CONTINUITY OF OPERATIONS PLAN

Transcription

1 CONTINUITY OF OPERATIONS PLAN (TEMPLATE) NAME OF ORGANIZATION/BUSINESS ADDRESS PHONE NUMBER Organization Logo

2 Continuity of Operations Plan Version 1.5 Table of Contents I. Introduction... 1 II. Purpose... 1 III. Goals and Objectives... 2 IV. Situations and Assumptions... 2 V. Implementation of the Plan... 3 VI. Hazard and Risk Analysis / Site Vulnerability... 3 VII. Planning Elements... 4 A. Essential Functions... 1 B. Delegations of Authority... 2 C. Orders of Succession... 4 D. Alternate Facilities... 5 E. Interoperable Communications... 6 F. Vital Records and Databases (if applicable)... 7 G. Human Capital Management... 9 H. Tests, Training and Exercises... 9 I. Plans for devolution and reconstitution VIII. Response Coordination A. Incident Command System (ICS) B. Standardized Emergency Management System (SEMS) C. National Incident Management System (NIMS) i

3 Continuity of Operations Plan Version 1.5 I. Introduction Continuity of operations (COOP) is the capability of an organization to continue to operate or rapidly resume operations during an emergency or threat of an emergency. Continuity of operations activities may include the activation of an alternate operations site, working or communicating with the Local Emergency Operations Center (LEOC) or at the Organization level; the evacuation of staff, volunteers and others from their operating locations; the selection and occupation of a relocation site able to support the continuation of essential activities; and the provision of automated data processing (if appropriate), logistics, and telecommunications support by temporary use of non-standard or alternative means. These activities could be taking place while an affected Organization is providing support to the community in the affected area, either directly or through mutual aid agreements. COOP planning must incorporate a wide range of emergencies and events, whether natural, man-made, or technological in nature. II. Purpose This COOP plan provides guidance for staff and volunteers. The plan will help ensure that the Organization continues critical operations in the event of an emergency or threat of an emergency and can initiate the Organization restoration process. Additional Organization facilities located at the following places also are covered by this plan. Primary Location Location 2 (if applicable) City, State City, State Location 3 (if applicable) Location 4 (if applicable) City, State City, State 1

4 Continuity of Operations Plan Version 1.5 III. Goals and Objectives The objectives of COOP planning are to: Develop a system for managing a crisis. Ensure the performance of an Organization s essential functions during a COOP event. Reduce loss of life by minimizing damage and losses. Ensure the efficient succession of leadership in the event a disruption renders key Organization leaders unavailable to perform their responsibilities. Reduce or mitigate disruptions to operations. Ensure that Organizations have alternate facilities from which to operate. Protect essential facilities, equipment, vital records, and other assets. Achieve a timely and orderly recovery from a COOP situation. Implementing an effective reconstitution from an emergency and resume full service to internal and external customers. Maintain a Test, Training and Exercise (TT&E) program for program validations. IV. Situations and Assumptions There are several critical planning considerations for any COOP plan. COOP plans must: Be capable of implementation anytime, with and without warning, during operating and non-operating hours. Provide full operational capability for essential functions no later than 12 hours after activation. Be capable of sustaining operations for up to 30 days. Organizations should develop operating procedures and acquire resources necessary to sustain operations for up to 30 days during an emergency. Include regularly scheduled TT&E. Organizations should train their staff and volunteers, practicing COOP procedures to: 1) ensure staff and volunteer s skills stay current and 2) make sure the plan is appropriate and adequate. Equipment and communications must be tested periodically to ensure that they are operable. This COOP is based upon the following assumptions: Emergencies or threatened emergencies may adversely affect an Organization s ability to continue to support essential operations. Staff and volunteers from the affected Organization may themselves become disaster victims as a result of the event and not be available to respond to provide support to members of the community. This also may include Organization leadership, which would require invoking the succession of authority portions of this plan. The event may directly affect local community resources, rendering them unavailable or unusable for use or support by the affected Organization. 2

5 Continuity of Operations Plan Version 1.5 Staff, volunteers and other resources from the Organization and other organizations outside the area affected by the emergency will be made available, if required to continue essential operations. V. Implementation of the Plan This COOP may be activated by the following individuals. Authorized Senior Official Authorized Official Designee Alternative Number Alternative Number The Organization COOP may be implemented under the following conditions. Warning: There are some threats to operations that may afford advance warning that will permit the orderly alert, notification, evacuation, and if necessary, the relocation of staff, volunteers and operations. Situations that might provide such warning include a transportation accident resulting in a release of hazardous materials (HAZMAT), threat of a terrorist incident, flood, winter storm or wildfires. No warning during non-operating hours: Incidents may not be preceded by warnings, (e.g., earthquakes, arson or HAZMAT incidents) or may occur while the majority of staff is at home (weekends and evenings). In these circumstances, staff and the pre-identified members will still be able to respond to instructions, including the requirement to relocate following proper notification. No warning during office hours: Incidents may occur without warning during normal office hours. If indicated by the circumstances of the event, the COOP will be implemented by expeditiously moving staff, volunteers and other members of the community out of the building, to alternative operating locations. VI. Hazard and Risk Analysis / Site Vulnerability The following is a list of natural and technological vulnerabilities based upon historical data. The vulnerabilities could result in COOP activation. 3

6 Continuity of Operations Plan Version 1.5 Hazard Risk Low Medium High Fire (structural) Fire (wild land) Flood (slow rising) Flood (flash) Flood (storm surge from hurricanes) Thunderstorms Lighting strikes Tornado Hurricane Earthquake Volcano Blizzard/winter storm Hazardous materials release (fixed/proximate) Hazardous materials release (truck/proximate) Tidal wave Power outage Telephone outage Water outage Natural / propane gas outages Nuclear power plant / testing facility events Chemical weapon storage facility events (CSEPP) Air crash (within six blocks of facility) Mass transit derailment (within six blocks of facility) Potential terrorist targets Other (list): Other (list): Other (list): Other (list): VII. Planning Elements There nine elements of an affective COOP are: Essential functions Delegations of authority Orders of succession Alternate facilities Interoperable communications Vital records and databases Human capital management Tests, training and exercises Plans for devolution and reconstitution 4

7 All elements are needed to provide a complete and effective COOP capability. The following individuals will serve as the COOP planning team: A. Essential Functions Essential functions are those functions that enable a Organization to: Provide client services; Continue operating as an organization, and; Maintain the safety of the clients and volunteers. Essential functions are the foundation for COOP programs and plans. For an Organization that is at the beginning stage of COOP planning, determining essential functions must be completed before any further COOP development is considered. Essential functions are ones that must continue with minimal or no disruption, even during an emergency or disaster. Essential functions are based on an Organization s customers and their needs. Assigning a priority to the customers needs helps COOP planners distinguish between essential and non-essential functions. 1

8 The following is a prioritized list of essential functions, staff and procedural plans needed to recover from a disaster Essential Function Staff in Charge Briefly describe actions to be taken to ensure each essential function will continue. # Essential Function B. Delegations of Authority Delegations of authority specify who is authorized to make decisions or act on behalf of the Organization. Delegations of authority are used for specific purposes during COOP emergencies, including: Approving emergency policy changes; Approving changes in Standard Operating Procedures (SOPs); Empowering designated representatives to participate as members of departmental emergency response teams to act on behalf of the department head; Making personnel management decisions; Approving commitment of resource, and; Signing contracts. 2

9 Delegations should be predetermined and documented in writing. They should state explicitly what authorities are delegated, exceptions to the successor s authority to redelegate, and limitations on the delegated authority. Below is an example of how delegation of authority assignments could be presented in a COOP. Official/Key Individual Individual Authority Delegated To Name Name Position Position Task Delegated Authority Yes No Re-Delegate Approving emergency policy changes Approving changes in SOPs Empowering designated representatives to act on behalf of the agency head Making personnel management decisions Approving commitment of resources Signing contracts Other (list): Other (list): Other (list): Other (list): Authority Approving emergency policy changes Approving changes in SOPs Empowering designated representatives to act on behalf of the agency head Making personnel management decisions Approving commitment of resources Signing contracts Other (list): Other (list): Other (list): Other (list): Limitations 3

10 C. Orders of Succession DRAFT Orders of succession are provisions for the assumption of senior leadership positions during an emergency when the incumbents are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Orders of succession are different from delegations of authority. Delegations of authority are specific and limited. For example, they may take effect during periods of normal operation, e.g., when those in charge are unavailable due to travel. Successors are vested with most of the authorities and powers of the incumbent. Orders of succession should be established for the Organization head and officials down to office directors responsible for performing essential functions. Below is an example of an order of succession. 1. Official/Key Individual 1a. Next in line of Succession Name Name Position Position 1b. Next in line of Succession 1c. Next in line of Succession Name Name Position Position 4

11 D. Alternate Facilities DRAFT Organizations should identify locations other than their normal facilities to carry out essential functions in a COOP situation. Selecting a good alternate facility is critical to COOP capability. Primary Location Alternate Location City, State, Zip City, State, Zip Location 2 (if applicable) Alternate Location City, State, Zip City, State, Zip Location 3 (if applicable) Alternate Location City, State, Zip City, State, Zip 5

12 If this Organization experiences a disaster, supplies or materials needed to support essential functions will be obtained from the following location(s): Business 1 Business 2 City, State, Zip City, State, Zip Account Number Account Number Materials/Services Provided Materials/Services Provided E. Interoperable Communications One of the resources that the alternate facility must provide is interoperable communications. Interoperable communications are communications that provide the capability to perform essential functions, in conjunction with other agencies, businesses and volunteer organizations, until normal operations can be resumed. Interoperable communications means that Organization personnel must be able to communicate: Externally with the Organization s customers and business partner; Internally with the Organization s leadership, coworkers and volunteers, and Even if the primary means of communication fails! Interoperable communications: Must support the execution of the Organization s essential functions; Provide capability to communicate within the Organization; Provide connectivity to outside agencies and customers, and; Ensure access to data, systems, and services needed to maintain critical functions. 6

13 The key to interoperable communications is connectivity. Interoperable communications are compatible with communications capabilities used by internal and external organizations, agencies and businesses. Emergency plans will be communicated with coworkers and volunteers in the following way: In the event of a disaster, communication with employees will be accomplished by: In the event of a disaster, communication with volunteers will be accomplished by: In the event of a disaster, communication with essential suppliers will be accomplished by: In the event of a disaster, communication with external essential agencies will be accomplished by: F. Vital Records and Databases (if applicable) Vital records are those electronic and hard copy documents, references, and records needed to support essential functions during a COOP situation. There are two types of vital records: Emergency operating records, and; Legal and financial records Emergency operating records include: Plans and directives; Orders of succession; Delegations of authority; References for performing essential functions; and Essential client records, e.g., health records. 7

14 Legal and financial records include: Volunteer records; Personnel records; Social Security records; Payroll records; Retirement records; Insurance records; and Contract records. The following records are stored electronically: Protection of computer hardware will be handled in the following way: Protection of computer software will be handled in the following way: If computers are destroyed, back-up computers will be used at the following location: If accounting and payroll records are destroyed, continuity will be provided by: If records are destroyed, continuity will be provided by: Records Back-up Critical records, including payroll and accounting systems, are backed up by this person: Back-up records, including a copy of this plan, site maps, insurance policies, bank account records and computer back-ups, are stored at this location: An extra set of back-up records is stored at this off-site location: Other: Other Location/Personnel 8

15 G. Human Capital Management DRAFT Human capital management is the sum of talent, energy, knowledge and enthusiasm that people invest in their work. Effective human capital management: Places the right people in the right jobs to perform the Organization s essential functions most effectively; Ensures that all employees and volunteers have a clear understanding of what they are to do in an emergency, and; Includes specific protocols for identifying and assisting special needs employees and volunteers. Employees and volunteers must be kept informed during emergencies whether they work at the alternate site or not. Poor emergency communications can lead to unnecessary anxiety or indifference in the workforce either can drain the Organization s ability to perform its COOP mission. Non-Emergency Response Group (ERG) Members All employees and volunteers need to be informed during the course of an emergency so that they can be ready to go back to work when recalled or to support the Organization s efforts from home. In a COOP event, most employees and volunteers will be expected to: Go home; Remain available, and; Wait for further direction. It is management s responsibility to know where all employees and volunteers are and how to contact them. H. Tests, Training and Exercises TT&E include measures to ensure that an Organization s COOP program is capable of supporting the continued execution of its essential functions throughout COOP operations. TT&E is a significant part of a maintaining COOP capabilities. Through TT&E, Organizations can ensure that: All equipment and systems work, as required. Employees and volunteers are able to deploy to the alternate facility within the required time frame. The alternate facility includes everything that is needed to perform the Organization s essential functions. 9

16 TT&E Program Goals DRAFT The goals of a progressive TT&E program are to: Train an Organization s key staff and volunteers in functional areas of mission readiness. Provide opportunities to acquire skills and knowledge required to perform assigned COOP roles. Build team unity. Reflect lessons learned from TT&E events, current COOP information, and training needs. I. Plans for devolution and reconstitution Devolution is the capability to transfer statutory authority and responsibility for essential functions from an Organization s primary operating staff and facilities to another Organization. It also is the ability to sustain that transferred operational capability for an extended period. Devolution is a way of ensuring a COOP capability in the event that an Organization is unable to perform its mission or if the alternate facility is unavailable to support it. As part of COOP planning, agencies should: Identify likely triggers for devolution; Describe how and when devolution will occur, and; Identify the Organizations that will be expected to continue essential functions under a devolution scenario. Likely triggers for devolution include: Devolution will occur how and when? 10

17 The following Organizations will be tasked to continue essential functions under devolution: Essential Function # Organization Memorandum of Understanding In- Place (yes/no) Reconstitution is the process by which Organization personnel and volunteers resume normal operations from the original or a replacement primary operating facility. Organizations should identify and outline a plan to return to normal operations. Reconstitution is complex. Organizations should appoint a Reconstitution Manager to handle the reconstitution process. Likely triggers for reconstitution include: Reconstitution will occur how and when? Plan Review: This plan will be reviewed and updated every 11

18 VIII. Response Coordination A. Incident Command System (ICS) DRAFT Each organization needs to create an ICS. The ICS component is narrower than a COOP plan because it focuses solely on the period immediately following an emergency. The traditional ICS has been altered slightly to fit the needs of COOP Planning. It is the combination of facilities, equipment, personnel, procedures, and communications operating within a common organizational structure (the organization) which is designed to help immediate management responses to an emergency. In other words, it is the group of people who are necessary in evacuating a building, relocating employees to an alternate location, and making sure that personnel are accounted for immediately following a disaster. Several layers of employees are needed in order to create a strong ICS plan. Each organization will need to designate an Incident Commander, a Public Information Officer, an Operations Chief, a Planning Chief, a Logistics Chief, and Finance and Administration Chief. In addition, the COOP Point of Contact should also be part of the ICS team. The Incident Commander (IC) is generally the director or a deputy director of the organization. This person is responsible for: Declares the activation of the COOP plan; Maintains responsibility for the overall management of the organization's response to the COOP-activating event; and Declares the end of COOP plan activation and return to normal operations. News organizations are generally at the scene of a disaster immediately after the arrival of first responders. As such, the Public Information Officer (PIO) is an extremely important person at the outset of an emergency. This person is responsible for: Maintains responsibility for interfacing with the public, media, and with other organizations; Develops accurate and complete information on the incident's cause, size, and current situation; and Monitors the release of information to the public and controls rumors. The head of the Operations section maintains control of the emergency site. This person is responsible for: Managing tactical operations at the incident site directed toward reducing the immediate hazard; Saving lives and property; Establishing situation controls; and Restoring normal conditions at the incident site. 12

19 The head of the Planning section collects all information from the emergency site to anticipate resource needs and prepare a plan for operations should employees have to remain in the office. This person is responsible for: Collecting, evaluating, and disseminating tactical information pertaining to the incident; Forecasting resource needs; and Developing shelter-in procedures. The head of the Logistics section is responsible for: Meeting all support needs for the incident; and Ordering resources, as forecasted by the head of the Planning section, through appropriate procurement authorities from off-incident locations. Logistics officer will coordinate directly with the local or EOC logistics officer. The head of the Finance & Administration section is critical during a complex incident, but not always necessary for more minor incidents. For minor incidents, the head of the Planning section could take on this role. This person is responsible for identifying and accessing multiple sources of funds; and monitoring expenditures. The COOP Point of Contact (POC): Supports and advises the COOP IC and the section heads; Monitors the situation and keeps the COOP IC informed on all developments; and Contacts COOP team members for support as is necessary. Incident Commander PIO Operations Chief Planning Chief 13

20 Logistics Chief Finance and Administration Chief COOP Point of Contact B. Standardized Emergency Management System (SEMS) During a response, if the local community needs assistance from the CBO, the organization will ensure that all response actions taken are in accordance with state SEMS and federal NIMS guidelines. All communications will occur within state SEMS guidelines to ensure proper record-keeping with the local government entities. In the event of a disaster, this CBO will communicate with the local EOC in the following manner: In the event of a disaster, this CBO will coordinate response actions with the local EOC and field operations in the following manner: C. National Incident Management System (NIMS) NIMS benefits include a unified approach to incident management; standard command and management structures; and emphasis on preparedness, mutual aid and resource management. NIMS addresses command system structures as identified in the ICS section and provides a standardized means of communication and coordination, as addressed in the SEMS section. In short, this document is NIMS compliant. 14