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Title: University of Maryland Center for Health and Homeland Security http:www'umaryland'eduhealthsecurity


1
University 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.

2
CHHS Mission
  • Develop, coordinate, and expand policy
    development, training, legal analysis,
    consulting, and scholarly programs relating to
    counterterrorism crisis and consequence
    management issues.

3
Administration
  • 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.

4
CHHS 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.

5
CHHS 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

6
What 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.

7
COOP 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.

8
CHHS 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

9
CHHS COOP Training Course
  • U.S. Department of Homeland Security Certificate
    of Completion
  • Sample Agency

10
CHHS COOP Training Course
  • Train-the-Trainer Optional 3rd Day
  • Adult learning instruction
  • Delivering a management level presentation of the
    COOP material.

11
Why COOP?
  • Functionality of agencies after disaster
  • Reliability/Accountability
  • Consistency of services
  • Minimization of chaos
  • Good Business Practice
  • Public Relations

12
Goals 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

13
Goals 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

14
FCD 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

15
FCD 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

16
Assumptions/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

17
Assumptions/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

18
COOP Program Model 7 Phases
  • COOP program initiation
  • Identification of functional requirements
  • Plan design development
  • Program implementation
  • Tests, training, exercises
  • Plan revision updating
  • Plan execution

19
Phase 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

20
GROUP DISCUSSION

21
Discussion Question
  • How would you identify those personnel that
    should be responsible for COOP plan activation?

22
Role 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

23
Phase 2 Identification of Functional Requirements
  • Assessment of essential functions
  • Conduct business impact analysis (BIA)
  • Conduct risk assessment (RA)

24
Phase 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

25
COOP 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.

26
COOP 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

27
Phases 4 5 Program Implementation Testing,
Training, Exercises
  • Publication of COOP plan (usually internal to
    agency state emergency management agency)
  • Tests
  • Training
  • Exercises

28
Phase 6 Revision Updates
  • Revisions updates based on problems gaps
    identified during TTE
  • Certification

29
Phase 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

30
Using the Course Materials-DHS Course
  • Worksheets
  • Practical exercise
  • Tabletop Exercise (Basic COOP Exercise)

31
POTENTIAL THREATS
  • Naturally-Occurring
  • Floods
  • Tornados
  • Wildfires
  • Hurricanes
  • Earthquakes
  • Human-Induced
  • Intentional
  • Fires
  • Terrorist Attacks
  • Unintentional
  • Power Outages
  • Telecommunications Failure

32
GROUP DISCUSSION

33
Discussion Question
  • What would you say are the biggest threats to
    your region? Has there been a risk assessment
    done in your jurisdiction?

34
COOP 101
  • Elements of Continuity of
  • Operations (COOP) Planning

35
Topics
  • 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

36
Essential Functions
37
Goal
  • To identify and prioritize essential functions,
    and determine their supporting critical processes
    and services.

38
Objectives
  • 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.

39
ALL Functions
  • Defined All actions or tasks performed by
    employees as part of their regular job duties for
    the office, department or branch.

40
Sources 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

41
What 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.

42
Identifying Essential functions
  • Must be performed to achieve the agencys mission
  • Provide vital services
  • Exercise civil authority
  • Maintain the safety well-being of the community

43
Identifying Essential Functions (cont).
  • Sustain industrial economic base
  • Should be resumed within 12 hours of
    disruption
  • Should be sustainable for up to 30 days

44
Examples
  • 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)

45
GROUP DISCUSSION

46
Discussion Question
  • Which essential functions does your agency
    provide? Which of these are most important? How
    will these be continued following a COOP event?

47
Non-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.

48
Identify 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.

49
Examples of critical processes
  • Function The payroll department will issue
    paychecks to its employees.
  • Critical Processes involved input data, print
    checks, distribute checks, etc.

50
Prioritizing 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.

51
Continued 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.

52
Brainstorming Activity
53
Essential Functions Worksheet
  • See the Essential Functions Worksheet in your
    packet of papers

54
Topics
  • 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

55
Topics
  • 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

56
Human Capital Management
57
Objectives
  • 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

58
Human Capital Management (HCM)
  • Human Capital the sum of the talent, energy,
    knowledge, and enthusiasm that people invest in
    their work.

59
Goals 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.

60
Define 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.

61
GROUP DISCUSSION

62
Discussion Question
  • How should key personnel be identified?

63
Key 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

64
Identifying 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?

65
Create/Review Agency Chart
66
Sample Agency Chart
  • Look at the Worksheet in your packets containing
    a sample agency chart

67
Historical 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.

68
Maintaining 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?

69
Brainstorming Activity
70
Status 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.

71
Identify 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.

72
Emergency Operating Procedures that should be
incorporated into a COOP Plan
  • Key Concepts
  • Area of Refuge
  • Evacuation Procedures
  • Shelter-in-Place
  • Designated Assembly Area

73
Worksheet 4
  • Example of the information that should be
    collected and maintained is on the worksheet
    contained in your packets

74
Go 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.

75
Emergency 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.

76
Employee 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

77
Example Worksheet
78
Identify 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.

79
Family 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.

80
Example
81
Sample Family Support Team
  • Look in your packets at the worksheet containing
    a sample family support team

82
Counseling 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?

83
Example Worksheet
84
Sample Counseling Services
  • Look in your packets at the sample counseling
    services worksheet

85
Topics
  • 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

86
Topics
  • 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

87
Objectives
  • 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.

88
Delegation 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

89
Emergency 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.

90
Establish 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.

91
Identify 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

92
Delegation of Authority Worksheet
  • Authority (Function)
  • Type
  • Position Holding
  • Triggering Condition
  • Position(s) Receiving Authority
  • Rules
  • Procedures
  • Limitations

93
Sample Delegation of Authority
  • Look in your packets at the sample delegation of
    authority worksheet

94
Orders of Succession
  • Definition a formula that specifies by position
    who will automatically fill a position once it is
    vacated.

95
Why 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.

96
Triggering 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

97
Order of Succession Considerations
  • Geographic proximity
  • Organizational proximity
  • Skills/qualifications required
  • Experience
  • Knowledge and training
  • Personality

98
Limitations 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

99
Topics
  • 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

100
Topics
  • 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

101
Vital Records, Systems Equipment
102
Goal
  • To identify and inventory vital records, systems,
    and equipment and identify the role they play in
    COOP planning.

103
Objectives
  • 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.

104
Incorporating 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.

105
Distinguish 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.

106
Two 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.

107
Establishing 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.

108
Identify 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.

109
Characteristics 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

110
Identify and assess existing maintenance and
protection systems and methods for vital records
that can be incorporated into a COOP plan.
111
Risk Assessment for Vital Records
  • What are the risks?
  • Is offsite storage necessary?
  • Should there be an alternative storage media?
  • Is duplication necessary?

112
Proactive Protection Solutions
  • More backups or longer retention periods.
  • Upgrade storage facility protection (especially
    from fire, water, thermal).
  • Improve security measures.

113
Off-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.

114
Vital Records Go Kit
  • A pre-assembled assortment of vital records that
    should be readily on hand following a COOP event.

115
Vital Records Checklist
  • An agency should compile a list of tasks when
    establishing and maintaining an effective vital
    records program.

116
Identify 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.

117
Risk 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)?

118
GROUP DISCUSSION

119
Discussion 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?

120
Tests Maintenance
  • Who has the keys?
  • What do you mean this thing takes D batteries?

121
Pre-Deployment of Vital Equipment
  • Backup generators
  • Extra radios
  • Spare computer printer

122
Brainstorming Activity
123
Sample 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

124
Topics
  • 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

125
Topics
  • 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

126
Alternate Facility
  • Define The location where key personnel carry
    out essential functions when primary facility is
    unavailable.

127
Objective
  • Participants will be able to identify alternate
    work sites for their agency and draft a
    relocation plan for bringing an alternate site
    into use.

128
Alternate 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.

129
Alternate Facility Considerations
  • Factors
  • Location
  • Building type
  • Space
  • Distance
  • Transportation
  • Communications
  • Security
  • Lodging / food for personnel
  • Accessibility

130
Categories of Alternate Facilities
  • Hot sit down and start working.
  • Warm some activation needed.
  • Cold numerous activation steps.

131
List Resources for Identifying Alternate Sites
  • Independent Facility
  • Currently Used Facility
  • Cooperative Facility Agreement
  • Telework

132
Cooperative Arrangements
  • Cooperative Facility Agreement
  • Mutual Aid Agreement
  • Emergency Management Assistance Compact (EMAC)

133
Risk Assessments Ongoing Evaluation
  • Risk assessment of selected alternate sites
  • Relocation plan
  • Review of cooperative arrangements maintenance

134
Discuss the Issues Incorporated in a Relocation
Plan
  • Activation Relocation
  • Alternate facility operations
  • Reconstitution/devolution

135
Relocation Plan
  • Predetermined list of procedures
  • Provides for all logistics of move
  • Success of relocation depends on good
    communications
  • Remember essential employees with special needs

136
Pre-Deployment
  • When possible practical, pre-deploy key assets
    to alternate facilities
  • Reduces logistical burden during COOP activation

137
Brainstorming Activity
138
Sample Alternate Facilities
  • Look at the sample worksheet pertaining to
    alternate facilities in your packets

139
Topics
  • 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

140
Topics
  • 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

141
Reconstitution 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

142
Reconstitution 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

143
Reconstitution
  • Defined Process by which surviving and/or
    replacement personnel resume normal operations at
    original or replacement primary operating
    facility

144
The 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

145
Identify 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.

146
Reconstitution Coordinator
  • The Reconstitution Coordinator is the individual
    who will coordinate and oversee the
    reconstitution process and who will develop the
    reconstitution plan.

147
Reconstitution Procedure Specifically
  • Determine space allocation facility
    requirements
  • Develop time-phased plan for resuming normal
    operations
  • Check safety occupancy regulations for building

148
Reconstitution Implementation
  • Inform employees
  • Transport materials, personnel, supplies
  • Notify customers public of change

149
Devolution
  • 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.

150
Outline 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

151
Previous 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

152
Previous 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

153
Topics
  • 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

154
Topics
  • 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

155
Communications
  • 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.

156
Communications 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.

157
Define Interoperable Communications
  • Interoperable Communications alternate
    communications that provide the capability to
    perform essential functions, in conjunction with
    other agencies, until resumption of normal
    operations.

158
Communications Essential Functions
  • Capability commensurate with the organizations
    essential functions activities
  • Access to data and systems

159
Communication 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

160
Identify 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.

161
Communications 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.

162
Preventive 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.

163
Alternative Modes of Communication
  • GETS/WPS Priority
  • Radios, satellite phones, or other special
    communication devices
  • Emergency (Community) Notification Systems

164
FPC-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.

165
Media Relations
  • Media plays an important role in
  • disseminating information to the public

166
GROUP DISCUSSION

167
Discussion 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?

168
Create 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

169
Sample 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

170
Brainstorming 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?

171
Topics
  • 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

172
Topics
  • 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

173
Writing 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.

174
Converting 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

175
Outlines 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?

176
Additional Sections To Consider
  • Executive summary
  • Appendices or annexes
  • Glossary
  • Quick Look Sheets

177
COOP Plan Storage Access
  • Hard copy vs. electronic
  • The COOP plan should be portable and easily
    accessible after an emergency.

178
Security
  • 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.

179
Topics
  • 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

180
Topics
  • 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

181
Tests, 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

182
Goals of TTE
  • All agency employees know their roles following
    COOP plan activation
  • Verify that COOP plan works
  • Clarify where COOP plan needs revision

183
The 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

184
Training 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.

185
Tests Should Evaluate
  • Ability to access vital records, databases,
    systems, equipment following COOP event
  • Communications
  • Logistics at alternate facility

186
Types of Exercises
  • Tabletop (TTX)
  • Drills
  • Functional
  • Full-scale

187
Building Block Approach
  • Individual TTE elements may build upon one
    another
  • Different types of exercises may build upon one
    another

188
GROUP DISCUSSION

189
Discussion 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?

190
Life Cycle of COOP
191
Topics
  • 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

192
Project 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
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