Continuity of Operations Planning (COOP)

1. Continuity of Operations Planning(COOP) Tennessee Highway Safety and Incident Management Conference Nashville, TN November 19-20, 2013

2. COOP Planning

3. COOP: Definition & Scope Plan that provides for the continuity of essential functions of an organization in the event an emergency limits normal operations.

4. COOP Overview: Planning Objectives • Ensure continued performance of essential functions • Reduce loss of life/minimize damage • Ensure succession to office of key leadership • Reduce/mitigate disruptions to operations • Protect essential assets • Achieve timely recovery/reconstitution • Maintain TT&E program for validation

5. Elements of a Viable COOP • Plans and Procedures • Essential Functions • Delegations of Authority • Orders of Succession • Alternate Facilities • Interoperable Communications • Vital Records • Human Capital • TT&E • Devolution • Reconstitution

6. Elements of a Viable COOP - Essential Functions Defining Functions: Defining functions arethose functions which define an organization’s existence and purpose. Essential Functions:Essential functions are those defining functions that enable an agency to provide vital services, maintain safe and quality operations, maintain the safety of employees, and sustain an economic base during an emergency.

7. Elements of a Viable COOP – Delegation of Authority Delegations of Authority specify. . . Who is authorized to make decisions or act on behalf of the department/agency head and other key officials for specific purposes during COOP emergencies

8. Elements of a Viable COOP Capability Delegations of Authority Purposes: • Making personnel management decisions • Approving commitment of resources • Signing contracts • Approving emergency policy changes • Approving changes in SOPs • Empowering designated representatives to participate as members of interagency emergency response teams to act on behalf of the agency head

9. Elements of a Viable COOP – Orders of Succession Provisions for the assumption of senior agency leadership positions during an emergency when the incumbents are unable or unavailable to execute their legal duties.

10. Elements of a Viable COOP –Succession • Should be established for: • The agency head • Officials down to and including office directors responsible for performing essential functions • Federal and State agencies are required by Executive Order for the heads of cabinet-level departments and agencies

11. Locations, other than the normal facility, used to carry out essential functions in a COOP situation. Elements of a Viable COOP – Alternate Facilities

12. Elements of a Viable COOP – Alternate Facilities Desirable characteristics: • Located at a safe distance from and secured against worst-case and most-likely scenarios • Can be operational in 12 hours or less • Provide sufficient space, equipment, supplies, and services to support COOP personnel in the performance of essential functions

13. Elements of a Viable COOP – Alternate Facilities Desirable characteristics: • Supports required communications and IT infrastructures • Provides for food, lodging, health, sanitation, and security needs of COOP personnel on site or nearby

14. Interoperable Communications: Communications that provide the capability to perform essential functions, in conjunction with other agencies and organizations. Elements of a Viable COOP – Interoperable Communications

15. Elements of a Viable COOP –Interoperable Communications • Support performance of essential functions • Provide capability to communicate within the organization • Provide connectivity to outside agencies/ customers • Ensure access to data, systems, and services

16. Elements of a Viable COOP- Vital Records • Every agency must have a vital records program. • An effective vital records program provides for the identification, protection, and ready availability of: • Vital records • Databases • Hardcopy documents

17. Elements of a Viable COOP - Vital Records Electronic and hardcopy documents, references, and records needed to support essential functions during a COOP situation. The two basic categories of vital records are: • Emergency operating records. • Legal and financial records.

18. Elements of a Viable COOP – Human Capital Management • The right people in the right jobs to perform essential functions • Ensures that all employees have a clear understanding of what to do in an emergency • Includes protocols for identifying/assisting special-needs employees

19. Elements of a Viable COOP Capability Human Capital Management: Non-ERG Members • Tell non-ERG members: • Where to go. • What to do(alternate assignments for non-emergency employees). • Include employee accountability procedures • Include recall/activation procedures

20. Elements of a Viable COOP –TT&E Tests, training, and exercise program includes: Measures taken to ensure that an agency’s COOP program is capable of supporting the continued execution of its essential functions throughout the duration of the COOP situation.

21. Elements of a Viable COOP - Devolution The capability to transfer statutory authority and responsibility for essential functions from an agency’s primary operating staff and facilities to other employees and facilities and to sustain that operational capability for an extended period.

22. Elements of a Viable COOP - Reconstitution The process by which agency personnel resume normal agency operations from the original or replacement primary operating facility.

23. Elements of a Viable COOP - Reconstitution • Inform all personnel that the threat no longer exists, and provide instructions for resumption of normal operations. • Supervise an orderly return to the normal operating facility or movement to another operating facility. • Report status of relocation to agency partners/customers. • Conduct an after-action review.

24. COOP Impacts Employee and Family COOP and family support plans should: • Include personnel accountability procedures. • Provide a means for keeping employees informed. • Provide information to all employees so they can develop their family emergency plans. • Provide information about family support services near the alternate site.

25. COOP Impacts Employee and Family Family emergency plans should include: • Contact and communications information. • Immediate Emergency Checklist: • Medical • Financial • Automobile/Transportation • Legal/Administrative • Important documents

26. “Bug-out Bags” • Plan for 3 days • High-energy Food • Medicines • Toiletry/hygeine items • Clothing for three days • Things you need to do your job • State/County Highway maps • Writing utensils • Laptop w/ charger, hotspot • Cell phone chargers • Small tool kit (multi-tool) • Pair of FRS radios • Flashlight • AM/FM radio • Batteries • Cards/book/dice /dominoes/puzzles

27. Wrap-up • The COOP program provides the capability to continue essential government services through any emergency • Viable COOP programs include comprehensive plans, tests, training, and exercises to ensure desired capabilities are achieved/maintained. • COOP emergencies can disrupt all organizations for a time and can threaten our well-being and that of our families.

28. FEMA COOP Traininghttp://www.fema.gov/training • •IS 546A: Continuity of Operations Awareness Course • •IS 547A: Introduction to Continuity of Operations • •IS/G 139: Exercise Design Course (Continuity of Operations) • •E/L 548: Continuity Managers Train-the-Trainer Course • •E/L 550: Continuity Planners Train-the-Trainer Workshop • •E/L 551: Devolution Planning Train-the-Trainer Workshop • •E/L 156: Continuity of Operations Building Design for Homeland Security Train-the-Trainer Course

29. Resources • http://www.fema.gov/training • COOP Templates: http://www.fema.gov/continuity-operations

30. QUESTIONS? ? ? Derial W. Bivens, CEMP TDOT Office of Emergency Operations 3041 Sidco Dr. Nashville, TN 37204 derial.bivens@tn.gov 615-202-8895 ? ?