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State of Alaska Continuity of Operations Plan

By Troy Hayes,2014-04-02 12:55
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State of Alaska Continuity of Operations PlanPlan,plan

    State of Alaska

    Continuity of Operations

    Planning Guide

    Continuity of Operations (COOP) Plan Template

    Instructions

    This guide provides instructions for developing a Continuity of Operations (COOP) Plan according to Department of Homeland Security (DHS) Headquarters Continuity of Operations (COOP) Guidance Document, dated April 2004. Although general guidance and sample information is provided in this guide for reference, organizations are encouraged to tailor COOP Plan development to meet their own

    needs and requirements. These instructions accompany an electronic template that may be downloaded from the State of Alaska Division of Homeland Security and Emergency Management website at the following address: http://ready.alaska.gov/plans/index.htm

GUIDE INSTRUCTIONS

    This guide provides instructions for developing a Continuity of Operations (COOP) Plan according to Department of Homeland Security (DHS) Headquarters Continuity of Operations (COOP) Guidance Document, dated April 2004. Although general guidance and sample information is provided in this guide for reference, organizations are encouraged to tailor COOP Plan development to meet their own needs and requirements. These instructions accompany an electronic template that may be downloaded from the State of Alaska Division of Homeland Security and Emergency Management website at the following address: http://ready.alaska.gov/plans/index.htm

Questions concerning this template can be directed to:

Department of Military and Veterans Affairs

    Division of Homeland Security and Emergency Management

    P.O. Box 5750, Fort Richardson, AK 99505-5750

    Phone: 907-428-7000 Fax: 907-428-7009 TTY: 907-XXX-XXXX Toll Free: 1-800-478-2337

Table of Contents

    EXECUTIVE SUMMARY ..................................................................................................................... 3 INTRODUCTION ................................................................................................................................... 4

    PURPOSE ............................................................................................................................................... 4

    APPLICABILITY AND SCOPE ............................................................................................................. 4 ESSENTIAL FUNCTIONS ..................................................................................................................... 4 AUTHORITIES AND REFERENCES .................................................................................................... 5 CONCEPT OF OPERATIONS ................................................................................................................ 5 PHASE I: ACTIVATION AND RELOCATION ................................................................................. 5

    Decision Process .............................................................................................................................. 5

    Alert, Notification, and Implementation Process .............................................................................. 5

    Leadership ....................................................................................................................................... 6

    PHASE II: ALTERNATE FACILITY OPERATIONS......................................................................... 7

    Mission Critical Systems ................................................................................................................. 7

    Vital Files, Records, and Databases.................................................................................................. 7 PHASE III: RECONSTITUTION ........................................................................................................ 8 COOP PLANNING RESPONSIBILITIES .............................................................................................. 9 LOGISTICS ............................................................................................................................................ 9

    ALTERNATE LOCATION ................................................................................................................. 9 INTEROPERABLE COMMUNICATIONS ...................................................................................... 10 TEST, TRAINING, AND EXERCISES................................................................................................. 10 MULTI-YEAR STRATEGY AND PROGRAM MANAGEMENT PLAN ............................................ 10

    COOP PLAN MAINTENANCE ........................................................................................................... 10

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EXECUTIVE SUMMARY

    The executive summary should briefly outline the organization and content of the COOP Plan and describe what it is, whom it affects, and the circumstances under which it should be executed. Further, it should discuss the key elements of COOP planning and explain the organization’s implementation strategies.

    INTRODUCTION

    The introduction to the COOP Plan should explain the importance of COOP planning to the organization. It may also discuss the background for planning, referencing recent events that have led to the increased emphasis on the importance of a COOP capability for the organization. PURPOSE

    The purpose section should explain why the organization is developing a COOP Plan. It should briefly discuss applicable Federal guidance and explain the overall purpose of COOP planning, which is to ensure the continuity of mission essential functions. Because of today’s changing threat environment, this section should state that the COOP Plan is designed to address the all hazard threat.

    APPLICABILITY AND SCOPE

    This section describes the applicability of the plan to the organization as a whole, headquarters as well as subordinate activities, co-located and geographically disperse, and to specific personnel groups of the organization. It should also include the scope of the plan. Ideally, plans should address the full spectrum of potential threats, crises and emergencies (natural as well as man-made).

    ESSENTIAL FUNCTIONS

    The essential functions section should include a list of the organization’s prioritized essential functions. Essential functions are those organizational functions and activities that must be continued under any and all circumstances.

    .

    SAMPLE

    The following table shows examples of prioritized essential functions for a fictitious organization, the Bureau of Water Management:

    Administer programs to protect the region’s water supply and the 1 health of the public.

    2 Ensure the protection of fish and aquatic life.

    3 Ensure pollution prevention and compliance assurance.

    Provide technical support and information to assist in planning and 4 restoration.

    5 Approve and oversee cleanups of contaminated sites.

    6 Plan and implement regional flood control programs.

AUTHORITIES AND REFERENCES

    This section should reference an annex that outlines all supporting authorities and references that have assisted in the development of this COOP Plan.

    CONCEPT OF OPERATIONS

    This section should explain how the organization will implement its COOP Plan, and specifically, how it plans to address each critical COOP element. This section should be separated into three phases: activation and relocation, alternate facility operations, and reconstitution. PHASE I: ACTIVATION AND RELOCATION

    The Phase I section should explain COOP Plan activation procedures and relocation procedures from the primary facility to the alternate facility. This section should also address procedures and guidance for non-relocating personnel.

    Decision Process

    This section should explain the logical steps associated with implementing a COOP Plan, the circumstances under which a plan may be activated (both with and without warning), and should identify who has the authority to activate the COOP Plan. This process can be described here or depicted in a graphical representation.

    Alert, Notification, and Implementation Process

    This section should explain the events following a decision to activate the COOP Plan. This includes employee alert and notification procedures and the COOP Plan implementation process.

Leadership

    Orders of Succession

    This section should identify orders of succession to key positions within the organization. Orders should be of sufficient depth to ensure the organization’s ability to manage and direct its

    essential functions and operations. The conditions under which succession will take place, the method of notification, and any temporal, geographical, or organizational limitations of authority should also be identified in this section.

    .

    SAMPLE

    The following table shows the order of succession for the Director of the Bureau of Water Management:

    Director, Bureau of Water Management

    Deputy Director, Bureau of Water Management

    Division Head, Enforcement and Remediation Division

    Division Head, Standards and Planning Division

Delegations of Authority

    This section should identify, by position, the authorities for making policy determinations and decisions at headquarters, field levels, and other organizational locations, as appropriate. Generally, pre-determined delegations of authority will take effect when normal channels of direction are disrupted and terminate when these channels have resumed. Such delegations may also be used to address specific competency requirements related to one or more essential functions that are not otherwise satisfied by the order of succession. For example, once again referring to the Bureau of Water Management sample: because of particular technical skill, the authority to remediate contaminated sites could be pre-delegated directly to the Division Head, Enforcement and Remediation Division, bypassing the intervening successor. Delegations of authority should document the legal authority for making key decisions, identify the programs and administrative authorities needed for effective operations, and establish capabilities to restore authorities upon termination of the event. Pre-determined delegations of authority may be particularly important in a devolution scenario.

Devolution

    The devolution section should address how an organization will identify and conduct its essential functions in the aftermath of a worst-case scenario, one in which the leadership is incapacitated. The organization should be prepared to transfer all of their essential functions and responsibilities to personnel at a different office or location.

    PHASE II: ALTERNATE FACILITY OPERATIONS

    The Phase II section should identify initial arrival procedures as well as operational procedures for the continuation of essential functions.

    Mission Critical Systems

    The section should address the organization’s mission critical systems necessary to perform

    essential functions and activities. Organizations must define these systems and address the method of transferring/replicating them at an alternate site.

    SAMPLE

    The following table shows examples of mission critical systems for the Bureau of Water Management:

    Hazardous Spill Cleanup Unit Warehouse 11 Storage Unit B,

    Storage Unit C

    Mobile Analytical Laboratory Primary Facility Alternate Facility

    Mobile Operations Center Primary Facility Alternate Facility

Vital Files, Records, and Databases

    This section should address the organization’s vital files, records, and databases, to include classified or sensitive data, which are necessary to perform essential functions and activities and to reconstitute normal operations after the emergency ceases. Organizational elements should pre-position and update on a regular basis those duplicate records, databases, or back-up electronic media necessary for operations.

    There are three categories of records to be reviewed and prioritized, then transferred (either hard copy or electronic media) to an alternate location:

    ; Emergency operations records;

    ; Legal/financial records; and,

    ; Records used to perform national security preparedness functions and activities (EO 12656).

    SAMPLE

    The following table shows examples of vital files, records, and databases for the Bureau of Water Management:

    GIS Mapping Database Electronic X X

    List of Licensed Spill Hardcopy X Cleanup Contractors

    List of Regional Dams Hardcopy X

    Pollution/Chemical Electronic X Incident Database

    Public and Private Electronic

    Sewage System X X

    Records

    Water Treatment Hardcopy X Regulations

    Flood Control Policies Hardcopy X

    Federal Water Hardcopy X Facilities Contact List

    The following table shows sample vital files, records, and databases pertaining to COOP coordination for the Bureau of Water Management:

    COOP Plan Electronic X X

    Phone Roster Hardcopy X

    Devolution Contact Hardcopy X List

    Legal Authority List Electronic X

    Emergency Water Hardcopy X Resources List

PHASE III: RECONSTITUTION

    The Phase III section should explain the procedures for returning to normal operations a time

    phased approach may be most appropriate. This section may include procedures for returning to the primary facility, if available, or procedures for acquiring a new facility through General Services Administration (GSA). Notification procedures for all employees returning to work

    must also be addressed. The conduct of an After Action Report (AAR), to determine the effectiveness of COOP plans and procedures should be considered.

    COOP PLANNING RESPONSIBILITIES

    This section should include additional delineation of COOP responsibilities of each key staff position, to include individual Emergency Relocation Group (ERG) members, those identified in the order of succession and delegation of authority, and others, as appropriate.

    SAMPLE

    The following table shows examples of some COOP responsibilities for the Bureau of Water Management:

    Update COOP plan annually. Division Head, Standards and Planning Division

    Update telephone rosters monthly. Communications Specialist, Standards and Planning Division

    Review status of vital files, records, Records Specialist, Standards and Planning Division

    and databases.

    Conduct alert and notification tests. Communications Specialist, Standards and Planning Division

    Develop and lead COOP training. Training Specialist, Standards and Planning Division

    Plan COOP exercises. Training Specialist, Standards and Planning Division

LOGISTICS

    ALTERNATE LOCATION

    The alternate location section should explain the significance of identifying an alternate facility, the requirements for determining an alternate facility, and the advantages and disadvantages of each location. Senior managers should take into consideration the operational risk associated with each facility. Performance of a risk assessment is vital in determining which alternate location will best satisfy an organization’s requirements.

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