2015-0312-JCPH-COOP Workbook Web viewhrs) Management Priority (1-5) Potential for Impact. Appendix...

JEFFERSON COUNTY PUBLIC HEALTH

Continuity of Operations Plans Workbook

Created: March 6, 20151

1 This document is still be developed, and some sections have not been completed.

CONTENTSIntroduction.................................................................................................................................................................3Identify the Essential Functions...................................................................................................................................4

Step 1: Identify All Organizational Functions...........................................................................................................4Step 2: Identify Which Functions Are Potentially Essential......................................................................................4Step 3: Develop Mission Essential Function Data Sheets.........................................................................................5Step 4: Prioritize the Mission Essential Functions....................................................................................................6Step 5: Obtain Leadership Approval.........................................................................................................................7

Understand the Orgnziation’s Essential Functions.......................................................................................................8Identify leadership needs.........................................................................................................................................8Identify staff needs..................................................................................................................................................8Identify community & IT needs................................................................................................................................8Identify facility needs...............................................................................................................................................8Identify additional resource needs...........................................................................................................................9Identify associate agency support needs.................................................................................................................9

Orders of Succession..................................................................................................................................................10Delegations of Authority............................................................................................................................................11Continutity Commencations......................................................................................................................................12Continuity Facilities....................................................................................................................................................12Human Resources......................................................................................................................................................12Essential Records Management.................................................................................................................................12Devolution of Control and Direction..........................................................................................................................12Reconstitution............................................................................................................................................................12Tests, Training, and Exercises.....................................................................................................................................13Appendix A: Agency’s Organizational Functions Worksheet......................................................................................14Appendix B: Mission Essential Function Data Sheets.................................................................................................16Appendix C: Priortization Worksheet.........................................................................................................................18Appendix D: Essential Support Activity Data Sheets..................................................................................................19Appendix E: Prioritized Mission Essential Functions..................................................................................................21Appendix F: Orders of Succession..............................................................................................................................22Appendix G: Delegation of Authority.........................................................................................................................23Appendix H: Delegation of Authority Draft Letter......................................................................................................24Appendix I: Reconstitution Team...............................................................................................................................25

INTRODUCTION

Continuity of Operations (COOP), also commonly known of as Continuity of Government (COG) and Business Continuity, is the effort within organizations to ensure the performance of essential functions during a wide range of emergencies and events.

The following workbook describes the steps that should be taken to create a COOP plan. This document is not a plan, or a plan template, but instead the directions for how to write a COOP plan.

This document was created by Jefferson County Public Health. This is the first version of this document, which is still being developed. Please provide feedback to Kelly Keenan at [email protected].

All text that is in blue italics refer to the Appendixes within this document. All text that is in purple italics refers to parts of this plan that refer to supporting documents or information.

IDENTIFY THE ESSENTIAL FUNCTIONS

The first step in the COOP planning process is to identify the organization’s essential functions. To do that, complete the following steps, which are outlined below.

Step 1: Identify All Organizational Functions Step 2: Identify Which Functions Are Potentially Essential Step 3: Develop Mission Essential Function Data Sheets Step 4: Prioritize the Mission Essential Functions Step 5: Obtain Leadership Approval

STEP 1: IDENTIFY ALL ORGANIZATIONAL FUNCTIONS

The first step in this process is to identify all of your organization’s functions. While doing this you have to determine how broadly, or how specifically, to define the organization’s functions. Describing a function too broadly may inadvertently include functions that are not essential during a disruption; describing a function too narrowly may result in too many functions to manage effectively.

This step should involve individuals from all departments and all management levels within your organization.

Complete the “Function” and “Description” columns of Appendix A: Agency’ Organization Function Worksheet.

STEP 2: IDENTIFY WHICH FUNCTIONS ARE POTENTIALLY ESSENTIAL

For each function that you identify, you’ll need to determine if it is a mission function or a support activity, and if it is essential or non-essential. Every function should fall into one of the following four categories:

Mission Essential Function Essential Support Activity Non-essential Mission Function (Deferrable Mission Function) Non-essential Support Activity (Deferrable Support Activity)

This step may involve individuals from all departments and all management levels, or it may be completed by a smaller group of individuals.

Complete the “Mission” and “Essential” columns of Appendix A: Agency’ Organization Function Worksheet. Remember, this is a draft and these categories can be changed.

MISSION FUNCTION OR SUPPORT ACTIVITY

In general, if the function results in the delivery of service to the public or another organization, it probably performs a function that is a mission of the organization. This is not always the case however, so it can be helpful to consider if the function is performed because of:

Statutes, laws, executive orders, or directives that charge the organization with responsibility to perform the mission/function.

It supports to organization’s mission statement. It is part of the organization’s strategic plan.

In general, if the function results in a service being delivered to another part of the same organization, it likely is a supporting activity. Supporting activities are typically enablers that make it possible for an organization to accomplish its mission.

Some organizations may find they have functions that fall outside of the mission or support activity. During this process you can address these functions and analyze why they are completed. Your organization may need to create a separate category like “politically required” functions, or “grant-funding” functions, at the organization’s discretion. This can complicate the process however, and should be avoided if possible.

ESSENTIAL OR NON-ESSENTIAL FUNCTION

Essential functions have to be performed during emergencies. Non-essential functions are functions that can be deferred until after the emergency. Most COOP plans are written to address disruption in operations that lasts up to 30 days. For the purposes of this document, a function is essential if it cannot be stopped for 30 days without serious negative impacts.

Classifying a function as essential, or not, can be a sensitive conversation. All functions an organization conducts are likely valuable and important. This categorization process is only intended to determine if the function must be performed during an emergency or not. It is not intended to rank functions based on their value during normal operations. It is very important to communicate this distinction during this planning process.

STEP 3: DEVELOP MISSION ESSENTIAL FUNCTION DATA SHEETS

For every function that is identified in Step 2 as a potential mission essential function, you’ll need to complete a mission essential function data sheet. The data sheets will:

Identify the function Describe the function Describe potential impacts if not conducted Select a recovery time objective Determine management’s priority level Identify the point of contact

This step should involve the individuals that work on, and supervise, the mission essential functions.

Complete Box #1 of the Appendix B: Mission Essential Function Data Sheet for each potential mission essential function identified in Step 2.

IDENTIFY THE FUNCTION

This is a short statement describing the function. If there is already a formal organization name, like a program title, then that should be used here.

DESRCIBE THE FUNCTION

This is a short description of the function. It should include legal or other requirements (e.g. grant deliverable) for performing this function, and the deliverables that are produced by this function. The narrative should describe the

function so that non-experts can gain a reasonable understanding of what is, and what is not, included in this function.

DESCRIBE POTENTIAL IMPACTS IF NOT CONDUCTED

This is subjective, however it is important to set standards to measure the impact if the function is interrupted, because you’ll have to use this to compare and prioritize functions later. It can be helpful to select categories, like the following list, to help separate out the potential impacts.

Death/Severe Disability Acute health impact Chronic health impact Behavioral health impact Environmental health impact Property impact Business impact

In addition to selecting the appropriate impact categories, also include a short description of the potential impact. Remember, most COOP plans are written to address a disruption in operations that lasts up to 30 days, so you should only consider potential impacts that could occur if the function is disrupted for 30 days or less.

SELECT A RECOVERY TIME OBJECTIVE

This describes how quickly this function should be resumed if it is interrupted before a negative impact will start of occur. For example, a 6-hour delay in processing Social Security benefits may be acceptable, while a similar delay in restoring air traffic control operations is not.

DETERMINE MANAGEMENT’S PRIORITY LEVEL

This is subjective, however will be helpful during the prioritization process. This step can be omitted if necessary.

IDENTFIY A POINT OF CONTACT

This is the person within the organization who is responsible for this function and familiar with it.

STEP 4: PRIORITIZE THE MISSION ESSENTIAL FUNCTIONS

This is an objective and subjective process that should consider:

Recovery time objective Impacts if not conducted for less than 30 days Management priority

This process should be conducted by a group of stakeholders within the organization.

Complete Appendix C: Prioritization Worksheet, using the data collected in Step 3 (Appendix B). As a group, rank the mission essential functions.

UPDATING FUNCTION LISTS & RECORDS

During this process, some functions that were identify as potentially mission essential may be re-categorized and removed from the mission essential function list. Be sure to update the Appendix A: Agency’ Organization Function Worksheet during this process.

Additionally, the group should also identify the essential support activities (Appendix A) that are needed to support each mission essential service. Each essential support activity should complete Appendix D: Essential Support Activity Data Sheet.

STEP 5: OBTAIN LEADERSHIP APPROVAL

The draft prioritization list should be share with the organization’s leadership. It is important to get leaderships approval for the list of the mission essential functions, and for the prioritization of these functions.

Once leadership has approved the prioritized mission essential functions, this list (Appendix E: Prioritized Mission Essential Functions) should be included in the COOP plan, along with a brief narrative describing the actions taking during steps 1-5.

UNDERSTAND THE ORGNZIATION’S ESSENTIAL FUNCTIONS

Once your organization as identify and prioritized its mission essential functions, then you’ll need to develop an understanding of each mission essential function, and essential support activity (together called the essential functions). For each essential function, you’ll:

Identify leadership needs Identify staff needs Identify community & IT needs Identify facility needs Identify additional resource needs Identify associate agency support needs

This information will help guide the rest of the COOP elements.

IDENTIFY LEADERSHIP NEEDS

Some functions require senior leadership involvement. This does not include general oversight and supervision, but instead focuses on an authority role. For example, the Director of Safety and Compliance must authorize entry of emergency workers into condemned buildings.

Complete Box #2, Question 1 of Appendix B (for mission essential functions) or Appendix D (for essential support activities).

IDENTIFY STAFF NEEDS

Identify what type of skills, and number of staff, are required to perform the essential function. When describing the required skill level, include as much detail as possible. It can be helpful to review current job descriptions and the interview the employees that perform this task for your organization.

Complete Box #2, Question 2 of Appendix B or Appendix D.

IDENTIFY COMMUNITY & IT NEEDS

Identify the communication and IT resources that are required to perform this essential function. This includes identifying if there is a need for internal or external communication, and the method of communication that is needed.


IDENTIFY FACILITY NEEDS

Identify the type of facility that is needed to perform this essential function. This includes identifying if it is possible to complete the task while working remotely. If it is, be sure that the IT/Communication resources that are needed to work remotely are identified in Box #2, Question 3 of Appendix B and/or Appendix D.


IDENTIFY ADDITIONAL RESOURCE NEEDS

Identify any additional resources that are needed to perform this essential function. This should include office supplies, equipment and plans and protocols.


IDENTIFY ASSOCIATE AGENCY SUPPORT NEEDS

Identify any associate agencies that your organization is dependent on to perform the essential function.


ORDERS OF SUCCESSION

It is critical to have a clear line of succession established in the event an organization’s leadership becomes debilitated or incapable of performing its legal and authorized duties, roles, and responsibilities (referred to as “roles”). The designation as a successor enables that individual to serve in the same position as a principal in the event of that principal’s death, incapacity, or resignation. Orders of succession are a formal, sequential listing of organization positions (rather than specific names of individuals) that identify who is authorized to assume a particular leadership or management role under specific circumstances.

Frequently, successors will fulfill all of the roles of the position they are filling in, however sometimes specific roles that previously were held by one position will be distributed amongst numerous successors.

In addition to identifying successor(s) for the key leadership position(s) in the organization, it is also important to consider the leadership needs that were identified in Understanding the Organization: Identify Leadership Needs2. Using this information, first identify all the leadership roles that are require to be fulfilled for the essential functions to happen. Then, identify potential successors for each role. If a potential successor holds a leadership position as well, be sure to identify their subsequent successor.

Be sure to consider any legal requirements for succession and authority roles. It is also important to consider the current organization chart, and how succession will impact the organization. Finally, consider the geographic location for successors, as geographic dispersion can be beneficial when possible.

Using the leadership roles identified in Understanding the Organization: Identify Leadership Needs3, as well as the organization current organization chart, complete Appendix F: Orders of Succession.

This order of succession should be approved by the organizations leadership. Once leadership has approved the order of succession, then it (Appendix F: Orders of Succession) should be included in the COOP plan, along with a brief narrative describing the actions that were taken to determine the order of succession.

2 Appendix B (for mission essential functions) or Appendix D (for essential support activities) in Box #2, Question 1.3 Appendix B (for mission essential functions) or Appendix D (for essential support activities) in Box #2, Question 1.

DELEGATIONS OF AUTHORITY

Delegations of authority ensure the orderly and predefined transition of leadership roles within an organization during a COOP activation, and are closely tied to succession. The orders of succession define who can fulfill the leadership roles, and the delegation of authority provides the legal authorization for them to actual fulfill that role.

Delegations of authorities are frequently tied to specific positions, but since many delegations require specific training, qualifications, and certification, organizations must associate some delegations of authority with a specific individual instead of their title.

Using Appendix F: Orders of Succession, complete Appendix G: Delegation of Authority List.

The delegation of authority should be approved by the organizations leadership and legal team. Once leadership and legal team has approved the delegation of authorities, then the list (Appendix G: Delegation of Authority List) should be included in the COOP plan, along with a brief narrative describing the actions that were taken to determine the delegations of authority. This section should also include any relevant legal information, and instructions for how to create, finalize and disseminate the delegation letter, as well as the draft letter (Appendix H: Draft Delegation of Authority Letter).

CONTINUTITY COMMENCATIONS

To be developed.

CONTINUITY FACILITIES

To be developed.

HUMAN RESOURCES

To be developed.

ESSENTIAL RECORDS MANAGEMENT

To be developed.

DEVOLUTION OF CONTROL AND DIRECTION

To be developed.

RECONSTITUTION

Reconstitution addresses how the organization will return to normal operations once leadership determines that the actual emergency, or the threat of an emergency, is over. The process of reconstitution should start at the beginning of a continuity event.

During COOP activation, a Reconstitution Team should be activated immediately to develop and implement the Reconstitution Plan. The Reconstitution Plan should address:

How the organization will assess the status of affected organization personnel, assets, and facilities Process for phasing down the continuity facility operations and transitioning to either normal primary

facility, another temporary facility or a new permanent facility Process for informing all personnel that the necessity for continuity operations no longer exists Process for instructing personnel on how to resume normal operations Process for verifying operational capability and availability Process for determining which (if any) records were affected by the incident and ensuring an effective

transition, or recovery, of essential records and databases and other records that had not been designated as essential records.

Some parts of the Reconstitution Plan can be pre-planned. Others will be incident specific and will need to be developed during the incident by the Reconstruction Team Leader.

Your organization should pre-identify the Reconstitution Team members. The Reconstitution Team should be comprised of individuals who are not directly involved in the essential functions but who are familiar with the organizations operations. Please complete Appendix XX: Reconstitution Team, which should be inserted into the

COOP plan along with a brief narrative describing the actions that will be taken to activate the Reconstitution Team, as well as the elements of the Reconstruction Plan.

TESTS, TRAINING, AND EXERCISES

Once your organization completes the COOP plan, COOP elements should be built into your larger Training and Exercise Plan.

APPENDIX A: AGENCY’S ORGANIZATIONAL FUNCTIONS WORKSHEET

List every organizational function. Provide a short description, and determine if the function is a mission function or a support activity, and if it is essential or non-essential.

Mission & Support Activities:

All functions are either mission driven or a support activity. A function cannot be both.

Mission: A function that accomplishes the organizations mission. If the function results in the delivery of service to the public or another organization, it probably performs a function that is a mission of the organization.

Support Activity: A function that makes it possible for an organization to accomplish its mission. If the function results in a service being delivered to another part of the same organization, it likely is a supporting activity.

Essential & Non-Essential:

All functions are either essential or non-essential. A function cannot be both. A good rule of thumb is to determine if the function is essential is if it cannot be stopped for 30 days without serious negative impacts.

Essential: Functions that have to be performed during emergencies. Non-Essential: Functions that can be deferred until after the emergency.

AGENCY’s Organizational FunctionsFunction Description Mission Essential

□ Mission□ Support activity

□ Essential□ Non-Essential































APPENDIX B: MISSION ESSENTIAL FUNCTION DATA SHEETS

Complete one of these for every function is a mission function and an essential function.

AGENCY’s Mission Essential Function Data Sheet

Box #1Mission Essential Function

Description

Potential impacts, if not conducted for 30 days

Select all that apply:□ Death/Severe Disability□ Acute health impact□ Chronic health impact□ Behavioral health impact

□ Environmental health impact□ Property impact□ Business impact

Recovery time objective (hrs):

Management priority: □ Very Important (5)□ Important (4)□ Somewhat Important (3)□ Somewhat Unimportant (2)□ Very Unimportant (1)

Point of Contact: Name: Title:Phone:

Email:

Box #2Question 1: Does this function require senior leadership involvement? □ No □ YesIf yes, describe involvement:

Can leadership function remotely? □ No □ Yes

Question 2: What type, and number, of staff is needed to complete this function?Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:

Question 3: What communication and IT resources are needed to complete this function? Select all that apply.Type of Communication:□ Internal Communication□ External Communication, Associates□ External Communication, Public□ External Communication, Other:

Method of Communication:□ Land Line□ Cell Phone□ Text Message□ Fax□ Email

□ Computer – desktop□ Computer - laptop□ Network access□ Internet□ EMSystem

□ CO-SHARE□ WebEOC□ CEDRS□ Health Alert Network□ 800 MHz Radio

□ 450 MHz Radio□ Satellite Phones□ HAM/Amateur Radio Operators (ARES)

□ Other:

Does the communication need to be secure? □ No □ YesDoes the communication require data management? □ No □ Yes

Question 4: What type of facility is needed to complete this function?Does this function need a physical facility? □ No, can be completed remotely □ YesIf yes, describe facility requirements below:

Question 5: What additional resources are needed to complete this function?Office Supplies (list below):

Equipment (list below):

Plans and Procedures (list below):

Other (list below):

Question 6: List any associate agencies our organization is dependent on to perform the essential functionAgency: Function:Agency: Function:Agency: Function:Agency: Function:Agency: Function:

APPENDIX C: PRIORTIZATION WORKSHEET

Compile the information collected in the Mission Essential Function Data Sheets into the table. Using the results, prioritize the mission essential functions. An excel document can be used in the place of this table.

AGENCY’s Mission Essential Function Prioritization Worksheet

Priority Rank

Mission Essential Function

Recovery time objective (hrs) Management Priority (1-5) Potential for Impact

APPENDIX D: ESSENTIAL SUPPORT ACTIVITY DATA SHEETS

Complete one of these for every function is a support activity and an essential function.

AGENCY’s Mission Essential Support Activity Data Sheet

Box #1Essential Support Activity


Description

Recovery time objective (hrs):

Point of Contact: Name: Title:Phone:

Email:

Box #2Question 1: Does this function require senior leadership involvement? □ No □ YesIf yes, describe involvement:

Can leadership function remotely? □ No □ Yes

Question 2: What type, and number, of staff is needed to complete this function?Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:Skill: Number needed:

Question 3: What communication and IT resources are needed to complete this function? Select all that apply.Type of Communication:□ Internal Communication□ External Communication, Associates□ External Communication, Public□ External Communication, Other:

Method of Communication:□ Land Line□ Cell Phone□ Text Message□ Fax□ Email

□ Computer – desktop□ Computer - laptop□ Network access□ Internet□ EMSystem

□ CO-SHARE□ WebEOC□ CEDRS□ Health Alert Network□ 800 MHz Radio

□ 450 MHz Radio□ Satellite Phones□ HAM/Amateur Radio Operators (ARES)

□ Other:

Does the communication need to be secure? □ No □ YesDoes the communication require data management? □ No □ Yes

Question 4: What type of facility is needed to complete this function?Does this function need a physical facility? □ No, can be completed remotely □ YesIf yes, describe facility requirements below:

Question 5: What additional resources are needed to complete this function?Office Supplies (list below):

Plans and Procedures (list below):

Equipment (list below):

Other (list below):

Question 6: List any associate agencies our organization is dependent on to perform the essential functionAgency: Function:Agency: Function:Agency: Function:Agency: Function:Agency: Function:

APPENDIX E: PRIORITIZED MISSION ESSENTIAL FUNCTIONS

AGENCY’s Prioritized Mission Essential Functions


Description Point of Contact Essential Support Activities (list)

1.2.3.4.5.6.7.8.9.10.11.12.13.14.15.16.17.18.19.20.

APPENDIX F: ORDERS OF SUCCESSION

For the purpose of this table, “role” means any duties, roles and responsibilities of the leadership position. This can include simply filling the leadership position (e.g. function as the executive director) or can be very specific (e.g. function as the DEA agent for the department).

AGENCY’s Orders of Succession

Role Title with the role 1st Successor (title) 2nd Successor (title) 3rd Successor (title)

APPENDIX G: DELEGATION OF AUTHORITY

AGENCY’s Delegation of Authority List

Role Title with the role Delegate/Successor (title) Triggering Conditions Limitations

APPENDIX H: DELEGATION OF AUTHORITY DRAFT LETTER

Work with your legal team to determine what formula documentation is needed to support a delegation of authority.

CONSIDERATIONS FOR DELEGATIONS OF AUTHORITY:

1. In accordance with applicable laws, organizations should establish and document in advance the legal authority for the position of Organization Head and other key supporting positions to make key policy decisions during a continuity situation, including: a. Outlining explicitly in a statement the authority, including any exceptions to that authority, of an official so designated to exercise organization direction;

b. Delineating the limits of authority and accountability;

c. Establishing the rules and procedures designated officials must follow when facing the issues of succession to office;

d. Outlining the authority of officials to re-delegate functions and activities, as appropriate;

e. Defining the circumstances under which delegation of authorities would take effect and would be terminated; and

f. Incorporating the conditions under which delegations will take place, the method of notification, the duration the delegations may last, conditions when the delegations may be terminated, and any temporal, geographical, or organizational limitations to the authorities granted by the orders of succession or delegations of authorities, including the ability to re-delegate authorities.

APPENDIX I: RECONSTITUTION TEAM

The Reconstitution Team should be comprised of individuals who are not directly involved in the essential functions but who are familiar with the organizations operations.

AGENCY’s Reconstitution Team

Reconstitution Role Title Division CommentsReconstitution Lead (Primary)Reconstitution Lead (Alternate)Team Member (Primary)Team Member (Primary)Team Member (Primary)Team Member (Alternate)Team Member (Alternate)Team Member (Alternate)

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