Transcript Governance Pre-1982 - Anne Arundel County, Maryland

Welcome
to the
Sponsored
by
The Maryland Emergency Management Agency
October 2, 2006
What is COOP?
Continuity of Operations (COOP):
The effort to assure that the capability
exists to continue essential agency
functions across a wide range of
potential emergencies.
Why COOP?
Objectives of COOP
• To ensure the continuous performance of an
agency’s essential functions during an
emergency.
• To protect essential facilities, equipment,
records, and other assets.
• To reduce or mitigate disruptions to operations.
• To minimize injury, loss of life and property
damage.
• To achieve a timely and orderly recovery from
an emergency and resumption of full service to
customers.
Requirements for a COOP Plan
COOP plans must
• Be maintained at a high level of readiness;
• Be capable of implementation with and without
warning;
• Be operational no later than 12 hours after
activation;
• Sustain operations for up to 30 days; and
• Take advantage of existing agency
infrastructure.
COOP Sample Timeline for
Completion
Month 1
Month 2
Month 3
Month 4
Month 5
Month 6
Month 7
Month 8
Month 9
Survey of state agency COOP activities completed. Identify
COOP POC and team.
Essential functions identified and prioritized.
Key personnel identified; delegation of authority plans and
orders of succession devised.
Vital records; critical systems and equipment; and
communications systems identified; protection and recovery
programs devised.
Alternate work sites identified and relocation plans
prepared.
Initial drafts of COOP worksheets submitted to reviewing
agency.
Review of draft plan and summary report by reviewing agency
due.
Training for essential personnel and initial plan for exercises and
drills completed.
COOP plan revisions and final submission to reviewing agency.
COOP PLAN OUTLINE
I.
II.
III.
IV.
V.
COOP Responsibility
COOP Program Schedule & Timeline
Impact Analysis
Agency Essential Functions & Key Personnel
Protection of Vital Records, Critical Systems &
Equipment
VI. Alternate Work Site Assessment and
Relocation Planning
VII. Communications Planning
VIII.COOP Training, COOP Plan Testing and
Execution.
First Steps
1. Designation of a COOP Point of Contact
2. Selection of a COOP Planning Team
– Consists of a good mix of agency professionals
and includes members from all levels of agency
management and staff.
– Consists of people who can work under pressure.
3. Development of a COOP Program Timeline
4. Business Impact Analysis (Overlaps with
Identification of Essential Functions)
Essential Functions
What are essential functions?
Essential functions are those
functions that MUST be performed to
achieve the agency’s mission.
This corresponds to Section I of the COOP plan
outline.
IDENTIFY ALL AGENCY FUNCTIONS
Is this necessary?
Identifying all agency functions is the best way
not only to determine all essential functions but
also to gain a thorough understanding of agency
operations.
Through this comprehensive review of agency
operations, a COOP team can best devise
specific plans to ensure continuation of essential
functions.
IDENTIFY ESSENTIAL AGENCY
FUNCTIONS
KEY TO DETERMINATION = AGENCY
MISSION
The agency’s mission statement should clearly outline
the basic purpose of the agency, but look to other
sources, such as the legislation authorizing the agency
or regulations promulgated by the agency, to determine
the agency’s mission and its essential functions.
Worksheet 1 continued:
Description of Functions/ Essential?
• The next objective of this worksheet is to
determine essential agency functions by
considering threats to agency functions and
analyzing risk.
• If, at any point, the function is determined NOT
to be essential, it is not necessary to continue
the COOP planning process for that function.
IDENTIFY THE CRITICAL PROCESSES AND
SERVICES THAT SUPPORT THESE FUNCTIONS.
• Essential functions and their supporting critical
processes and services are intricately
connected.
• Sorting out essential functions and prioritizing
them requires consideration of their supporting
critical processes and services.
• See Worksheet 2.
Worksheet 2: Critical Processes or Services for
Each Essential Function
Critical processes for each essential function
are those processes or services that must be
recovered quickly (usually within 24 hours)
after a disruption to ensure resumption of the
essential function.
IDENTIFY REQUIREMENTS FOR CRITICAL
PROCESSES AND SERVICES.
These include all resources necessary to carry out
the critical process or service:
• Recovery Time Objective (RTO)
• Priority,
• Personnel,
• Data or vital records, and
• Systems and equipment.
PRIORITIZE THE ESSENTIAL FUNCTIONS AND
SEQUENCE RESUMPTION OF ESSENTIAL FUNCTIONS
ACCORDING TO PRIORITY
• Consider first the time criticality of the critical
processes or services for each essential
function.
• Determine Recovery Time Objective of each
essential function.
• Sequence for recovery of essential functions
and their critical processes.
TIME CRITICALITY
• The amount of time that a function/process can
be suspended before it adversely affects the
agency’s core mission.
• Measured by recovery time objective (RTO).
RTO: The period of time within which systems,
processes, services, or functions must be recovered
after an outage.
SEQUENCE ESSENTIAL FUNCTIONS IN ORDER
OF RECOVERY
1. See Worksheet 3, Priority of Essential
Functions, in the COOP Planning Manual.
2. Looking at the estimated RTOs for the
supporting critical processes and services,
estimate the time criticality for the associated
essential function.
3. Assign a priority number for each essential
function in the last column based on the
estimated RTOs.
PRIORITIZING ESSENTIAL FUNCTIONS
• Those essential functions with multiple critical
processes and services will have shorter RTOs.
• The essential functions with the shortest RTOs
receive the highest priority.
• The essential functions with the highest priority
will be the first to be resumed after a disruption
in service.
• Defer functions not deemed essential
until resources are available.
DELEGATION OF AUTHORITY AND
SUCCESSION PLANNING
The deliberate and systematic effort to ensure
continuity of leadership and the continued
effective performance of an organization by
making provisions for the development and
strategic placement of people in the event of
either an anticipated or a sudden vacancy in a
key position.
Why Have a Succession Plan?
• Prepares the Agency for planned departures as
well as for emergencies;
• Provides for consistency of operations;
• Reduces stress during a transition whether
caused by an emergency or not;
• Preserves institutional
knowledge and expertise; and
• Maintains agency functionality
with minimal interruption.
Delegation of Authority
1. Identify which authorities should be delegated
and conditions triggering delegation.
See Worksheet 4.
Types of Authority:
– Emergency
– Administrative
Describe the circumstances that would
trigger succession to that position.
• Emergency event
• Death
• Incapacitation through illness or serious injury of
that person or his/her family
• Imprisonment
• Abduction
• Unexplained disappearance
• Filling the vacancy of another key position
Delegation of Authority
2. Establish rules and procedures for delegation
and succession and methods of notification.
See Worksheet 5.
3. Identify limitations of delegations. See
Worksheet 5.
Identify any limitations on the successor.
• Length of term in the position
– Return to normal operations.
– Original person is able to return to duties.
– Agency head designates a new person.
• Limits on decision-making authority
– May make only short-term decisions involving dayto-day operations.
– May or may not make fiscal decisions.
– May or may not make staffing decisions.
Delegation of Authority
4. Identify key positions and positions to whom
authorities should be delegated (orders of
succession).
Identify key positions.
• Key positions are those positions necessary to
carry out the agency’s essential functions and
fulfillment of the agency’s mission.
• Key positions may include the agency head and
management, but can also include nonmanagement positions.
• Examine the agency’s organizational chart for
clues to identifying key positions.
(See Worksheet 6.)
Worksheet 6
Current Organization Chart
Using the example organization chart below, complete an organization chart for your agency.
Secretary Maryland Department of Health and Mental Hygiene
Name
Deputy Secretary of Operations
Name
Function
Deputy Secretary for Health Care Financing
Name
Function
Director of Community Relations
Name
Function
Deputy Secretary for Public Health Services
Name
Function
Director Office of Health Services
Name
Function
Director of Medical Care Operations & Eligibility
Name
Function
Director of Maryland Health Care Commission
Name
Function
Director of Community Health
Name
Function
Identify key positions.
ASK THE FOLLOWING QUESTIONS:
? What are the positions that support each
essential function?
? Could this essential function operate effectively
if this position were vacant?
? Why is this position so important?
? During an emergency, would it be necessary for
you to be present at the facility to perform your
job?
Establish an order of succession by
position for each key position.
Considerations:
1. Qualifications required for key position.
2. Geographical location of key position.
3. Other positions proximal to the key position,
both geographically and organization-wise.
4. Qualifications and skills of the individuals in the
potential successor positions.
Ensure successors are trained to perform
their emergency duties.
• Some key positions are so unique, it is difficult for
another agency staffer to simply fill in on short notice.
• Training promotes regular review and revision of orders
of succession.
• Training should include regularly briefing potential
emergency successors on the job requirements of the
key position.
• All agency staff should be educated on the basic
operations of their department or division.
• All employees should document the major initiatives
and ongoing tasks that they perform.
Vital Records, Systems & Equipment
This corresponds to
section II of the
COOP plan outline.
VITAL RECORDS
Records or documents, regardless of their
form, which, if damaged or destroyed, would
1) Disrupt agency operations and information flow;
2) Cause considerable inconvenience; and
3) Require replacement or recreation of the records at
considerable expense.
Vital Records Protection & Recovery
1. Evaluate current program against potential
threats and protection requirements for vital
records.
2. Outline procedures for the recovery of vital
records
during an emergency.
3. Prioritize the recovery
of vital records.
Vital Systems & Equipment
1. Identify vital systems and equipment.
2. Select and arrange protection methods for vital
systems and equipment at both the primary
and alternate work sites.
3. Prioritize the recovery of vital systems and
equipment by using recovery time and recovery
point objectives.
Alternate Work Sites and
Relocation Planning
This corresponds to
Section III of the
COOP plan outline.
Factors in Selecting Alternate Work Sites
• Size of the alternate facility and space
requirements
• Construction of the alternate facility and
adaptability
• Location
• Ability to obtain services at alternate facility
• Availability of mass transit to the alternate facility
• Communication needs
• Security requirements
• Contractual obligations
RELOCATION PLANNING
1. Arrange for provision of agency employees’
physical and emotional requirements.




Transportation
Lodging
Food
Counseling
2. Arrange for security and access controls at
both primary and secondary facilities.
COMMUNICATIONS
This corresponds to
Section IV of the
COOP plan outline.
Communications Planning
1. Identify critical processes supporting essential
functions at the primary and alternate facilities.
2. Implement preventative controls at the primary
and alternate work sites.
3. Select alternative modes of communication for
use in an emergency, taking interoperability
into consideration.
4. Prepare a chain of communication or rapid
recall list and designate alternate means of
communication in an emergency.
Implement Preventative Controls
Preventative controls are those efforts to avoid the
occurrence of unwanted events and to mitigate risks
to vital systems and equipment. Examples include
the following:
–
–
–
–
–
–
Uninterruptible power supplies;
Fire and smoke detectors;
Water sensors;
Emergency master system shutdown switch;
Technical security controls; and
Frequent and scheduled backups.
Worksheet 18
Alternative Modes of Communication
Copy the information gathered in Worksheet 24, Communication Systems Supporting Essential Functions, into this table and
identify alternative providers and/or modes of communication. Communication systems already in place can be named as
alternative modes for other modes of communication. For example, radios could be an alternative mode of communication
for voice lines
Communication
System
Voice Lines
Fax Lines
Data Lines
Cellular Phones
Pagers
E-mail
Internet Access
Instant Messenger
Services
Blackberry and
Other Personal
Digital Assistants
(PDAs)
Radio
Communication
Systems
Other
Current Provider
Alternative Provider
Alternative Mode
#1
Alternative Mode
#2
Reconstitution & Devolution
This corresponds to
Section V of the
COOP plan outline.
Definitions
Reconstitution: The process by which surviving
and or replacement personnel resume normal
operations from the original or replacement
operation facility.
Devolution: The process by which essential
functions are transferred to an alternate agency
or facility.
Reconstitution Process
• Form a Reconstitution Team (Worksheet 20)
• Within 24 hours of an emergency relocation, the
Organization should initiate and coordinate operations
to salvage, restore, and recover the building (after
receiving approval from the appropriate local/federal
authorities)
• Plan for movement from the COOP site to the
originating facility including transition of all functions,
personnel, equipment, and records.
• Outline procedure necessary for orderly transition from
a relocation site to a new or restored facility.
COOP Plan Execution
This corresponds to
Section VI of the
COOP plan outline.
COOP Plan Execution
• Execution of a COOP plan may
or may not involve the deliberate and
pre-planned movement of key personnel to an
alternate work site.
• Agencies should develop an command and
control structure that allows for the quick and
accurate assessment of the emergency and
determination of the best course of action for
response and recovery.
Determining the Class/Level of Emergency
•
•
•
•
•
Level I :Disruption of up to 12 hours, with little effect on services or impact to essential
functions or critical systems; No COOP activation required, depending on individual
organization requirements.
Level II: Disruption of 12 to 72 hours, with minor impact on essential functions;
Limited COOP activation, depending on individual organization requirements.
Level III: Disruption to one or two essential functions or to a vital system for no more
than three days; May require movement of some personnel to an alternate work site
or location in the primary facility for less than a week
Level IV: Disruption to one or two essential functions or to the entire organization with
potential of lasting for more than three days but less than fourteen days; May require
activation of orders of succession for some key personnel; May require movement of
some personnel to an alternate work site or location in the primary facility for more
than a week
Level V: Disruption to the entire organization with a potential for lasting at least
fourteen days; Requires activation of orders of succession for some key personnel;
Requires movement of many, if not all personnel, to an alternate work site for more
than fourteen days.
BUILDING ALERT SYSTEM
Building Evacuation Plan
- Building Alert System (worksheet 21)
- Evacuation Routes and Exits
- Emergency Evacuation Personnel (worksheet
22)
- Designated Assembly Areas (worksheet 23)
- Shelter-in-Place
- Training
Family Support Planning
1. Activating an emergency information call-in
number for employees
2. Tracking employees during an emergency
3. Providing guidance and assistance to
employees and their families.
4. Consider telecommuting as an option for
essential employees.
Use Worksheets 24 & 25
Incident Command System (ICS)
• ICS: The group of people who are necessary in
evacuating a building, relocating employees to
an alternate location, and ensure that personnel
are accounted for immediately following an
emergency.
• Use Worksheet 26
COOP Training, Testing & Exercises
This corresponds to
Section VII of the
COOP plan outline.
COOP Training, Testing and Drills
• Each agency employee plays a role in an agency’s
COOP readiness.
• Each agency division must know how to execute its
portion of the COOP plan and how it relates to the
COOP plan for the entire agency.
• To achieve this, an agency should
train all personnel and conduct
drills frequently.
• Your plan should be updated and subject to annual or
quarterly review.
Conclusion
• We’re here to help: www.mema.state.md.us
• MEMA’s COOP Team
Jeremy Scheinker, COOP Program Manager
[email protected] (410)517-5109
• Sabrina Chase, JD [email protected]
• (410)517-5136
• Ulka Patel, JD [email protected]
• (410)517-3692