but also a vital records program for normal operations. Every organization should have a vital records program. COOP planning for vital records includes assessment of any vital records programs in place and the improvement or development of a program to provide for the optimal protection, duplication and preservation of records. This maintenance program, as well as procedures for the recovery and restoration of records, forms the basis of a vital records program. There are five major tasks in COOP planning for vital records: Write an assessment sub-plan. If a vital records program is in place, the plan should lay out the steps for reviewing the current status of the program. If there is no program in place, the plan should outline how the program will be developed and administered. Develop forms for gathering information. Create a questionnaire to assist offices in identifying vital records. Use the information collected in Worksheet B6, column 3 – “Records”, or create a form to list all essential functions and all records supporting those functions. Identify vital records. Vital records may include part or all of a series or group of records. Review protection needs for each vital record and compare with current program. Develop a restoration and recovery sub-plan. Identify Vital Records Use Form G: Vital Records to complete the following task. To begin identifying vital records look at the essential functions and their supporting critical processes and services. In Worksheet B6, the records needed to perform essential functions were already identified. With that worksheet, determine those records that are necessary for emergency operations and/or the recovery or the continuation of the essential functions for at least fourteen days and list them in Form G: Vital Records.
Addresses internal and external communications to all stakeholders COOP is designed to handle emergencies for a 30-day time period. When an incident occurs, it is likely that an organization will immediately know whether an emergency will extend beyond a 30- day period or whether reconstitution of normal operations will be able to occur within the COOP time frame. It is important for organizations to look into considerations that may need to be taken into account in the event that an emergency does extend beyond 30 days. Although the plan your organization is currently developing does not go into detail about extending an emergency situation beyond 30 days, your organization should know which aspects would be most affected and have a strong idea of how to handle an extended emergency. Coordination with and transition to the Disaster Recovery process overall within the County/City is critical. Other Teams/Groups The County/City should consider establishing additional teams/groups, as necessary, depending on the intensity of the reconstitution plan. It should be a consideration to augment the crisis management function and the disaster recovery function within the reconstitution phase. Crisis Management The COOP Policy acts to oversee the crisis management function throughout the entire COOP process. During the reconstitution phase, if the process is considered to be a difficult task on human capital and/or the community as a whole, this function may be reassigned to specific members of the Policy Group along with specialists in crisis management skills, and given the title of the Crisis Management Team (CMT). If the County/City chooses to establish a formal Crisis Management Team, that should be communicated throughout the organization, including the roles and responsibilities of the CMT, versus the role of the Policy Group. The primary functions of crisis management during reconstitution, in general include: Direction and control Implementing the COOP Plan Contacting additional Team members/support personnel Taking control of the recovery process Managing the various recovery teams as they rebuild Disbursing funds as needed Working with suppliers and shippers Making general management related business decisions Keeping the operations going and servicing constituencies Disaster Recovery Team (DRT)
- Personal cell phone - Glasses an contact lenses Hand-Carried Essential Records - Extra pair of eyeglasses/contact lenses Continuity Plan - Prescription drugs (30-day supply) Directions to continuity facility - Over-the-counter medications, dietary supplements Maps of surrounding area GETS Card Business and leisure clothing Chargers/extra batteries for phone, GPS and laptop Flashlight Family Emergency Communication Plan Equipment to ensure accessibility Emergency Transportation Pass [Insert additional recommended items] Figure 8-8. Go-Kit contents IV. Training, Testing and Exercises The Training, Testing and Exercises phase consists of: 1. Assessing and validating COOP policies and procedures 2. Ensuring that organization personnel are familiar with COOP procedures 3. Ensuring that COOP personnel are sufficiently trained to out essential functions during COOP activation Figure 8-9. Training, Testing and Exercise The following will help you to complete Form K: Training, Testing, Exercise and Maintenance. are no worksheets for this form. For the County/City COOP Plan to be effective, each department must know how to execute its portion of the COOP plan and how it relates to the other department components of the plan. The Tests, Training and Exercises (TT&E) phase of the planning process is extremely important in regards to employee awareness and readiness. It ensures that the organization’s COOP program and all personnel are capable of supporting the continued execution of its essential functions throughout the duration of an emergency situation. To achieve this, TT&E programs must be a blend of testing, training and exercise events. The objectives of the COOP TT&E program include: Access and validate COOP Plans, policies and procedures Ensure that organization personnel are familiar with COOP Plan and procedures. This also extends to public officials and other external members included as part of COOP teams and groups Ensure that COOP personnel are sufficiently trained and outfitted to carry out critical functions in all COOP scenarios Test and validate critical communications equipment to ensure both internal and external interoperability Test and validate critical infrastructure and backup systems at critical facilities including alternate facilities
Plan update and certification Review entire plan for accuracy Incorporate lessons learned and changes in policy and/or philosophy Manage distribution of plan updates Annually (November of each year) or as needed Maintain and update Orders of Succession Obtain names of current incumbents and designated successors Update delegations of authorities Annually (November of each year) or as needed Update checklists Update and revise checklists Ensure annual update/validation Annually (November of each year) or as needed Appoint new COOP Planning Team members Review qualification requirements Issue appointment letters Schedule new member orientation As needed Maintain alternate worksite readiness Test all systems Verify access and systems Cycle supplies and equipment as needed Quarterly Review/update supporting MOUs/MOAs and contracts Review MOUs/MOAs and contracts for currency and new needs Incorporate revisions, as required Obtain signatures of reviewing authorities to confirm validity Annually Monitor and maintain equipment at alternate sites Train users and provide technical assistance as needed Monitor volume/age of materials and assist users with cycling/updating/removing files Ongoing Train new key personnel Provide orientation Schedule participation in training and exercises Within 30 days of appointment Orient new policy officials and senior management Brief officials on COOP philosophy each official on his/her COOP responsibilities Within 30 days of appointment
Interagency Agreements – A written agreement entered into between agencies that require specific goods or services to be furnished or tasks to be accomplished by one organization in support of the other. Interoperability – (1) The ability of systems, personnel, or agencies to provide services to and accept services from other systems, personnel, or agencies and to use the services so exchanged to enable them to operate effectively together. (2) The condition achieved among communications-electronic systems or items of communications-electronics equipment when information or services can be exchanged directly and satisfactorily between them and/or their users. Legal and Financial Records – Records that are needed to protect the legal and financial rights of the government and of the persons affected by its actions. *Lines of Succession – Provisions for the assumption of senior organization offices and other key positions during an emergency in the event that any of those officials are unavailable to execute their legal and/or essential duties. Logistical Support Services – Personnel who have the skills and authority to coordinate the provision of resources and services. *Mission Critical Data – Information essential to supporting the execution of an organization's essential or mission critical business functions. *Mission Critical Resources –The minimum resource requirements needed to perform or restore an organization’s essential or mission critical business functions. Critical resources could include facilities, communication systems, personnel, vital records and databases, vital systems and equipment, key vendors, and other government agencies. *Mission Critical Systems – Information Technology equipment essential to supporting the execution of an organization’s essential or mission critical business functions, including hardware, software, networking components, etc. Multiyear Strategy and Program Management Plan – A multiple-year process to ensure the maintenance and continued viability of Continuity Plans. Occupant Emergency Plan (OEP) – A short-term emergency response program that establishes procedures for safeguarding lives and property directly following an emergency. Also known as Facility Emergency Plans or Evacuation Plans. Primary Operating Facility – The site of normal, day-to-day operations; the location where an employee usually goes to work. *Priority Classifications – The act or process of classifying actions, operations, or tasks to specific groups or categories according to established criteria, such as precedence or merit of attention before competing alternatives. Procedures – A document that outlines a series of action taken to accomplish a desired end result.
Form C: PERSONNEL CONTACT LIST (RAPID RECALL LIST) The Personnel Contact List is a short document with a cascade call list and other essential phone numbers. The cascade list should include COOP Planning Team members, key personnel, organization management and emergency personnel, both inside and outside the organization. The Point of Contact (POC) will activate the list and initiate the first contact with the organization head and COOP Planning Team. Employee Cascade List Email Address Work # Home # Cell/Pager # Organization Head COOP Planning Team (Form A) Employee A Employee B Employee C Employee D Employee E Key Personnel & Management Employee I Employee J Employee K Employee L Employee M Emergency Personnel Number(s) Fire Department Police Department Ambulance/EMS ID State Emergency Operations Center Alternate Facility Contacts Employee Emergency Hotline Form D: DELEGATION OF AUTHORITY In developing this list, the organization can review its pre-delegated authorities for making policy determinations and decisions at headquarters, field levels, and other organizational locations as appropriate.
Form J: Item Organization Unit Location Quantity Maintenance Performed By Maintenance Date COOP Communications Equipment Computer Equipment COOP Procedures Contact Lists Memorandums of Agreement Map to Alternate Site Vital Records Office Supplies Other (List) Form K: TRAINING, TESTING AND EXERCISES Training Components Training Type Targeted Whose Responsibility? Frequency Date Scheduled Date Completed Training Example: COOP Awareness Online – FEMA IS 546 COOP Planning Team Senior Leadership Annually NLT 2/28/09 2/15/09 Testing Components Whose Responsibility? Frequency Date Scheduled Date Completed
Worksheet G2: RESTORATION AND RECOVERY RESOURCES Identify all record recovery and restoration resources, contact information and services available Include evening, holiday and emergency/alternate contact information, as well as contact information for regular business hours. Company Name Contact Name Address/Phone Services Example: Data Recovery Systems, Ltd. Example: Primary: Phil Jones Alternate: Mary Smith Example: 123 N River St Anytown, CA (222) 123-1111 (222) 123- 2222 Cell: (503) 123-3333 On-call person carries the – Phil or Mary always has it Example: Copying of backup tapes for distribution to multiple alternate sites. Troubleshooting assistance in person promised w/in 2 hours