Continuity of Operations Planning Introduction & Practical Application – PART TWO Kelly Keenan, MPH May 14, 2015

Overview What is COOP? 10 Essential Elements Practical Application

What is COOP?

What is COOP? How an organization continues its essential functions during a disruptive incident.

Who is Responsible for COOP? Federal Government COOP Presidential Directive  Secretary of Homeland Security  FEMA State, Local and Private COOP According to FEMA, responsibility for continuity planning resides with the highest level of management of the organization involved.

Why Do COOP? FEMA asked nicely Emergencies disrupt normal operations, not demand Community Benefit Provide an essential function to the community Financial Lost revenue + extra expenses = reduced profits Customers defect to competition Ethical/Legal Should not abandon patients/clients/community Cannot abandon patients/clients/community

10 Essential Elements

10 Essential Elements or Continuity of Operations Capabilities Essential Functions  Orders of Succession  Delegations of Authority  Continuity Facilities  Continuity Communications  Essential Records Management  Human Resources  Devolution of Control and Direction Reconstitution  Tests, Training, and Exercises 

Practical Application Essential Functions Identify Understand

Planning: Identify Essential Functions 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 Organizational Functions. To assist in accomplishing Step 1, useful resources may include the following: 1. Statutes, laws, executive orders, or directives that charge the organization with responsibility to perform missions; 2. Mission statements that describe the overarching mission(s) or list the services provided by the organization; 3. The organization’s strategic plan; 4. Published organization literature; and/or 5. Interviews with organization leadership and external partners. Examples of organization function descriptions are listed below: 1. Provide training to outside organizations; 2. Maintain and ensure operational capability of computer systems; 3. Provide Equal Employment Opportunity services; 4. Develop organization budget for the next fiscal year.

Planning: Understand Essential Functions Understanding the Essential Functions: Identify leadership needs Identify staff needs Identify community & IT needs Identify facility needs Identify additional resource needs Identify associate agency support needs *Essential Functions = Mission Essential Functions & Essential Support Activities

Practical Application Orders of Succession

Orders of Succession Orders of succession outline who can, and should, assume leadership roles of the organization in the event an organization’s leadership becomes debilitated or incapable of performing its roles.

Practical Application Delegations of Authority

Delegation of Authority Ensure the orderly and predefined transition of leadership responsibilities within an organization during a COOP activation and are closely tied to succession. Succession = who Delegation of Authority = how

Practical Application Continuity Facilities

Continuity Facilities Continuity Facilities includes other facilities and locations, and work arrangements such as telework and mobile work concepts. Allows the organization to relocate during an incident that impact their primary facility. Includes: Alternate Sites Telework Options

Practical Application Human Resources

Human Resources Staff is vital to the continuity capability of all organizations. Incorporate exist organizations policies and procedures into COOP: Communication, including initial alert and operations status Procedures for contacting and accounting for all staff HR Issues like pay, leave, work scheduling, benefits, telework, hiring, authorities, and flexibilities Procedures for assisting staff (e.g. disaster survivors) Training Personal Preparedness All staff have to either be essential or non-essential, based on: Essential function’s staffing requirements Leadership requirements

Human Resources Essential Staff Plan should address: Staff members that are needed to complete the essential functions must be considered essential staff. Plan should address: Pre-identify staff (by title) and training procedures Expectations, roles and responsibilities Cite existing organizational policies and procedures Contact information for essential staff Organizational policies and procedures support afterhours and overtime work Consider union and bargaining issues

Human Resources Non-Essential Staff Can be: Staff members that are not needed to complete the essential functions must be considered non-essential staff. Can be: Reassigned to participate in other response activities E.g. ICS, Reconstitution Team Continue to complete their normal tasks Furloughed

Practical Application Essential Records Management

Essential Records Management Identify, protect, make availably essential records “Essential records” support the continued performance of essential functions during an incident. Includes: Information systems technology Applications Infrastructure Electronic and hardcopy documents References and records

Essential Records Management Essential records fall into two categories: Emergency Operating Records E.g. Emergency plans and directives, orders of succession, delegations of authority, staffing assignments, and related policy or procedural records. Rights and Interests Records E.g. Accounts receivable files, contracting and acquisition files, official personnel records, Social Security, payroll, retirement, and insurance records, property management, inventory records

Essential Records Management Plan should address: Complete inventory of essential records. Includes records that: Specify how an organization will operate in an emergency or disaster Necessary to the organization’s continuing essential functions and resumption of normal operations Needed to protect the legal and financial rights of the organization and the public Essential records and database risk assessment Identify the risks involved if essential records are retained in their current locations and media, and the difficulty of reconstituting the records if destroyed Essential records plan packet

Practical Application Continuity Communications

Continuity Communications An organization’s ability to execute its essential functions depend upon the availability of effective communications systems. Communication necessary for the essential functions Communication necessary for senior leadership to Collaborate Develop policy and recommendations Act under all-hazards conditions The COOP plan should address all of your communication needs, and how those needs will be meet and sustained during COOP activation.

Continuity Communications 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, Network access, Internet EMSystem, CO-SHARE, WebEOC, CEDRS, Health Alert Network 800 MHz Radio, Satellite Phones, HAM/Amateur Radio Operators (ARES) Secure Communication Data Management Needs

Practical Application Devolution of Control and Direction

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 is a continuity of planning element that may not be appropriate for every agency. Transferring operations: Different location within an organization Different individuals within an organization An outside organization

Devolution of Control and Direction The Devolution section of the COOP plan should address the following elements: Identify which essential functions the agency would transfer Resources needed transfer to the devolution site Resources needed perform at the devolution site Activation protocols (triggers) How, and when, operations will transfer Points-of-contact (POCs) at the devolution site(s) POCs with responsibility for personnel who will perform the essential functions Acquire resources necessary to continue and sustain operations Restore or reconstitute organization authorities

Practical Application Reconstitution

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. Process of reconstitution begins at the start of a continuity event. COOP should include a reconstitution team to help the organization resume normal operations as quickly as possible.

Practical Application Tests, Training, and Exercises

Tests, Training, and Exercises Testing, training and conducting exercises is necessary to assist organizations to prepare and validate their continuity capabilities and program and ability to perform essential functions during any emergency. Once completing the COOP plan, COOP should be built into your larger Training and Exercise Plan.

Questions?