Continuity of Operations Plan – Basic Plan
PRIVACY STATEMENT
Public disclosure of this document would have a reasonable likelihood of threatening public safety by exposing a vulnerability to terrorist attack. Accordingly, the Department Name (Acronym) is withholding this document from full public disclosure and is treating it as a confidential document. Note that a public agency that receives a confidential public record from another public agency is required to maintain the confidentiality of that document. Refer any request for a copy of this document to Acronym Chief Legal Counsel, Individual’s Name or Acronym Department Head Name.
Continuity of Operations Plan – Basic Plan
Department Name
Continuity of OPERATIONS PLAN
TABLE OF CONTENTS
Section Page
Privacy Statement
Table of Contents i
Executive Summary ES-1
1.0 Introduction 1
1.1 Purpose 1
1.2 Applicability and Scope 1
2.0 Concept of Operations 1
2.1 Conditions of Implementation 1
2.2 Activation 2
2.3 Emergency Notification 2
2.4 Alternate Notification Process 3
2.5 Execution/Warning Conditions 3
2.5.1 Execution with Warning 4
2.5.2 Execution without Warning, Non-Business Hours 4
2.5.3 Execution without Warning, Business Hours 5
2.6 Mission-Critical Processes 5
2.7 Succession of Leadership and Delegation of Authorities 6
2.7.1 Succession of Leadership 6
2.7.2 Delegations of Authority 6
2.7.3 Devolution Assumptions 6
2.8 Emergency Relocation Site(s) 7
2.8.1 Assumptions 8
2.9 Mission-Critical Process Supporting Elements 8
2.9.1 Mission-Critical Systems 8
2.9.2 Vital Records and Databases 9
2.10 Risks, Vulnerabilites, and Mitigation Strateges 9
2.11 Reconstitution 10
3.0 Coordinating Instructions 11
3.1 Responsibilities 11
4.0 Tests, Training, and Exercises 12
4.1 General 12
4.2 Tests 13
4.3 Training 14
4.3.1 New Personnel Training 14
4.3.2 Incident Command System (ICS) and National Incident Management System (NIMS) Training 15
4.4 Exercises 15
4.5 Evaluation 15
5.0 Plan Maintenance 16
5.1 Plan Maintenance 16
6.0 Definitions, Acronyms, and References 17
6.1 Definitions 17
6.2 Acronyms 18
6.3 References 18
Appendices
APPENDIX A: Emergency Notification/Key Personnel
APPENDIX B: Drive-Away Kits
APPENDIX C: Department-Specific Information
APPENDIX D: Critical Process Summary
APPENDIX E: Leadership Succession
APPENDIX F: Emergency Relocation Site Routing Map
APPENDIX G: Implementation Checklist
APPENDIX H: Supporting Elements
APPENDIX I: Process-Based Risk Mitigations
APPENDIX J: Facility-Based Risk Mitigations
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Continuity of Operations Plan – Basic Plan
EXECUTIVE SUMMARY
Department Name
CONTINUITY OF OPERATIONS PLAN
Awareness of possible consequences of terrorist incidents and emergencies (natural and human-induced) has provoked preparations of governmental Continuity of Operations (COOP) Plans. Governmental agencies from local to federal levels must develop plans to continue their mission-critical processes across a broad spectrum of emergencies. The State of Illinois must formulate a COOP Plan to ensure continuity of its essential government functions—especially within state agencies occupying roles in the Illinois Emergency Operations Plan (IEOP). Moreover, this COOP Plan will be essential to maintain trust in government and avoid widespread death, injury, and panic in a disaster.
This Illinois COOP Plan accords with current Emergency Management Accreditation Program (EMAP) and U.S. Department of Homeland Security (DHS) guidance for COOP planning, and with operational guidelines outlined in the National Incident Management System (NIMS).
This COOP Plan provides guidance to the Department Name (Acronym) personnel for maintaining Department’s Name capability to fulfill all its assigned mission-critical processes during all contingencies—and in so doing provides for employees’ safety and well-being if any Department Name facilities are threatened or inaccessible. Specific objectives of this COOP Plan include the following:
· Ensure continuous performance of mission-critical processes.
· Protect essential facilities, equipment, vital records, and other assets.
· Reduce or mitigate disruptions to operations.
· Reduce loss of life and minimize damage and losses.
· Achieve a timely and orderly recovery from an emergency, and resume full service to the citizens of Illinois.
Recommended changes to this plan should be sent to the Department Name COOP Coordinator, Name, at Street Address, City, State, Illinois Zip Code.
_________________________________ _________________
Department Head Date
Department Name
ES-1
Continuity of Operations Plan – Basic Plan
1.0 Introduction
Note: Throughout this document, the term “COOP Plan” refers to the overall Department Name COOP Plan, while “COOP plan” refers to an agency’s COOP plan (constituent of the overall IEMA COOP Plan).
1.1 Purpose
The mission of the Department Name is to Department Mission Statement.
This document establishes the Department Name Continuity of Operations (COOP) Plan for circumstances in which any office location is threatened or incapacitated, and relocation of Department Name personnel and processes must occur. It also provides policy and guidance to ensure the capability to implement actions that allow continuation of Department Name mission-critical processes—no later than 12 hours after COOP activation and to be maintained for up to 30 days.
Department Name is committed to the safety and protection of its employees, operations, and facilities. This COOP Plan will provide Department Name and its personnel a framework that is designed to minimize potential impact during an emergency incident. Further, the COOP Plan establishes procedures that Department Name leadership can use to strategically minimize risk to its employees, operations, and facilities.
1.2 Applicability and Scope
The provisions of this document apply to all personnel in Department Name.
The provisions of this document apply to the full spectrum of emergencies that could threaten Department Name at all locations where mission-critical processes are conducted.
2.0 Concept of Operations
This section introduces the use of the COOP Plan, including a chronologic summary of the phases of the Plan’s implementation and specific information about each element of the COOP Plan.
2.1 Conditions of Implementation
Emergencies or potential emergencies may affect the ability of Department Name to carry out mission critical-processes at one or all of its locations. The following levels of emergencies could mandate activation of the Department Name COOP:
Level 1: Department Name is closed to normal business activities because of an event (within or external to the state agency office) or credible threats of action that would preclude access or use of the state agency office and the surrounding area.
Level 2: Major metropolitan area(s) are closed to normal business activities because of an actual disaster or emergency—including natural disasters, technological failures, and terrorist threats or incidents (possibly involving weapons of mass destruction such as chemical, biological, radiological, or nuclear agents). Under this level of emergency, the Governor is likely to declare a State of Emergency, and many, if not all, state agency COOP plans will be activated.
2.2 Activation
In an event as severe as to interrupt regular operations, or anticipating an incident that appears imminent—and recognizing the prudence of evacuating the Springfield area as a precaution—the Department Name Department Head will activate the Department Name COOP Plan. Activation of the COOP Plan initiates notification of agency personnel through specific Department Organization Unit notification procedures.
Disastrous incidents could occur with or without warning and during business or non-business hours. Whatever the incident or threat, the Department Name’s all-hazards, threat-based COOP Plan will proceed with response to a full range of disasters and emergencies, including natural disasters, terrorist threats and incidents, and technological failures.
The Department Head will be apprised of the threat environment through official government intelligence reports coordinated through the Emergency Operations Center (EOC) and other national/state/local reporting channels. Developing situations will be monitored and appropriate Department Organization Unit Head will be briefed accordingly as needed.
Under some circumstances, Department Name will receive a warning a few hours before an incident—allowing partial or full activation of the COOP Plan with complete and orderly alert and notification of personnel. But without warning, the process will be less routine and possibly more complex—with ability to execute the COOP Plan depending on how severely the incident impacts on the physical facilities, and whether personnel are present in the occupied work spaces.
Personnel accountability throughout all phases of emergencies, including the COOP Plan, is of utmost concern, especially if the emergency occurs without warning during office hours.
2.3 Emergency Notification
Because most events that would trigger activation of the Department Name COOP Plan will be sudden and unexpected, maximally rapid notification of mission-critical personnel is necessary to initiate the procedures that will ensure continuity of mission-critical processes. A plan is in place for notifying mission-essential personnel within each Department Organization Unit when relocation is contemplated or imminent. Department Name Department Organization Unit will be responsible for initiating emergency notification. Department Organization Unit-specific emergency notification lists are shown in Appendix A of the plan appendices. Emergency notification will begin with Department Organization Unit Head and cascade down the list. Department Name personnel who receive calls shall contact the next person specified on the emergency notification list. If that person is not reached, IEMA personnel shall contact the next person specified on the emergency notification list.
Communication of information and guidance for Department Name personnel will usually proceed via telephone using current emergency notification procedures. Depending on the situation, current information may also be available through announcements released to local radio and television stations. Personnel should remain at their offices or homes until receiving specific guidance.
With or without formal notification, mission-critical personnel should contact and/or proceed directly to their Emergency Relocation Sites if an event occurs that is obviously catastrophic to their facility and the facility is obviously unsafe or not usable.
Each Department Organization Unit Head or designee will maintain a current mission-critical personnel roster (see Appendix A) for notifications at times other than regular business hours. Primary contact after business hours will be via telephone.
2.4 Alternate Notification Process
If a building housing Department Name is damaged, non-operational, or must be evacuated before completion of the COOP activation notification process, the Department Head or authorized individual will notify the point of contact at the Emergency Relocation Site of the situation. A designated individual at the Emergency Relocation Site may be asked to assume responsibility for commencing the notification process. All mission-critical personnel contact information will be updated and backed up monthly at the Emergency Relocation Site to support this alternate COOP notification process.
2.5 Execution/Warning Conditions
Execution of relocation operations for Department Name is as follows. Actions are described by conditions according to circumstances.
(1) With Warning. Under some circumstances, a warning will occur at least a few hours before an event. This expectedly would allow full execution of this COOP Plan with a complete and orderly alert, notification, and deployment of mission-critical personnel.
(2) Without Warning. The ability to execute this COOP Plan following an event that occurs with little or no warning will depend on the severity of the emergency and the number of personnel who survive.
(3) Non-business Hours. Even if the building(s) housing Department Name are rendered inoperable, most mission-critical personnel likely could be alerted and deployed to a designated Emergency Relocation Site.
(4) Business Hours. If possible, this COOP Plan will be activated, and available mission-critical personnel will be deployed to a designated Emergency Relocation Site.
2.5.1 Execution with Warning
Upon receipt of relocation alert from the Department Head or designated representative, Department Organization Unit Head will initiate notification of mission-critical personnel—primarily via telephone. Notification may also be through pager, radio and television broadcasts, or a combination thereof. Department Name Department Organization Unit Head then begin preparations for the emergency relocation. The Department Name also notifies the point of contact of the designated Emergency Relocation Site to initiate preparations for relocation operations.
Upon receipt of alert notification:
· Mission-critical personnel assemble supporting elements required for re-establishing and performing current mission-critical processes, such as vital records, software and hardware, and other documents and equipment.
· Mission-critical personnel also assemble the remaining documents required for performance of all other mission-critical processes to be conducted at the Emergency Relocation Site.
· Profession and personal items to be used at the Emergency Relocation Site should also be staged by mission-critical personnel in “Drive-Away Kits”. Appendix B contains a summary of items that should be stored in “Drive-Away Kits” for use at the Emergency Relocations Site.
All Department Name personnel also: immediately transfer to the Emergency Relocation Site backup essential automated databases not backed up since the last update; prepare designated communications and other essential equipment for relocation; and take appropriate preventive measures to protect all communications and equipment not designated for relocation.
· Upon receiving the decision to relocate, mission-critical personnel immediately begin movement to the Emergency Relocation Site. Other personnel remain at work and continue appropriate actions or travel home to await further instructions, depending on circumstances.
· All personnel are responsible for providing their own transportation to the Emergency Relocation Site.
2.5.2 Execution without Warning, Non-Business Hours
Upon the decision, during non-business hours, that a building housing Department Name is not usable, the Department Head or designee notifies the Department Organization Unit Head. The Department Organization Unit Head will then initiate the telephone notification cascade for all mission-critical personnel.
Mission-Critical Personnel. Upon receipt of notification, mission-critical personnel immediately proceed to the Emergency Relocation Site. Mission-critical personnel initiate mission-critical processes at the Emergency Relocation Site using the facilities, equipment, records, and supplies available at the site.
Off-Duty, Mission-Critical Personnel. Upon receipt of notification, all off-duty, Department Name, mission-critical personnel proceed to the Emergency Relocation Site in accordance with prior instructions, or as directed.
2.5.3 Execution without Warning, Business Hours
If the decision occurs during business hours that a building housing Department Name is not usable, relocation actions depend on the extent of damage to the building. If the building is uninhabitable (e.g., because of contaminated water or a chemical spill), but the facility, equipment, records, and personnel are undamaged, the Department Head notifies the selected mission-critical personnel to report to the Emergency Relocation Site and resume mission-critical processes. Mission-critical personnel back up automated equipment and databases; they prepare communications, other equipment, and important records for relocation. Mission-critical processes continue from the Emergency Relocation Site until offices can be reoccupied.
2.6 Mission-Critical Processes
Department Name leadership has identified mission-critical processes and key personnel who have specific knowledge about business processes that Department Name performs to directly meet its mission, program goals, and objectives. Department Name’s mission statement and a summary of the mission-critical processes it is statutorily responsible for conducting is presented in Appendix C of this plan.