Ensuring That the Office of Attorney General is Operational During an Emergency

1. Ensuring That the Office of Attorney General is Operational During an Emergency April 20, 2005

2. Tamara S. Little Assistant Attorney General Ohio Attorney General’s Office Chair, National Emergency Management Association’s Legal Counsel Committee

3. What is COOP? Continuity of Operations Measures taken by government offices to ensure continuance of essential functions during emergencies

4. COOP Objectives • Ensure performance of essential functions during emergencies • Reduce loss of life • Minimize damages & losses • Ensure succession of leadership • Keep government operational • Reduce/mitigate disruptions to operations

5. COOP Objectives • Ensure alternate facilities to perform essential functions • Protect essential facilities, equipment, vital records, and other assets • Ensure timely & orderly recovery from the event & return to normal operations • Ongoing training, testing, & exercising

6. Coop Planning Considerations • Implement with or without warning • Operational no later than 12 hours after activation • Maintain operations for up to 30 days • Regular risk analysis of operations to assure high level of readiness • Locate alternate operating facilities • Use existing assets to the extent practicable

7. Role of Senior Leadership • Responsible for: • COOP planning & implementation • Prioritization of essential functions • Appointment of COOP planners & emergency relocation group • Delegation of authority & orders of succession • Ensure protection of vital records • Employee & family support • Return to normal operations

8. Role of Senior Leadership • Without Senior Leadership, COOP WILL FAIL

9. Elements of COOP Plan • Definition of essential functions • Procedures for alternate facility staffing & operation, including interoperable communications • Rosters of trained & equipped personnel with authority to perform essential functions • Orders of succession & delegations of authority

10. Elements of COOP Plan • Procedures for protecting & utilizing vital records • Tests, training & exercises • Reconstitution procedures to return to normal operations • Procedures to notify employees with instructions for relocation, with & without warning/duty hours & off-duty hours & to account for personnel

11. Mike VincentDeputy Attorney GeneralHawaiiOffice of the Attorney General

12. Definition of Essential Functions • Identify all functions performed by the Office, then determine which must be continued under all circumstances • Required by law or regulation • Necessary to provide vital services, exercise civil authority, maintain safety of the general public, and sustain the industrial/economic base during emergency • Can’t be interrupted for more than 12 hours • Must be sustained for 30 days

13. Alternate Facilities • Immediate capability to perform essential functions during & after an emergency • Adequate space & equipment to sustain relocation for up to 30 days • Interoperable communications with essential internal & external organizations, customers & the public • Reliable logistical support & utilities • Reliable health/safety & security controls

14. Staffing • Identify staff needed to perform essential functions at the alternate facility, who can be available for up to 30 days • Train & fully equip those personnel • Provide those personnel requisite authority to conduct essential functions • Adopt procedures to notify employees & families & account for staff

15. Interoperable Communications Alternate communications that provide the capability to perform essential functions, in conjunction with other agencies, until normal operations can resume

16. Interoperable Communications • Allow performance of minimum essential functions • Capability to communicate with internal & external agencies & others • Ensure access to data & vital systems • Available as early as possible & sustainable for up to 30 days • Identify primary & secondary alternate communications systems

17. Order of Succession The order in which & conditions under which the responsibilities & authorities of a public official are passed to another official when the original holder is unable or unavailable to exercise those responsibilities & authorities

18. Order of Succession • Establish Order of Succession for: • Attorney General • All other senior staff positions • Identify limitations on delegation of authority • Consider statutory mandates • Include orders with vital records • Include procedures & conditions for implementation

19. Delegation of Authority Specifies who is authorized to act on behalf of the agency head and other key officials for specific purposes

20. Delegation of Authority • Delineate limits of authority and accountability • Identify authority of designated successors • Identify circumstances delegation becomes effective/terminates • Include these personnel in training

21. Vital Records Electronic & hardcopy documents, references, and records needed to support essential functions

22. Emergency Operating Records • Plans & directives • Orders of succession • Delegations of authority • Staffing assignments Legal & Financial Records • Personnel records • Social Security records • Payroll records • Retirement records • Insurance records • Contract records Vital Records • Two Categories of Vital Records: • Emergency Operating Records • Legal and Financial Records

23. Vital Records • Identify vital records needed for essential functions • Establish appropriate medium for accessing with 12 hours • LAN • Electronic • Internal and External E-mail • Vital hard-copy records

24. Vital Records • Maintain complete inventory of records, including a schedule for updates • Select appropriate protection methods • Is off-site storage necessary? • Is alternate storage media necessary? • Should vital records be duplicated? • Identify records recovery experts ahead of time • Test, train & exercise

25. Tests, Training & Exercises • Test: Evaluation of capability against established measurable standard • Alternate communications systems • Alert & notification procedures • Deployment procedures • Training: Instruction in core competencies & skills • Principle means to achieve proficiency • Tools needed to accomplish goals, requirements, or capability

26. Tests, Training & Exercises • Exercises: Participants apply skills & knowledge to improve operational readiness • Three types • Tabletop • Functional • Full Scale

27. Reconstitution Process of resuming non-emergency operations at the primary office location following the emergency

28. Reconstitution • Inform personnel that the emergency no longer exists • Give instructions for resumption to normalcy • Supervise orderly return to normal operating facility (if relocated) • Report status of relocation as required • Close alternate facility (if utilized) • Make improvements in procedures

29. Family Support • Help employees develop family support plans • Provide emergency call-in number for employees • Employees should inform family members of their status during the emergency • Know how to contact employees/family • Make sure they know how to contact you

30. Family Support • Keep employees safe • Track employees & maintain Accountability • Supervisors should have employee contact lists • Update lists monthly • Update Lists daily during COOP operations • Account for all employees upon evacuation • Notify HR if employees unaccounted for • Continue to try to contact

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32. State Emergency Manager’s Perspective Peter G. LaPorte former Emergency Management Director, The District of Columbia

33. RESOURCES • CD ROM from FEMA/GSA – Continuity of Operations Plan Seminars • www.fema.gov/onsc (newest version of Guidance on Continuity of Operations Planning for State & Local Governments available this month) • State Emergency Management Agency

34. Questions & Discussion