FEMA COOP Plan s1

Continuity of Operations (COOP) Plan

Insert County

Insert Address of Chief Elected Official (Town Hall)

Insert County Seal

Draft Date: mm/dd/yyyy Issue Date: mm/dd/yyyy Approval Date: mm/dd/yyyy COOP Plan

FOREWORD

Local County’s have a responsibility to ensure the safety of their County. They also have a legal obligation to operate in a prudent and efficient manner, even during an impending threat or following a disaster. This Continuity of Operations (COOP) plan provides guidance for the Insert County Name Here to be prepared to perform its essential functions during any emergency or threat of an emergency and to resume its essential functions once the emergency has ended as part of a COOP capability. In general this Continuity of Operations plan is designed to minimize loss of life, injury, and property damage and achieve timely and orderly resumption of normal activities. Recommended changes to this document may be addressed, at any time, to the Insert Emergency Management Director or Point of Contact, Address Here.

Insert Chief Elected Official

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TABLE OF CONTENTS

I. Introduction...... 2 II. Purpose...... 2 III. Essential functions...... 2 IV. Authorities and References...... 3 V. COOP Elements……………………………………………………………………………..4 A. Continuity Planning Roles and Responsibilities……………………………………………4 B. Continuity Policy…………………………………………………………………………...5 C. Goals………………………………………………………………………………………...5 D. Hazard Vulnerability Analysis………………………………………………………………6 E. Budgeting and Acquisition of Resources……………………………………………………6 VI. Concept of Operations...... 7 A. Phase I: Activation and Relocation...... 8 1. Decision Process...... 8 2. Alert, Notification, and Implementation Process...... 9 3. Leadership...... 9 a. Orders of Succession…………………………………………………………………...9 b. Delegations of Authority……………………………………………………………...10 c. Execution……………………………………………………………………………...10 B. Phase II: Alternate Facility Operations…………………………………………………..10 1. Mission Critical Systems...... 11 2. Vital Files, Records, and Databases...... 11 C. Phase III: Reconstitution...... 12 VII. Logistics...... 12 A. Alternate Location...... 12 B. Interoperable Communications...... 12 C. Essential Personnel……………………………………………………………………….13 D. Devolution of Control and Direction……………………………………………………..13 VIII. Test, Training, and Exercises...... 13 IX. Multi-Year Strategy and program Management...... 14 A. Multiyear strategy...... 14

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B. Program Management…………………………………………………………………….14 X. COOP Plan Maintenance...... 14 XI. Human Capital…………………………………………………………….………………...15 Annex A: Alternate Location/Facility Information...... 16 Annex B: Plan Activation and Notification...... 17 Annex C: State Hazard Vulnerability Analysis…………………………………………………19 Annex D: Definitions and Acronyms...... 20

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I. INTRODUCTION The Insert County Description Here

II. PURPOSE This Continuity of Operations (COOP) plan for the Insert County Name Here, hereinafter called County, presents a management framework, establishes operational procedures to sustain essential functions during all-hazards emergencies or other situations that may disrupt normal operations and guides the restoration of full functions if normal operations is disrupted. This document focuses on the basic COOP elements: essential functions, critical systems, alternate facilities, orders of succession, delegation of authority, budgets, and vital records. Development of procedures that address the basic COOP elements and work in concert with business continuity and disaster recovery plans allows for uninterrupted delivery of the County’s essential functions. This document applies to the full spectrum of threats and emergencies that may affect the County. Specifically, this COOP plan is based on an event scenario that disrupts the County’s essential functions. In this scenario, the County’s primary location is inaccessible for normal business activities. The most likely causes of such disruption are severe weather, widespread utility failure, multiple explosions, civil disturbance, or credible threats of actions that would preclude access to or use of County facilities. Under this scenario, County offices relocate the pre-determined essential staff and resources to a remote facility identified as the alternate facility.

III. ESSENTIAL FUNCTIONS This COOP plan is based on the County’s essential functions. Insert County Name Here provides a variety of general operating functions. A set of these functions have been identified as Essential Functions. Essential Functions are defined as those functions, stated or implied, that the County is required to perform by statute, executive order, or organizational charter or policy and are necessary to provide vital services, maintain the safety and well-being of the employees, clients or customers, and visitors during an emergency. Essential functions are further delineated into Critical essential functions, Short-term essential functions, and Long-term essential functions. Essential Functions are prioritized within each category. Priority level 1 is the highest priority.

 Critical Essential Functions are those essential functions that cannot be interrupted or can be only minimally interrupted following an incident.  Short-term Essential Functions are those essential functions that can be interrupted for a period of up to 15 days following an incident, but must be resumed thereafter.

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 Long-term Essential Functions are those essential functions that can be interrupted for more than 15 days following an incident and will be resumed when resources and personnel become available.

This plan describes the processes and procedures needed to support continuation of essential functions identified in the following table.

Priority Department Essential Functions

A specific County department oversees each essential function listed above, which, in turn, is supported by specific critical systems and/or vital records. Therefore, to maintain an operational status, the County must support the required department (staff), critical systems, and vital records at the alternate work site.

IV. AUTHORITIES AND REFERENCES Authority, support, and justification for Continuity of Operations (COOP) planning are provided through three federal references: (1) Homeland Security Presidential Directive 20/HSPD-20, May 9, 2007 (http://www.dhs.gov/xabout/law/ge_1219245380392.shtm); (2) National Preparedness Guidelines (NPG), September 2007 (http://www.dhs.gov.xlibrary/assets/National_Preparedness_Guidelines.pdf); (3) National Response Framework, January 2008 (http://www.fema.gov/pdf/emergency/nrf/nrf- core.pdf).

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The preparation of this COOP adheres to the directions found in Continuity Guidance Circular 1 (CGC 1) for Non-Federal Entities, January 21, 2009 (http://www.fema.gov/pdf/about/org/nep/coop/continuity_guidance_circular.pdf).

V. COOP ELEMENTS A. CONTINUITY PLANNING ROLES AND RESPONSIBILITIES Senior Leadership Senior leadership is directly responsible for ensuring that continuity plans and programs are developed, coordinated, exercised, and capable of being implemented when required. These responsibilities include:  Designating a Continuity Coordinator.  Approving all required continuity plans and programs.  Notifying appropriate offices and organizations upon execution of continuity plans.  Supporting the work of the Continuity Coordinator, including providing the necessary budgetary and other resources to support the continuity program, as required.

Continuity Coordinator The Continuity Coordinator will coordinate the overall activities of the Continuity Planning Team. The responsibilities of the Continuity Coordinator include:  Coordinating continuity planning activities with policies, plans, and incentives related to critical infrastructure protection.  Leading the creation and coordination of the continuity planning process.  Directing and participating in periodic cross-jurisdictional continuity exercises.  Coordinating the input of the organization and ensuring those inputs reflect, support, and sustain the continuation of essential functions.  Developing and maintaining the continuity plan.  Developing and administrating a continuity program budget and submitting funding requests to Senior Leadership.  Preparing an annual report summarizing the continuity planning activities of the organization.  Serving as an advocate for the continuity plan and program.

Continuity Planning Team 6 COOP Plan

The Continuity Planning Team coordinates continuity planning and duties for the entire organization. These duties include:  Overall continuity coordination for the organization.  Guiding and supporting the development of the organization’s continuity plan.  Coordinating continuity exercises, documenting of post-exercise lessons learned, and conducting periodic evaluations of organizational continuity capabilities.  Understanding the role that adjacent jurisdictions and organizations might be expected to play in certain types of emergency conditions and what support those adjacent organizations might provide.  Understanding the limits of other jurisdictions continuity resources and support capabilities.  Anticipating the point at which adjacent organizational or mutual aid resources will be required.

Individual Employees Each employee is responsible for:  Understanding their continuity roles and responsibilities within the organization.  Knowing and being committed to their duties in a continuity environment.  Understanding and being willing to perform in continuity situations to ensure the organization can continue its essential functions.  Ensuring that family members are prepared for and taken care of in an emergency situation.

B. CONTINUITY POLICY It is the policy of Insert Name of County Here to incorporate continuity requirements into daily operations to assure seamless and immediate continuation of Critical Essential Function capabilities so that critical governmental functions and services remain available to the citizens. This document will be the response policy of Insert Name of County Here to all hazards in order to continue Critical Essential Functions and to provide support to the operations of client and external agencies. This Continuity of Operations Plan (COOP) conforms to the standards of the National Incident Management System (NIMS).

C. GOALS The overarching goal of this COOP is to reduce the consequences of any disruptive event to a manageable level. More specifically, this COOP is designed to:

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 Clearly and succinctly define the roles, responsibilities, resources, and procedures necessary to assure that operations necessary to provide assistance to citizens remain available before, during, and after an emergency.  Open and maintain a line of communication/dialog with public and private entities that are functionally-related to the activities and responsibilities of the County.  Encourage functionally-related public and private entities to cooperate with government entities so these entities are able to be a central information collection and dissemination liaison agency for their respective functional area.

D. HAZARD VULNERABILITY ANALYSIS The State of Alabama has developed a Hazard Vulnerability Analysis (HVA) and the Emergency Management Agencies in each of the state’s counties should have developed HVAs specific to the county, for mitigation purposes and county EOP. The Vulnerability Analysis for State of Alabama is found in Appendix C.

E. BUDGETING AND ACQUISITION OF RESOURCES Insert Name of County Here has established a budget for COOP as shown in the following table. Key vendors have been identified and the critical resources they provide have been identified and plans for acquisition have been established. COOP Budget In the spaces below identify the amounts within the County’s budget that will provide for various essentials during an emergency.

Date Amount Category Person Responsible Amount Verified Payroll for overtime and special contract personnel Transportation Facilities Food, shelter, special clothing Utilities Information technology infrastructure

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Supplies COOP Training COOP Drills and Exercises Total

Key Resources and Acquisition Indentify key resources, such as office supplies, fuel, etc. and the primary and secondary suppliers of each resource as well as the method of communication and means of verification that the supplier or vendor has a COOP acceptable to the organization.

Date Primary Means COOP COOP Key Backup Source of (Yes or Verified Resource Communications Communication No) and by Whom Primary Secondary Primary Secondary Primary Secondary Primary Secondary Primary Secondary

VI. CONCEPT OF OPERATIONS A COOP plan must be maintained at a high level of preparedness and be ready to be implemented without significant prior warning. It should be implemented fully no later than 12 hours after activation and provide guidance to sustain operations for up to 30 days. The broad objective of this COOP plan is to provide for the safety and well-being of County employees. In addition, this plan will facilitate the execution of the County’s essential functions during any

9 COOP Plan crisis or emergency in which one or more County locations are threatened or not accessible. Specific County COOP Plan objectives include the following:

 Enable staff to perform essential functions to prepare for and respond to the full spectrum of possible threats or emergencies including terrorism, technological catastrophes, natural or manmade disasters, and other crises.  Identify key principals and supporting staff who will relocate.  Ensure that the alternate facility and work methods have been established and exercised, to the extent possible.  Each manager has identified a complete order of succession for his/her leadership position and key position for each Essential Function.  Each Incident Command System (ICS) position has been identified primary, secondary, and tertiary staff for all roles.  Protect and maintain vital records and critical systems.

The County must identify the criteria for suspending all functions and services. *The decision to suspend all functions and services should be based on the expected duration of the emergency and the extent of the emergency. *Set a threshold for the extent of the emergency (area affected by emergency) and/or set a threshold for the expected duration of the emergency.

A. PHASE I: ACTIVATION AND RELOCATION The extent to which orderly alert and notification is possible depends on the amount of warning received, whether personnel are on duty at County locations or off duty at home or elsewhere, and, possibly, the extent of risk for County personnel or locations.

1. Decision Process Insert Name of County Here has adopted the model shown in Figure 3 as the definition of phases of awareness for All-Hazard emergencies. The Director or his or her designee is responsible for establishing the Operational Phase. Upon the designation of the Activate Phase the ICS process goes into effect and the Time-Based Operational Phases will be applied.

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Figure 3. Alert, Standby, Activate Phases

Normal Alert Standby Activate Recover

Business As Heightened Active Implementation Restoration of Usual— State of Preparation— —Leadership Normal— Organization Awareness— Leadership implements a set Leadership functions in its Leadership is undertakes of scenario- undertakes normal day-to- made aware that actions specific actions actions to day activities. an emergency including the in accordance restore event is likely to mobilization of with the normality and occur. resources and Emergency directs the personnel to Operations Plan preparation of prepare an After Action organization for Report. an imminent emergency event Any disaster, whether natural, manmade, or technological, that adversely affects the County’s ability to perform essential functions, requires activation of this plan.

2. Alert, Notification, and Implementation Process County staff will be contacted with alert and notification information using County specific contact lists. Employees should listen for specific instructions. All County

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employees should remain either at their office or at home until specific guidance is received.

3. Leadership a. Orders of Succession In the event of a vacancy in the position of Chief Elected Official, executives, managers, supervisors, and essential functions requiring credentials, identify the incumbent and the first, second, and third alternatives by title.

Credentials First Second Third Key Required or Incumbent Alternate Alternate Alternate Position NA if not (name) (Title ) (Title) (Title) applicable

b. Delegations of Authority Temporary authority may be delegated whenever an individual with approval authority will be unable to perform his or her duties due to the consequences of responding to an emergency. The County has established a delegation of authority process that is applied through the Order of Succession.

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c. Execution The County must decide who will make the decision to execute the plan, what will trigger the decision, and how the plan will be enacted.

B. PHASE II: ALTERNATE FACILITY OPERATIONS Alternative facilities (work sites) must be capable of supporting operations in a threat-free environment in the event that essential functions and supporting staff are relocated to the site. A relocation site must have sufficient space and equipment to sustain operations for a period of up to 30 days. The Continuity Coordinator, or designated alternate, conducts annual reviews of the space allocations to ensure the adequacy of space and other resources.

1. Mission Critical Systems In general, the telecommunication and information system support provided at County locations is available independently at the alternate facility. It is imperative that the Continuity Coordinator ensures that unique or critical information system requirements are considered in planning and, if appropriate, identified as capabilities to be provided by support organizations. County offices shall maintain all necessary and up-to-date files, computer software, and databases required to carry out essential functions.

System Name Current Location Other Locations

2. Vital Files, Records, and Databases One COOP Plan responsibility is to comply with the U.S. National Archives and Records Administration Code of Regulations, Subchapter B – Records Management, to ensure the protection and continuous availability of vital records. Vital records are documents, references, and records, regardless of media type, that are needed to support essential functions under the full spectrum of emergencies and disasters.

All vital records must be protected from damage or destruction. County vital records are stored in a properly equipped, environmentally controlled facility that is secure but also accessible when needed for records retrieval. The Continuity Coordinator is to make certain that databases and other references supporting the essential functions

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of the County are prepositioned at each alternate facility, carried with deploying personnel, or available through a backup process.

Over time, vital records become outdated and require updating through a process called cycling. Inclusion of cycling procedures in the Vital Records Management Program ensures that vital records are current and accurate when needed.

Vital File, Record, Form of Pre-positioned Hand Carried Backed up at or Database Record (e.g., at Alternate to Alternate Third hardcopy, Facility Facility Location electronic)

C. PHASE III: RECONSTITUTION Within hours of relocating to the alternate facility, the Continuity Coordinator, with the approval of Federal, state, and local law enforcement and emergency services, initiates operations to salvage, restore, and recover the County location(s). These reconstitution efforts generally begin when authorized person, ascertains, in coordination with Federal, state, and local authorities that the emergency situation has ended and is unlikely to recur. However, once the appropriate County official determines that the emergency has ended; immediate reconstitution may not be practical. Depending on the situation, one of the following options should be considered for implementation:

 Continue to operate from the alternate facility.  Begin an orderly return to County locations and reconstitute from remaining County offices or other resources  Begin to establish a reconstituted County in some other facility.

VII. LOGISTICS

A. ALTERNATE LOCATION The County has designated one alternate facility to support the essential personnel following an event that disables the infrastructure supporting County activities that occur at town hall and/or department offices. The alternate facility should be used when these buildings are inaccessible for normal business activities. The relocation site has adequate 14 COOP Plan

space, the necessary equipment, and the connectivity to support relocating each essential personnel responsible for performing essential functions.

B. INTEROPERABLE COMMUNICATIONS The success of County operations at the alternate facility depends upon the availability and redundancy of significant communication systems to support connectivity to internal organizations, other agencies, critical customers, and the public. Interoperable communication should provide a capability to correspond with the County’s essential functions, to communicate with other Federal agencies, State agencies, and local emergency support personnel, and to access other data and systems necessary to conduct all activities.

C. ESSENTIAL PERSONNEL Personnel with select knowledge, skills, and abilities are required to perform the tasks associated with the County’s essential functions. The following personnel are identified as critical personnel.

Emergency Personnel Office/Division Position Duties Number Office A • Direction and Control 1

D. DEVOLUTION OF CONTROL AND DIRECTION

Insert Name of County Here will devolve Essential Functions (Critical Essential Functions, Short-Term Essential Functions, and Long-Term Essential Functions) in order of priority, from lowest priority to highest priority, at the direction of the Incident Commander. Once an Essential Function has been devolved and the person responsible for the devolved Essential Function reports to the Incident Commander that the Essential Function has relocated and is operational, authority to perform the duties and responsibilities associated with the Essential Function will transfer to the Alternate Location immediately.

IX. Test, Training, and Exercises

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A changing threat environment and recent events emphasize the need for COOP capabilities that enable the County to continue its essential functions across a broad spectrum of emergencies. The County Tests, Training, and Exercises (TT&E) Program incorporates the three functional areas of testing systems and equipment, training personnel, and exercising plans and procedures. The County agrees to hold at least one exercise each fiscal year.

Training Exercise Attendance Event (X or (X or Date Location Expected blank) blank)

X. MULTI-YEAR STRATEGY AND PROGRAM MANAGEMENT

A. MULTIYEAR STRATEGY The County COOP Plan Multiyear Strategy includes the objectives and key strategies for developing and maintaining a viable COOP program, including the support for short- and long-term initiatives.

B. PROGRAM MANAGEMENT The Program Management Plan is a critical element of the County’s strategic planning activities because it documents the tactics executed to achieve the initiatives in the multiyear strategy. It describes the County’s needs, defines roles and responsibilities, and documents specific program timelines. In addition, it provides an effective program management tool for oversight, resource allocation, and progress evaluation.

I. COOP PLAN MAINTENANCE To maintain viable COOP capabilities, the County is continually engaged in a process to designate essential functions and resources, define short- and long-term COOP goals and objectives, forecast budgetary requirements, anticipate and address issues and potential obstacles, and establish planning milestones. Following is a list of standardized list of activities necessary to monitor the dynamic elements of the County COOP Plan and the frequency of their occurrence.

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Activity Tasks Frequency Plan update and • Review entire plan for accuracy. Annually certification • Incorporate lessons learned and changes in policy and philosophy. • Manage distribution. Maintain orders of • Identify current incumbents. Semiannually succession and • Update rosters and contact information. delegations of authority Maintain emergency • Check all systems. Monthly relocation site • Verify accessibility. readiness • Cycle supplies and equipment, as necessary. Monitor and maintain • Monitor volume of materials. Ongoing vital records • Update/remove files. management program

II. HUMAN CAPITAL—EVACUATION RALLY POINTS

In the table below the rally point or points for personnel following an evacuation of facilities and distribute rally points for commuters and travelers in the event that transportation arteries are unusable.

Person Responsible Rally Point Location for Taking First Alternate Second Alternate (address or land Organizational Census Taker Census Taker mark) Census at the Rally Point

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Annex A: Alternate Location/Facility Information The County has designated one primary alternate facility to support the essential personnel following an event that disables the infrastructure supporting County activities that occur at town hall and/or department offices buildings. The alternate facility should be used when town hall and/or department offices buildings are closed for normal business activities. The relocation site has adequate space, the necessary equipment, and the connectivity to support relocating each essential personnel responsible for performing essential functions.

Alternate Work Site Information

Address

Phone Number

Relocation Site Official

Directions

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Annex B: Plan Activation and Notification The County has designated one primary alternate work site to support the essential personnel following an event that disables the infrastructure supporting County activities that occur at town hall and/or department offices buildings. The alternate work site should be used when the headquarters and/or regional office buildings are closed for normal business activities. The relocation site has adequate space, the necessary equipment, and the connectivity to support relocating each essential personnel responsible for performing essential functions.

Emergency Type of Events COOP Plan Notification Method Level Activation Authority

(Local (Fire, HazMat, etc.) (Name & Title) (Telephone tree) Emergency) (Describe Trigger (s) (Agency specific that activates plan) announcement)

(Regional or (Hurricane, flood or other (Name & Title) (Telephone tree) National localized disasters) (Describe Trigger(s) (Medial announcement Emergency) that activates plan – addressing Federal automatically government activities and activated 4 hours directing Federal employees after an emergency to report to alternate has been declared.) emergency work locations)

(National (Terrorist use of weapons of (Name & Title) (Telephone tree) Security mass destruction) (Describe Trigger(s) (Medial announcement Emergency) that activates plan – addressing Federal automatically government activities, if activated when available. If unavailable, employees are unable activation is automatic after 4 to communicate with hours.) their supervisors within 4 hours after the President declares an emergency)

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(Other (Event) (Name & Title) (Telephone tree) Emergency) (Describe Trigger(s) that activates plan)

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APPENDIX C: STATE OF ALABAMA HAZARD VULNERABILITY ANALYSES

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Annex D: Definitions and Acronyms The following terms or phrases are found in this document.

Continuity Coordinator Serves as the COOP point of contact. Responsible for coordinating implementation of the COOP Plan; initiating appropriate notifications inside and outside the Agency during COOP Plan implementation; being the point of contact for all COOP training, testing, and exercising; and initiating recovery of the Agency as part of reconstitution.

Continuity of Operations (COOP) Plan. An action plan that provides for the immediate continuity of essential functions of an organization at an alternative facility for up to 30 days in the event an emergency prevents occupancy of its primary facility.

Devolution is the capability to transfer statutory authority and responsibility for essential functions from as organization’s primary operating staff and facilities to other organization employees and facilities, and to sustain that operational capability for an extended period.

Disaster Recovery Plan (DRP). The DRP applies to major, usually catastrophic, events that deny access to the normal facility for an extended period. Frequently, DRP refers to an IT- focused plan designed to restore operability of the target system, application, or computer facility at a relocation site after an emergency.

Essential Personnel. The key principals and staff members of the staff, responsible for the execution of essential functions.

Alternate Work Site. A remote alternative facility to which the essential personnel moves to continue essential functions in the event that traditional work sites are incapacitated.

Essential functions. Essential functions are those functions, stated or implied, that are required to be performed by statute or Executive order, or other functions deemed essential by the heads of principal organizational elements (i.e., administrators, office directors, and division directors).

Point of Contact (POC). The designated focal point for actions involving a specific plan, as in “COOP POC.”