[Departmental COOP/EOP Guidance]Department of Emergency Management]

GUIDANCEFOR

CONTINUITY OF OPERATIONS

AND

EMERGENCY OPERATIONS PLANNING

(COOP/ EOP)

August 18, 2009

GUIDANCE FOR

CONTINUITY OF OPERATIONS AND EMERGENCY OPERATIONS PLANNING

TABLE OF CONTENTS

  1. GUIDANCE OVERVIEW

Introduction

Purpose

Scope

How to Use this Guidance

Recommendations for Plan Development and Implementation

Guidance and Template Management

  1. TEMPLATE

Table of Contents

Introduction

Purpose

Scope

Assumptions

Record of Revisions

Plan Development and Acknowledgement

Plan Review and Revision

Training, Testing and Exercises

Section A.Continuity of Operations

Essential Functions

Orders of Succession

Delegation of Authority

Activation

Notification

Alternate Facilities

Interoperable Communications

Vital Records

Section B.Emergency Operations

Situation Overview

Concept of Operations

Emergency Support Function

Organization and Responsibilities

Coordination

Alerting and Notification

Administration, Finance and Logistics

Glossary

Authorities

ATTACHMENTS

  1. ATTACHMENTS

I. GUIDANCE OVERVIEW

Introduction

Many of the City and County of San Francisco’s (herein referred to as ‘the City’) emergency management and homeland security challenges stem fromvulnerabilities associated with its geographic characteristics, population density and demographics,burgeoning tourist industry, and presence of nationally prominent landmarks. While an earthquake is the City’s most likely catastrophic scenario, terrorism is also a very real threat. Today’s asymmetric threat environment and the potential for no-notice emergencies have increased the need for enabling organizations to continue their essential functions across a broad spectrum of emergencies. An organization’s resiliency is directly related to the effectiveness of its continuity capability and emergency preparedness. Given these realities, emergency preparedness is very important and requires targeted investmentsand unwavering and continuous support by City leadership.

In accordance with the City’s Administrative Code, it is the responsibility of each Department/Agency (herein referred to as ‘Department’) to plan and prepare for restoring services after an interruption, emergency or disaster; as well as maintain plans and procedures for emergency operations. Recognizing the current situation regarding human cases of swine influenza A (H1N1) virus infection that have been documented in the United States, the Department of Emergency Management would like to take this opportunity to remind all Departments of their Continuity of Operations and Emergency Operations Planning (COOP and EOP). To fulfill this responsibility, the Department of Emergency Management has created this planning guidance and template to assist all City Departments with developing these plans.

Note: This planning guidance and template were developed based on current trends in the field of emergency management. Rather than providing guidance for COOP and EOP planning separately, we have combined a suggested style to allow for the next evolution of emergency planning; which allows for more flexibility of style and combinations of formats.

Purpose

In general, comprehensive continuity and emergency planning supports emergency preparedness; while it identifies clear tasks and purposes, promotes frequent interaction among stakeholders, guides preparedness activities, establishes procedures, and provides measures to synchronize response actions. The key purpose of continuityand emergency planning is to reduce the consequences of an emergency or disaster by preparing the responsible entity.

Accomplished properly, planning provides a methodical way for stakeholders to think through the entire life cycle of a potential crisis, determine required capabilities, and learn and practice their roles. Planning is not a scripted process that tries to prescribe response actions with unjustified precision. Rather, it should provide a starting point for operations and possible courses of action, and be adjusted as the situation dictates or as facts replace planning.

Scope

This guidance and template provide for the “all-hazards” planning approach, which encompasses preparation and planning for any natural and man-made hazards, and ranges from planned events to large-scale disasters.

How to Use This Guidance

For Departments that already have COOP/EOP plans developed and implemented, we ask that you review this guidance and template to make sure that your plan includes these elements. For Departments that do not have a COOP/EOP plan developed, we recommend that you utilize this template as a tool to develop one.

Utilize the content within this document as a launching point. It may be necessary to adapt some of the text to create a final document that accurately represents your Department. Start by reviewing the elements and evaluating the areas highlighted in blue boxes. These considerations are placed within in each section to help provide guidanceforfilling out the content. Reference or attach appropriate supporting documentation. And as you move through the template, you may find that certain areas important to your Department are not addressed. Add those areas that are important and/or skip sections that are not applicable. We also encourage Departments to include unique planning elements that are considered critical to their particular emergency response, recovery and reconstruction roles.

Your Departmentmay also use existing standard operating procedures (SOPs) as foundational building blocks for the development of the COOP and/or EOP. For example, SOPs typically include procedures for use in the event of an emergency, such as building evacuation plans; plans for notifying the public of new office or service center locations and phone numbers; plans for developing site-support procedures, including security for alternate facilities; and methods for acquiring resources necessary to sustain operations for up to fourteen days. Year 2000 (Y2K) plans are also good foundations. It is important to note, however, that SOPs are not substitutes for this type of planning. Each Department must thoroughly examine its operations in light of emergency preparedness and continuity capability concerns.

Please note: The guidelines are intentionally broad in scope in recognition of significant differences in Department missions and size. The guidelines consist of functional sections that serve as a model for standardizing the format of COOP/EOP plans, but should not be considered as all-inclusive. The format in these guidelines may also be used to develop either a single comprehensive COOP/EOP plan or a combination of several plans for those Departments that have multi-agencies and/or divisions that accomplish specific functions.

Recommendations for PlanDevelopment and Implementation

1)Designate a COOP/EOP Coordinator (this person can also be your Departmental Preparedness Coordinator - DPC)

2)Form a Planning Team

3)Coordinate with Stakeholders

4)Write the Plan

5)Test the Plan

6)Refine the Plan

7)Educate your Department/Agency

8)Plan for COOP/EOP Training and Exercises and Updating the Plan

Guidance and TemplateManagement

ThisGuidance and Template for Continuity of Operations and Emergency Operations Planning will be reviewed and revised, as necessary, on a bi-annual basis. The Department of Emergency Management will engage the support of Departments for the review and revision process. Each revision of the plan will be authorized by identified approval and advisory authorities, as stated by current City Administrative Codes. This guidance and template may also be modified as a result of post-incident/event analysis and/or post-training or exercise critiques. It may also be modified if responsibilities, procedures, laws, rules or regulations pertaining to emergency management operations change. Records of revisions to this guidance and template will be maintained by the Department of Emergency Management.

For questions or clarification regarding the use of this guidance and template, please contact Rob Dudgeon at the Department of Emergency Management at or 415-487-5006.

TEMPLATE

[INSERT DEPARTMENT/AGENCY NAME]

Continuity of Operations and Emergency OperationsPlan

[Insert Date: ______]

II. TEMPLATE

CONTINUITY OF OPERATIONS AND EMERGENCY OPERATIONSPLANNING

The Table of Contents should be a logically ordered and clearly identified layout of the major sections and subsections of the plan that will make finding information within the plan easier.

Template / Guidance
TABLE OF CONTENTS / Standard Introduction “Section Elements” for both a COOP AND an EOP
INTRODUCTION
Purpose
Scope
Assumptions
Record of Revisions
Plan Development and Acknowledgement
Plan Review and Revision
Training, Testing and Exercises
SECTION A.CONTINUITY OF OPERATIONS PLANNING / Standard COOP “Plan Elements”
Essential Functions
Orders of Succession
Delegation of Authority
Activation
Notification
Alternate Facilities
Interoperable Communications
Vital Records
SECTION B.EMERGENCY OPERATIONS PLANNING / Standard EOP “Plan Elements”
Situation Overview
Concept of Operations
Emergency Support Function
Organization and Responsibilities
Coordination
Alerting and Notification
Administration, Finance and Logistics
GLOSSARY / Standard “Conclusive Elements” for both a COOP AND an EOP
AUTHORITIES
ATTACHMENTS
APPENDICES

INTRODUCTION

Include a brief description of the Department. For example,

  • Mission of the Department
  • Responsibilities/day-to-day activities
  • Employees (number of, typical duties, skills)
  • Clients/visitors in department facilities or otherwise receiving services
  • Department headquarters and other work locations
  • Department Operations Center location – as appropriate

Describe management’s commitment and support for continuity of operations and/or emergency operations planning. Promulgate the document as flexible, yet authoritative. This will give the plan official status and both the authority and the responsibility for entities to perform their tasks. This section should also mention the responsibilities of each tasked entity, with regard to preparing and maintaining this plan and commit those organizations to carry out the training, exercises, and plan maintenance needed to support the plan.

Purpose

Describe what this plan is designed for, what this plan is meant to do. Describe the Department’s commitment to continuity planning and/or emergency operations planning and explain the importance of this type of planning to the Department. Include recent events that may emphasize the importance of this kind of planning for the Department.Identify additional plans and/or procedures where elements or all of this planning may be addressed. Identify Department-specific authorities that may support the development of this plan.

Scope

The section should state who this plan applies to and should mention those entities (agencies, community, partners, etc.) and geographic areas that are affected by it.The scope should address that COOP and EOP plans are not tactical in nature, nor do they focus on Incident Command at the field level. This section should introduce the “all-hazards” approach, which encompasses preparation and planning for any natural and man-made hazards, and ranges from planned events to large-scale disasters. For example:

  • Earthquake
  • Power or Utility Outage
  • Avian Flu Pandemic
  • Bomb Threat
  • Fire
  • Explosion
  • Hazardous MaterialsRelease

Assumptions

Planning assumptions identify what the plan developer assumed to be facts for planning purposes in order to make it possible to execute the plan. Assumptions include what threats will affect an organization’s ability to carry out its mission; the expected impact for each potential threat; the probability that each potential threat will occur; whether personnel or resources from other organizations or municipalities not affected will be available; that the organization will implement a plan within twelve hours after the event; and that the plan will provide for the ability to continue operations for at least fourteen days after the emergency.

Plan Development and Acknowledgements

This [Insert Department/Agency Name]Plan was developed by:

Role / Name / Email / Phone

Plan Review and Revision

This section should be used to define when and how the Plan will be reviewed and evaluated. Be certain to include the process and protocols for plan approval and issue resolution. Review of the plan and plan components should be conducted annually and may also be re-evaluated when any of the following occur:

  • Regulatory changes
  • New hazards are identified or existing hazards change
  • Resources, staff or organizational structures changes
  • After tests, drills, or exercises
  • After plan activation
  • Infrastructure changes
  • Funding or budget level changes

Record of Revisions

Revision Date / Version # / Section of Plan Revised / Revised By

Testing, Training and Exercises

This section should provide methods to measure,analyze and examine your planning efforts. For example, this section should offer plans, as needed, for:

  1. Individual and team training and orientation for employees
  2. Testing of alert, notification, and mobilization procedures
  3. Testing, training and exercising of plans

SECTION A:CONTINUITY OF OPERATIONS PLANNING (COOP)

Simply put, Continuity of Operations Planning (COOP) is “good business practice.” It is the practice of ensuring the execution of an organization’s essential functions through all circumstances; and it is a fundamental responsibility of public and private entities.

A comprehensive COOP plan provides a framework that establishes procedures to sustain essential functions when normal procedures are not possible and provides a guide for the restoration of normal operations and functions.

Essential Functions

The information below describes the vital functions of the [Insert Department/Agency Name]. These functions are mission-critical to the [Insert Department/Agency Name]; and must be continued under ALL circumstances and cannot suffer an interruption of more than 12 hours. The following functions are prioritized based on criticality.

Priority / Essential Functions
1
2
3
4
5

Leadership of Succession

Management of [Insert Department/Agency Name]is delegated to the following persons in the order of succession below. This table lists, specifically, the people authorized to act on behalf of the organization, agency or department head and other key officials. If the designated person is unavailable, authority will pass to the next individual on the list. The designated individual retains all assigned obligations, duties and responsibilities until officially relieved by an individual higher on the list of successions.

Successors
Name / Title

Delegations of Authority

To ensure that [Insert Department/Agency Name] staff identified in the leadership succession are aware of their responsibilities and are appropriately authorized to execute functions assigned to them, explicitly emergency authority has been pre-delegated. In the event of a disaster or emergency, and the [Insert Department/Agency Name]is unavailable, alternate personnel (listed in table below) are authorized to perform the following functions:

Delegation of Authority
Name / Title / *Exceptions

COOP Activation

Upon activation of the [Insert Department/Agency Name] COOP, the following procedures will be considered.

[Insert COOP activation actions, in order of priority. Insert activation alert procedures.]

  • Activate COOP Plan (Who? How?)
  • Alert essential personnel (leaders and staff) of the COOP Plan activation (Who? How?)
  • Re-familiarize leaders and alternates of their duties. (Who? How?) The following groups may need to be notified when COOP is activated:
  • Employees
  • Partners/Stakeholders
  • Customers/Clients
  • Vendors
  • Other
  • Assess the need for a Department Operations Center (DOC) activation (If your Department maintains a DOC, reference your Department/Agency DOC activation procedures and/or manual here)
  • Assess the need to participate in an Emergency Operations Center activation
  • Does your Department have a mandated responsibility to perform an emergency support function(s)? As stated in the Citywide Emergency Response Plan or the All Hazards Strategic Plan?
  • If this is a disaster or a larger emergency, consider the potential for activating Disaster Service Workers from within the Department.

COOP Notification

The following message (or parts of it) may be disseminated to notify necessary personnel of the [Insert Department/Agency Name] COOP Plan activation:

As of [insert date and time], the [insert Department /Agency name] COOP Plan has been activated. This activation is in response to [insert incident, event or reason]. As the situation progresses, updates on the response will be provided via [insert method of communication – e.g. email, website updates, messaging alerts, telephone information lines] at the following time intervals: [insert days and/or times of updates]. The goal of the activation is to ensure a sage working environment and maintenance of essential operations.

Consider that briefings may need to be coordinated externally and/or internally to your Department; and in conjunction with situation analysis and other agencies in order to disseminate and receive relevant information.

Methods of communication for notifying necessary personnel of the [Insert Department/Agency Name] COOP Plan activation may be one of the following:

  • Telephone. Internal agency information line [insert telephone number], external public information line, mass voice mail message, call center/phone bank, call-down tree
  • Electronic Systems. Mass e-mail message, website posting [insert web address], intranet posting,
  • on-line chat
  • Hard copy. Mailing, interoffice mail, mass faxes, notice board postings, pay check mailing
  • In person. Meeting, presentation, training
  • Media- TV, Radio, Newspaper. Press releases, press conferences

1AUGUST 2009

[Departmental COOP/EOP Guidance]Department of Emergency Management]

Alternate Facilities

The following facilities have been identified as the [Insert Department/Agency Name]back-up or alternate facility(s). These locations will be used to carry out essential functions. The following facilities are listed in order, based on availability and accessibility.

Name (Dept, Agency, Div.) / Current Location / Alternate Location A / Contact Information Location A / Alternate Location B / Contact Information Location B