locate with another organization at a continuity facility, but each organization should have individually designated space and other resources at that location to meet its own needs.

8. Alternate use of existing facilities: In certain types of continuity activations, organizations may use a combination of facilities and strategies, such as social distancing, to support continuity operations.

9. Telework: Telework is a work flexibility arrangement under which an employee performs the duties and responsibilities of their position, and other authorized activities, from an approved worksite other than the location from which the employee would otherwise work. Many organizations have programs that allow employees to telework. This capability is leveraged to allow ERG members to fulfill their essential functions at an approved alternative worksite (such as at home or a telework center).

10. Mobile work: Mobile work is characterized by travel to conduct work in customer or other worksites as opposed to a single authorized alternative worksite, such as work performed while commuting, traveling between worksites, or on temporary duty. This capability includes the use of mobile drive-away kits (such as laptop computers, cell phones, and satellite communications equipment), which can be readily transported to a remote location.

APPENDIX N: CONTINUITY FACILITY NEEDS

List each essential function, and its facility needs (see Understanding the Organization: Identify facility needs9) in the table below.

Essential Function Need a physical facility? If yes, list facility requirements.□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes□ No □ Yes


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