Title: University of Maryland Center for Health and Homeland Security http:www'umaryland'eduhealthsecurity
1University of MarylandCenter for Health and
Homeland Securityhttp//www.umaryland.edu/healths
ecurity/
- Alexandra Podolny, J.D.
- Mike Vesely, J.D.
- 500 West Baltimore Street
- Baltimore, Maryland 21201-1786
- (410) 706-3985
- (410) 706-0583 fax
- Director Michael Greenberger, J.D.
2CHHS Mission
- Develop, coordinate, and expand policy
development, training, legal analysis,
consulting, and scholarly programs relating to
counterterrorism crisis and consequence
management issues.
3Administration
- Michael Greenberger, JD, a professor at the
University of Maryland School of Law and a former
high-ranking United States Justice Department
official with counterterrorism responsibilities,
is CHHS director. - University of Maryland President David J. Ramsay,
DM, DPhil, chairs the CHHS board of directors,
which includes the deans of the University's
medical, law, dental, pharmacy, nursing, and
social work schools.
4CHHS COOP Planning Experience
- COOP Planning for Maryland State and Local
Government Agencies. - COOP Planning for the State of Maryland
Governors Office of Homeland Security. - COOP Planning for the State of Maryland
- Judicial System.
- COOP Planning for the University of Maryland,
- Baltimore.
5CHHS Projects
- CHHS is currently providing or has provided
consulting/training services for - U.S. Department of Homeland Security
- Maryland Emergency Management Agency
- Maryland Governors Office of Homeland Security
- Maryland Judicial System
- Maryland Department of Health and Mental Hygiene
- National Capital Region
- Baltimore City Health Department
- University of Maryland, Baltimore
- University of Maryland Medical System
- Baltimore Urban Area Work Group
- Kansas Department of Health and Environment
6What is COOP Planning?
- COOP (Continuity of Operations) planning is an
internal effort within an institution to ensure
the continuity of essential functions across a
wide range of emergencies and events.
7COOP Training Course - Overview
- U.S. Department of Homeland Security/ FEMA
- Preparing the States Implementing
- Continuity of Operations (COOP) Planning
- CHHS designed and has been certified to conduct a
federal - COOP training program designed to instruct
emergency - preparedness officials throughout the nation on
developing - and implementing COOP plans.
8CHHS COOP Training Course
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
9CHHS COOP Training Course
- U.S. Department of Homeland Security Certificate
of Completion - Sample Agency
10CHHS COOP Training Course
- Train-the-Trainer Optional 3rd Day
- Adult learning instruction
- Delivering a management level presentation of the
COOP material.
11Why COOP?
- Functionality of agencies after disaster
- Reliability/Accountability
- Consistency of services
- Minimization of chaos
- Good Business Practice
- Public Relations
12Goals of COOP
- Ensure timely orderly continuous performance of
essential functions during after emergency - Protect facilities, equipment, records, other
assets that support essential functions - Reduce or mitigate disruptions to operations
13Goals of COOP (continued)
- Reconstitution resumption of normal operations
- Devolution continue as many essential functions
as possible when reconstitution at primary
facility is not possible - Minimize loss of life injury to agency
personnel - Family support planning for agency personnel
during emergency
14FCD 12/FPC-65 Guidelines for COOP Capability
- Should be maintained at high level of readiness
- Should be capable of execution both with
without warning - Should be operational no later than 12 hours
after activation
15FCD 1 2 FPC-65 Guidelines for COOP Capability
(continued)
- Should maintain sustained operations for at least
30 days - Should take maximum advantage of existing
infrastructures
16Assumptions/Considerations in COOP Planning
- Emergencies threatened emergencies differ in
priority impact - Vulnerability of agency depends on probability of
event occurring impact event could have on
operations
17Assumptions/Considerations in COOP Planning
(continued)
- Current agency outside personnel resources
located beyond affected area may be available as
necessary to continue essential functions - Agency should provide operational capability
within 12 hours of event be able to continue
essential operations for 30 days or until
termination of event, whichever is earlier
18COOP Program Model 7 Phases
- COOP program initiation
- Identification of functional requirements
- Plan design development
- Program implementation
- Tests, training, exercises
- Plan revision updating
- Plan execution
19Phase 1 Program Initiation
- Initiation of COOP planning
- Appointment of COOP manager
- Organization of COOP team
- Role of state/local/tribal emergency management
agency - Identification of resources for COOP program
- Establishment of objectives, milestones,
deliverables, timelines
20GROUP DISCUSSION
21Discussion Question
- How would you identify those personnel that
should be responsible for COOP plan activation?
22Role of State/Local Emergency Management Agency
- Coordinate COOP activities across the state
- Provide guidance on the development of COOP plans
- May chair a COOP working group (CWG)
- Coordinate COOP exercises
- Conduct periodic assessments of statewide COOP
capability
23Phase 2 Identification of Functional Requirements
- Assessment of essential functions
- Conduct business impact analysis (BIA)
- Conduct risk assessment (RA)
24Phase 3 Plan Design Development
- Determine appropriate format of plan (i.e., one
large plan vs. smaller plans) - Analysis of existing standard operating
procedures (SOPs) emergency operating
procedures (EOPs) to determine their places
within the COOP plan - Collection of necessary data for creating COOP
plan (through a worksheet system) - Organization of data into consistent
user-friendly format
25COOP vs. Other Emergency Plans
- Emergency Operating Procedures typically address
only the immediate aftermath of an incident - A COOP plan will address the immediate aftermath,
as well as plan for the short-term long-term
focusing on continuing essential functions.
26COOP vs. IT Contingency Plan
- COOP
- Provide procedures and capabilities to sustain an
organizations essential functions at an
alternate site for a predetermined period of time
(e.g. 30 days) - A COOP plan would consider all aspects that
support essential functions (including vital
records, systems, and equipment)
- IT Contingency Plan
- Provide procedures and capabilities for
recovering a major application or general support
system - Addresses IT system disruptions not business
process
27Phases 4 5 Program Implementation Testing,
Training, Exercises
- Publication of COOP plan (usually internal to
agency state emergency management agency) - Tests
- Training
- Exercises
28Phase 6 Revision Updates
- Revisions updates based on problems gaps
identified during TTE - Certification
29Phase 7 COOP Plan Execution
- Execution of COOP plan during actual emergency
- Analysis of level of execution (entire plan or
portions thereof depending on specific emergency) - Implementation of reconstitution devolution, if
necessary
30Using the Course Materials-DHS Course
- Worksheets
- Practical exercise
- Tabletop Exercise (Basic COOP Exercise)
31POTENTIAL THREATS
- Naturally-Occurring
- Floods
- Tornados
- Wildfires
- Hurricanes
- Earthquakes
- Human-Induced
- Intentional
- Fires
- Terrorist Attacks
- Unintentional
- Power Outages
- Telecommunications Failure
32GROUP DISCUSSION
33Discussion Question
- What would you say are the biggest threats to
your region? Has there been a risk assessment
done in your jurisdiction?
34COOP 101
- Elements of Continuity of
- Operations (COOP) Planning
35Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
36Essential Functions
37Goal
- To identify and prioritize essential functions,
and determine their supporting critical processes
and services.
38Objectives
- Define essential functions in general terms.
- Identify the sources that specifically define the
agencys functions. - Differentiate essential functions from other
agency functions. - Identify critical processes and services
supporting essential functions. - Prioritize essential functions.
39ALL Functions
- Defined All actions or tasks performed by
employees as part of their regular job duties for
the office, department or branch.
40Sources that define an organizations functions
- Agency mission statement
- Legislation authorizing agency
- Regulations promulgated by agency
- Reports on agency operations
- Existing SOPs EOPs
- Current former employees
41What are essential functions?
- Essential functions are a subset of ALL functions
that encompass those critical areas of business
that must continue even in the event of an
emergency.
42Identifying Essential functions
- Must be performed to achieve the agencys mission
- Provide vital services
- Exercise civil authority
- Maintain the safety well-being of the community
43Identifying Essential Functions (cont).
- Sustain industrial economic base
- Should be resumed within 12 hours of
disruption - Should be sustainable for up to 30 days
44Examples
- Human Resources Issuing paychecks
- Police Department To safeguard life and
property, preserve the peace, prevent and detect
crime, enforce the law - Local Courts Adjudicate Cases (Peace
Restraining Orders)
45GROUP DISCUSSION
46Discussion Question
- Which essential functions does your agency
provide? Which of these are most important? How
will these be continued following a COOP event?
47Non-Essential Functions
- Do not need to be included in the COOP plan.
- Examples
- A state department of corrections has a division
devoted to constructing new correctional
facilities. - In a Human Resources Department, training to deal
with employee grievances.
48Identify critical processes and services
supporting essential functions
- The processes and services that are necessary to
ensure continuance of an essential function. - The purpose of identifying critical processes and
services is to assess the resource requirements
needed for each essential function, such as
personnel, records, systems, and equipment.
49Examples of critical processes
- Function The payroll department will issue
paychecks to its employees. - Critical Processes involved input data, print
checks, distribute checks, etc.
50Prioritizing essential functions
- Look at the essential functions supporting
critical processes and services. - Consider whether certain essential functions
depend on others. - Example If Essential Function B cannot be
performed unless Essential Function A is being
performed (or has been performed), then Essential
Function A will have a higher priority than
Essential Function B.
51Continued from previous slide.
- Some essential functions are cyclical.
- For these essential functions, their priority
will depend on when the COOP event occurs within
the cycle (i.e., final course grades for
graduating students) - The cycle should be noted in the COOP plan, so
that a quick determination of the essential
functions priority may be made at the time of
the COOP event.
52Brainstorming Activity
53Essential Functions Worksheet
- See the Essential Functions Worksheet in your
packet of papers
54Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
55Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
56Human Capital Management
57Objectives
- Define Human Capital Management (HCM)
- Define and identify key positions
- Identify common emergency operating procedures
that should be included in a COOP plan - Identify family support measures that may be
included in a COOP plan
58Human Capital Management (HCM)
- Human Capital the sum of the talent, energy,
knowledge, and enthusiasm that people invest in
their work.
59Goals of HCM
- Placing the right people in the right jobs to
perform essential functions. - Investing in training development to build
skills competencies to increase employee
flexibilities. - Ensuring all employees have clear understanding
of what to do in emergency.
60Define and identify key positions
- Key Positions/Personnel Those positions
necessary to perform an organizations essential
functions. - If these positions are left unattended, an agency
will not be able to meet the needs of the
community or fulfill its essential functions.
61GROUP DISCUSSION
62Discussion Question
- How should key personnel be identified?
63Key Personnel
- Positions that perform essential functions.
- Most likely will include the agencys director
management and almost certainly include
non-management positions too. - Orders of Succession
- Delegation of Authority
64Identifying Key Positions
- The first step in identifying key positions is to
assess the current organizational structure of
the agency. - The next step in COOP planning is to identify the
key positions necessary to perform essential
functions. - If there is an absence in a key position,
essential functions are not being fully met and
this could have devastating effects on the
agency. - Do the positions entail specialized knowledge or
the carrying out of specialized duties?
65Create/Review Agency Chart
66Sample Agency Chart
- Look at the Worksheet in your packets containing
a sample agency chart
67Historical Evidence
- Key positions may also be identified by
historical evidence. - An agency that has experienced a disruption in
the past that resulted in an unexpected departure
of a key position can use evidence from this
event as an indication of which positions are
key.
68Maintaining Information About Key Positions
- Who occupies those key positions now? What are
their qualifications/backgrounds? - What are the special skills/requirements for key
positions? - How long are the shifts for the key positions?
- Where are the key positions located within the
organization?
69Brainstorming Activity
70Status of Non-Essential Employees and Non-Special
Categories of Employees
- While it is necessary for key personnel to carry
out the essential functions following an
emergency, there are many other employees who may
be instructed not to report to work. - However, all employees still need to be familiar
with the COOP plan.
71Identify common Emergency Operating Procedures
that should be included in a COOP plan
- Emergency operating procedures are activated
before essential functions can be resumed. - All emergency plans should be coordinated.
- Emergency operating procedures should take into
consideration employees with disabilities.
72Emergency Operating Procedures that should be
incorporated into a COOP Plan
- Key Concepts
- Area of Refuge
- Evacuation Procedures
- Shelter-in-Place
- Designated Assembly Area
73Worksheet 4
- Example of the information that should be
collected and maintained is on the worksheet
contained in your packets
74Go Kits
- Pre-assembled assortment of items that should be
readily on hand following a COOP event. - The organizations personnel should have go kits
for work which would be taken with them during
any evacuation. Such work go kits may include
laptop computers or vital records. - People should also have personal go kits, which
would include the basics for survival, such as
food, water, and medication.
75Emergency Evacuation Team (EET)
- The EET and their alternates are regular
employees who ensure that building evacuation is
carried out as planned, evacuees are directed to
assigned assembly points where they will be
accounted for, and persons needing assistance to
evacuate are helped.
76Employee Contact List
- Person(s) from the EET should be designated to
develop and maintain an up-to-date Employee
Contact List for all employees that work in the
building - The document should include the following
information - The names of all employees that work in the
building - The floor locations of all employees
- Cell and home phone numbers for all employees
77Example Worksheet
78Identify family support measures that may be
included in a COOP plan
- Family Support Planning Efforts designed to
ensure that an agency takes care of an employees
and/or his or her familys needs. - The services to be provided under this section
include emergency contact information,
counseling, and daycare services. - It is in an organizations best interests to have
a family support plan in place because employee
will be more willing to continue working if they
know their families are taken care of. - These are especially important for first
responders.
79Family Support Team
- Headed by a Family Support Coordinator.
- Facilitates implementation of family support
plans. - When a new employee is hired, his or her family
information may be immediately recorded with all
other information.
80Example
81Sample Family Support Team
- Look in your packets at the worksheet containing
a sample family support team
82Counseling Services
- Will the organization provide them?
- To whom will the organization provide them
employees only, or family members as well? - Who will provide the services?
- What type of services psychological,
emotional, spiritual?
83Example Worksheet
84Sample Counseling Services
- Look in your packets at the sample counseling
services worksheet
85Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
86Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
87Objectives
- Define delegations of authority.
- Identify elements of a written delegation of
authority document. - Define orders of succession.
- Identify the key components for orders of
succession.
88Delegation of Authority
- Definition Pre-delegated authority for making
policy determinations and decisions. - Types
- Emergency
- Example Deciding whether to evacuate or
activate COOP plan. - Administrative
- Example Budgetary/personnel decisions
89Emergency v. Administrative
- Emergency Authority the ability to make
decisions related to an emergency, such as
deciding whether to activate a COOP plan,
determining which personnel should report for
duty, or deciding whether to evacuate a building. - Administrative Authority the ability to make
decisions having effects beyond the duration of
the emergency, such as policy determinations,
hiring/dismissal of employees, and allocation
of fiscal and non-monetary resources.
90Establish Rules and Procedures for Delegation of
Authority
- A list of conditions or events that will trigger
the delegation of authority for that key position
is required. - The plan should also detail how the designee will
assume authority and how staff will be notified
of the delegation. - Training must also be provided.
91Identify Elements of a Written Delegation of
Authority Document
- Circumstances under which authorities would
become effective - Exceptions to authority, and authority to
re-delegate as needed - Circumstances under which delegated authorities
would terminate - Plan for training officials
92Delegation of Authority Worksheet
- Authority (Function)
- Type
- Position Holding
- Triggering Condition
- Position(s) Receiving Authority
- Rules
- Procedures
- Limitations
93Sample Delegation of Authority
- Look in your packets at the sample delegation of
authority worksheet
94Orders of Succession
- Definition a formula that specifies by position
who will automatically fill a position once it is
vacated. -
95Why Have a Succession Plan?
- Prepares the organization for planned departures
as well as for emergencies. - Provides for consistency of operations.
- Reduces stress during transition whether caused
by emergency or not. - Preserves institutional knowledge expertise.
- Maintains the organizations functionality with
minimal interruption.
96Triggering Succession
- Emergency event
- Death
- Incapacitation through illness or serious injury
of that person or his/her family - Imprisonment
- Abduction or kidnapping
- Unexplained disappearance
- Filling vacancy of another key position
97Order of Succession Considerations
- Geographic proximity
- Organizational proximity
- Skills/qualifications required
- Experience
- Knowledge and training
- Personality
98Limitations on the Successor
- Length of term
- Return to normal operations
- Original person able to return to duties
- Agency head designates new person
- Limits on decision-making authority
- May make only short-term decisions involving
day-to-day operations - May or may not make fiscal decisions
- May or may not make staffing decisions
99Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
100Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
101Vital Records, Systems Equipment
102Goal
- To identify and inventory vital records, systems,
and equipment and identify the role they play in
COOP planning.
103Objectives
- Distinguish vital records for COOP purposes from
the conventional notion of the term. - Identify the key tasks in COOP planning
associated with vital records. - Identify and correlate the vital records that are
crucial to ongoing essential functions. - Identify and assess existing maintenance and
protection systems and methods for vital records
that can be incorporated into a COOP plan. - Identify vital systems and equipment.
104Incorporating Vital Records into COOP Plans
- The primary issue of concern for vital records in
a COOP event is whether COOP personnel will have
access to records at the alternate facility
needed to continue essential functions.
105Distinguish vital records for COOP purposes from
the usual notion of the term
- Record anything created or received by an
organization in the course of its business. A
record could be on any media and could be
temporary or permanent. - Vital records are records, regardless of media,
which if damaged or destroyed, would - Disrupt organization operations and information
flow - Cause considerable inconvenience and
- Require replacement or re-creation at
considerable expense.
106Two Categories of Vital Records
- Emergency Operating Records Records (e.g. plans,
directives, orders of succession, and delegations
of authority) essential to the continued
functioning of an agency during and after an
emergency to ensure continuity of operations. - Standard Operating Records Records (e.g.
personnel records, social security records,
payroll records, insurance records, contracts,
etc.) essential to the protection of the
legal/financial rights of an agency and of those
directly affected by its activities.
107Establishing an Official Records Program
- Advantages of an Official Program
- Applies regular maintenance procedures to
operations before and following COOP events. - Specifies the purpose and scope of the program.
- Assigns roles and responsibilities.
- Provides for staff training.
108Identify and prioritize vital records crucial to
ongoing essential functions
- A record is only vital if it is necessary to
perform an essential function. - The agency must also have the right equipment to
support records.
109Characteristics of Vital Records
- Form
- Electronic vs. paper
- Category
- Emergency operating records vs. standard
operating records - Type
- Static vs. dynamic
- Location
- Physical location for paper records the file
path/system for electronic records
110Identify and assess existing maintenance and
protection systems and methods for vital records
that can be incorporated into a COOP plan.
111Risk Assessment for Vital Records
- What are the risks?
- Is offsite storage necessary?
- Should there be an alternative storage media?
- Is duplication necessary?
112Proactive Protection Solutions
- More backups or longer retention periods.
- Upgrade storage facility protection (especially
from fire, water, thermal). - Improve security measures.
113Off-Site Storage
- Providing an off-site storage facility where
duplicated vital records and documentation may be
stored for use during disaster recovery is also
an important tool. - Regular back-up and transfer of files to an
alternate location is a very effective form of
protection for vital records.
114Vital Records Go Kit
- A pre-assembled assortment of vital records that
should be readily on hand following a COOP event.
115Vital Records Checklist
- An agency should compile a list of tasks when
establishing and maintaining an effective vital
records program.
116Identify vital systems and equipment
- The process for identifying and assessing vital
systems and equipment is nearly identical to the
process of identifying and assessing vital
records. - The identification of vital equipment begins with
the essential functions and the critical services
or processes that support them.
117Risk Assessment for Vital Equipment
- What are the risks?
- Is the equipment dependent on other systems?
- Is there seasonal sensitivity?
- What is the Recovery Time Objective (RTO)?
118GROUP DISCUSSION
119Discussion Question
- Has your agency identified your vital records?
What types of records would you consider vital?
What data systems are necessary to access these
records?
120Tests Maintenance
- Who has the keys?
- What do you mean this thing takes D batteries?
121Pre-Deployment of Vital Equipment
- Backup generators
- Extra radios
- Spare computer printer
122Brainstorming Activity
123Sample Vital Records/Equipment
- Look in your packets at the sample worksheet
pertaining to Vital Records, Databases, Systems,
and Equipment - Look at the section that relates to recovery
vendors - Look at the section that deals with Vital
Equipment
124Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Communications
- Reconstitution and Devolution
- Writing a COOP Plan
- Tests, Training, and Exercises
125Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
126Alternate Facility
- Define The location where key personnel carry
out essential functions when primary facility is
unavailable.
127Objective
- Participants will be able to identify alternate
work sites for their agency and draft a
relocation plan for bringing an alternate site
into use.
128Alternate Facilities - Overview
- Identify the factors to be considered when
selecting an alternate site. - Distinguish hot, warm, and cold alternate work
sites. - List resources for identifying alternate sites.
- Discuss the issues incorporated in a relocation
plan.
129Alternate Facility Considerations
- Factors
- Location
- Building type
- Space
- Distance
- Transportation
- Communications
- Security
- Lodging / food for personnel
- Accessibility
130Categories of Alternate Facilities
- Hot sit down and start working.
- Warm some activation needed.
- Cold numerous activation steps.
131List Resources for Identifying Alternate Sites
- Independent Facility
- Currently Used Facility
- Cooperative Facility Agreement
- Telework
132Cooperative Arrangements
- Cooperative Facility Agreement
- Mutual Aid Agreement
- Emergency Management Assistance Compact (EMAC)
133Risk Assessments Ongoing Evaluation
- Risk assessment of selected alternate sites
- Relocation plan
- Review of cooperative arrangements maintenance
134Discuss the Issues Incorporated in a Relocation
Plan
- Activation Relocation
- Alternate facility operations
- Reconstitution/devolution
135Relocation Plan
- Predetermined list of procedures
- Provides for all logistics of move
- Success of relocation depends on good
communications - Remember essential employees with special needs
136Pre-Deployment
- When possible practical, pre-deploy key assets
to alternate facilities - Reduces logistical burden during COOP activation
137Brainstorming Activity
138Sample Alternate Facilities
- Look at the sample worksheet pertaining to
alternate facilities in your packets
139Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
140Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
141Reconstitution Devolution Objectives
- Define reconstitution generally
- Identify the primary tasks to be completed in any
reconstitution process - Define devolution generally
- Outline some procedures for devolution planning
142Reconstitution Devolution
- When do these happen?
- After incident requiring COOP activation has
ended agency is operating under COOP plan - Reconstitution
- Return to normal operations somewhere
- Devolution
- Continuing essential functions only
143Reconstitution
- Defined Process by which surviving and/or
replacement personnel resume normal operations at
original or replacement primary operating
facility
144The Reconstitution Process
- Form team
- Salvage what you can
- Plan move from COOP site
- Outline procedures necessary for transition
- Look to relocation procedures outlined in
alternate facilities think of them in reverse
145Identify the Primary Tasks to be Completed in any
Reconstitution Process
- The primary facility is rendered unusable.
- Agencys COOP plan activated.
- The reconstitution team convenes.
- Reconstitution team addresses logistics of
relocation. - Employees relocate to original/new facility.
146Reconstitution Coordinator
- The Reconstitution Coordinator is the individual
who will coordinate and oversee the
reconstitution process and who will develop the
reconstitution plan.
147Reconstitution Procedure Specifically
- Determine space allocation facility
requirements - Develop time-phased plan for resuming normal
operations - Check safety occupancy regulations for building
148Reconstitution Implementation
- Inform employees
- Transport materials, personnel, supplies
- Notify customers public of change
149Devolution
- The capability to transfer statutory authority
and responsibility for essential functions from
an agencys primary operating staff and
facilities to other employees and facilities, and
to sustain that operational capacity for an
extended period.
150Outline Some Procedures for Devolution Planning
- Identify prioritized essential functions
- Identify likely triggers that would initiate
devolution - Provide list of trained available personnel to
devolution authority
151Previous Slide Continued
- Specify how when direction control of agency
operations will be transferred to devolution site - List necessary resources for prioritized
essential functions - Establish procedures to acquire resources for
extended periods of devolution activity
152Previous Slide Continued
- Establish capabilities to reconstitute agency
authorities to pre-event status upon termination
of devolution - Specify how when direction control of agency
operations will be transferred to devolution site - List necessary resources for prioritized
essential functions
153Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
154Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
155Communications
- Define interoperable communications.
- Identify communication systems that support
essential functions. - Identify and implement preventive controls to
maintain communication systems. - Identify alternative modes of
communication. - Discuss the role of media relations.
- Create a personnel contact list.
156Communications Should Provide
- The ability to communicate with essential
personnel, as well as, other agencies,
organizations, and customers. - Interoperability with existing field
infrastructures. - Access to data and systems.
- The ability to support
COOP operational
requirements.
157Define Interoperable Communications
- Interoperable Communications alternate
communications that provide the capability to
perform essential functions, in conjunction with
other agencies, until resumption of normal
operations.
158Communications Essential Functions
- Capability commensurate with the organizations
essential functions activities - Access to data and systems
159Communication Systems Supporting Essential
Functions
- Voice lines
- Fax lines
- Data lines
- Cellular phones
- Pagers
- Email
- Internet access
- Instant messenger services
- Personal digital assistants (PDAs) with email and
phone - Radio communication systems
- Other
160Identify Additional Information for Each Service
Provided
- List the current provider for each type of
communication system (if applicable). - List any special services available from the
current provider.
161Communications COOP
- The COOP plan should facilitate communication
between the COOP team, and management and staff,
and should provide for communication with other
agencies, as well as emergency personnel.
162Preventive Controls
- Defined Measures in place to prevent loss of
function of systems and of data critical to an
organizations essential functions. - Examples
- Uninterruptible power supplies to provide
short-term backup power to system components. - Generators to provide long-term backup power.
- Water sensors in the ceiling and floor for
computer and telecommunications rooms.
163Alternative Modes of Communication
- GETS/WPS Priority
- Radios, satellite phones, or other special
communication devices - Emergency (Community) Notification Systems
164FPC-65 Guidelines for Communication with Employees
- Written procedures for dismissal or closure to
employees at least annually. - Identify employees who must report for work under
various emergency situations and notify these
employees in writing. - Identify when work may or must be performed at
various work sites.
165Media Relations
- Media plays an important role in
- disseminating information to the public
166GROUP DISCUSSION
167Discussion Question
- Is there an office or person that regularly
deals with the media? Why is it important to
establish media relation protocols? What are
some of the advantages to having good media
relations? Are there any disadvantages?
168Create a Personal Contact List (Rapid Recall List)
- Rapid Recall List (RRL) is a cascading list in
order of notification of key personnel outside
emergency personnel
169Sample Communications
- Look at the sample communications worksheet
included in your packet - Look at the section pertaining to emergency
numbers and website information - Look at the section that relates to maintaining
employee contact information
170Brainstorming Activity
- What types of communications services does your
department use? - Does your department keep a personnel contact
list? - If so, who is responsible for updates?
- How often are updates made?
- Is there someone within your department
designated to issue statements to the media? - If so, who has been designated?
- Does your department currently have any methods
for disseminating information to the public? - If so, what are your current methods?
171Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
172Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
173Writing a COOP Plan
- Convert information from worksheets into a
comprehensive and effective plan using outlines,
templates, and models. - Identify additional materials that may be
incorporated into the plan. - Identify appropriate means of storing, updating,
and accessing a COOP plan.
174Converting Information into a COOP Plan
- Completed worksheets ? COOP plan
- Organization is crucial (e.g. by essential
function) - Should be tailored to meet your needs
- User-friendly
175Outlines Answer These Questions
- What are the agencys essential functions and
human capital? - How can an agencys facilities, vital records,
equipment, and other assets be protected? - How can disruption to operations be reduced?
176Additional Sections To Consider
- Executive summary
- Appendices or annexes
- Glossary
- Quick Look Sheets
177COOP Plan Storage Access
- Hard copy vs. electronic
- The COOP plan should be portable and easily
accessible after an emergency.
178Security
- The COOP plan usually contains sensitive data
(e.g., personal information on employees, access
information for agency data). - Some agencies have two plans
one with all information and
another scrubbed of all
sensitive information.
179Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
180Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercise
181Tests, Training, and Exercises
- Teach employees their roles
- Verify that COOP plan works
- Clarify where COOP plan needs revision
- Familiarize with alert, notification deployment
procedures - Ensure that employees are able to perform
essential functions during COOP event - Ensure that employees are familiar with
reconstitution procedures
182Goals of TTE
- All agency employees know their roles following
COOP plan activation - Verify that COOP plan works
- Clarify where COOP plan needs revision
183The Components of TTE
- Test Demonstration of the correct operation of
equipment, procedures, processes, and systems
that support the agency. - Training Instruction in individual or agency
functions, procedures, and responsibilities. - Exercise Evaluation of agency performance
against a set of standards or objectives
184Training Should Include
- Traditional job training, cross-training, and
general training to increase employee competency
and flexibility. - The entire workforce must be trained to develop
COOP awareness.
185Tests Should Evaluate
- Ability to access vital records, databases,
systems, equipment following COOP event - Communications
- Logistics at alternate facility
186Types of Exercises
- Tabletop (TTX)
- Drills
- Functional
- Full-scale
187Building Block Approach
- Individual TTE elements may build upon one
another - Different types of exercises may build upon one
another
188GROUP DISCUSSION
189Discussion Question
- At the conclusion of COOP test, training, and
exercise events or a real COOP activation, does
your agency conduct an after-action review? - If so, does your agency have a process to
identify and resolve problems? - If not, how does your agency document
issues/best practices discovered during testing?
190Life Cycle of COOP
191Topics
- Essential Functions
- Human Capital Management/Key Personnel
- Delegations of Authority/Orders of Succession
- Vital Records, Systems and Equipment
- Alternate Facilities
- Reconstitution and Devolution
- Communications
- Writing a COOP Plan
- Tests, Training, and Exercises
192Project Team Contact Information
- Director Michael Greenberger J.D.
- University of Maryland
- Center for Health and Homeland Security
- 500 W. Baltimore St.
- Baltimore, MD 21201
- 410-706-1014
- COOP Team Members
- Alexandra Podolny APodolny_at_law.umaryland.edu
- Michael Vesely MVesely_at_law.umaryland.edu
- A.J. Bellido De Luna ADeLuna_at_law.umaryland.edu
- Adrian Wilairat Awilairat_at_law.umaryland.edu