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Jefferson County Public Health

Continuity of Operations Plans Workbook

Created: April 21, 2015

Revised: May 15, 2015

ContentsIntroduction3Identify the Essential Functions4Step 1: Identify All Organizational Functions4Step 2: Identify Which Functions Are Potentially Essential4Step 3: Develop Mission Essential Function Data Sheets5Step 4: Prioritize the Mission Essential Functions6Step 5: Obtain Leadership Approval7Understand the Orgnziations Essential Functions8Identify leadership needs8Identify staff needs8Identify communication & IT needs8Identify facility needs8Identify additional resource needs9Identify associate agency support needs9Orders of Succession10Delegations of Authority11Continuity Facilities13Alternate Sites13Telework and mobile work Concepts14Human Resources15Essential Staff15Non-Essential Staff16EssentialRecords Management17Continuity Communications19Devolution of Control and Direction20Reconstitution21Tests, Training, and Exercises22Appendix A: Agencys Organizational Functions Worksheet23Appendix B: Mission Essential Function Data Sheets25Appendix C: Priortization Worksheet27Appendix D: Essential Support Activity Data Sheets28Appendix E: Prioritized Mission Essential Functions30Appendix F: Orders of Succession31Appendix G: Delegation of Authority32Appendix H: Delegation of Authority Draft Letter33Appendix I: Reconstitution Team34Appendix J: Essential Staff35Appendix K: Non-Essential Staff36Appendix L: Communication Methods37Appendix M: Potential Alternate Site Facilities38

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 their 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. Please provide feedback to Jefferson County Public Health Emergency Preparedness at [email protected].

All text that is in blue italics refer to sections within this document. All text that is in purple italics refers to parts of this plan that refer to supporting documents or information that may become outdated.

Identify the Essential Functions

The first step in the COOP planning process is to identify the organizations 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 organizations functions. While doing this you have to determine how broadly, or how specifically, to define the organizations 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, youll 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. However, this is not always the case, 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 the organizations mission statement.

It is part of the organizations 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 organizations 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 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, youll 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 managements 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 youll 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 Managements Priority Level

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

Identify 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