Attachment C
Arizona Department of Education Continuity of Operations (COOP) Instructions, Template, and Checklist Instructions
In the event of an influenza pandemic or similar public health emergency, special considerations for school operations should be considered. Each school’s emergency response plan should include plans for Continuation of Operations (COOP). To determine level of operations and to ensure functionality, a COOP planning team should be established to develop a standard operation procedure for essential functions and processes.
Definitions, a template, and a checklist are provided to assist in the development of school/district COOP Plans. In line with the Federal Emergency Management Agency (FEMA) model, COOP Plans should include the following:
EXECUTIVE SUMMARY The executive summary should briefly outline the organization and content of the COOP Plan and describe what it is, whom it affects, and the circumstances under which it should be executed.
COOP Planning Responsibilities To determine level of operations and to ensure functionality, A COOP planning team and its responsibilities should be established to develop a standard operation procedure for essential functions and processes.
A. ESSENTIAL FUNCTIONS The essential functions element should include a list of the organization’s prioritized essential functions. Essential functions are those organizational functions and activities that must be continued under any and all circumstances.
Schools/Districts should: 1. Identify all functions, then determine which must be continued under all circumstances 2. Prioritize these essential functions 3. Establish staffing and resource requirements 4. Integrate supporting activities 5. Develop a plan to perform additional functions as the situation permits.
Decision Process This section should explain the logical steps associated with implementing a COOP Plan, the circumstances under which a plan may be activated (both with and without warning), and should identify who has the authority to activate the COOP Plan.
Alert, Notification, and Implementation Process This section should explain the events following a decision to activate the COOP Plan.
B. LEADERSHIP
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The leadership element should include additional delineation of COOP responsibilities of each key staff position, COOP planning team, and those identified in the order of succession and delegation of authority, and others, as appropriate. Orders of Succession This section should identify orders of succession to key positions within the organization. Orders should be of sufficient depth to ensure the organization’s ability to manage and direct its essential functions and operations. The conditions under which succession will take place, the method of notification, and any temporal, geographical, or organizational limitations of authority should also be identified in this section.
Delegations of Authority This section should identify, by position, the authorities for making policy determinations and decisions at headquarters, field levels, and other organizational locations, as appropriate. Generally, pre-determined delegations of authority will take effect when normal channels of direction are disrupted and terminate when these channels have resumed.
Delegations of authority should document the legal authority for making key decisions, identify the programs and administrative authorities needed for effective operations, and establish capabilities to restore authorities upon termination of the event.
Devolution Devolution is the capability to transfer statutory authority and responsibility for essential functions from a primary operating staff and facilities to other employees and facilities. In the aftermath of a worst-case scenario, this section should address how an organization will identify and conduct its essential functions in the event that leadership is incapacitated. The organization should be prepared to transfer all of their essential functions and responsibilities to personnel at a different office or location.
C. SCHOOL FINANCE AND HUMAN RESOURCES The school finance and human resources element should identify school finance statutes and human resource policies to determine if an organization must, may, or cannot compensate, continue benefits, and extend leave to employees during a pandemic. Organizations should be prepared for negative impacts on human resources for extended periods of time.
Schools/Districts should: 1. Identify and plan for employees who may have to stay home when schools and childcare programs close due to pandemic influenza 2. Ensure employees can stay home when sick or when caring for a sick family member 3. Provide liberal/extended sick leave to staff 4. Ensure employees can stay home when sick or when caring for a sick family member 5. Encourage employees to make plans for childcare. 6. Incorporate flexible work hours and utilize employee spacing
D. ALTERNATE LOCATION
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The alternate location element should explain the significance of identifying an alternate facility, the requirements for determining an alternate facility, and the advantages and disadvantages of each location.
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Mission Critical Systems The section should address the organization’s mission critical systems necessary to perform essential functions and activities. Organizations must define these systems and address the method of transferring/replicating them at an alternate site.
Alternate Location/Facility Information This section should include general information about the alternate location/facility. Examples: include the address, points of contact, and available resources at the alternate location.
Maps and Evacuation Routes This section should provide maps, driving directions, and available modes of transportation from the primary facility to the alternate location. Evacuation routes from the primary facility should also be included.
Alternate facilities should provide: 1. Sufficient space and equipment 2. Capability to perform essential functions within 12 hours, up to 90 days 3. Reliable logistical support, services, and infrastructure systems 4. Consideration for health, safety, and emotional well-being of personnel 5. Interoperable communications. 6. Computer equipment and software
E. INTEROPERABLE COMMUNICATIONS The interoperable communications element should identify available and redundant critical communication systems that are located at the alternate facility. These systems should provide the ability to communicate within the organization and outside the organization.
Interoperable communications should provide: 1. Capability commensurate with an agency’s essential functions 2. Ability to communicate with essential personnel 3. Ability to communicate with other agencies, organizations, and customers 4. Access to data and systems 5. Communications systems for use in situations with and without warning 6. Ability to support COOP operational requirements 7. Ability to operate at the alternate facility within 12-hours, and for up to 90 days 8. Interoperability with existing field infrastructures
F. VITAL FILES, RECORDS, AND DATABASES The vital files, records, and databases element should address the organization’s vital files, records, and databases, to include classified or sensitive data, which are necessary to perform essential functions and activities and to reconstitute normal operations after the emergency ceases.
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Organizational elements should pre-position and update on a regular basis those duplicate records, databases, or back-up electronic media necessary for operations. Records should be reviewed and prioritized, then transferred (either hard copy or electronic media) to an alternate location.
G. TEST, TRAINING, AND EXERCISES The test, training, and exercise element should address the organization’s testing plan. Tests, Training, and Exercises (TT&E) familiarize staff members with their roles and responsibilities during an emergency, ensure that systems and equipment are maintained in a constant state of readiness, and validate certain aspects of the COOP Plan.
COOP TT&E plans should provide: 1. Individual and team training of agency personnel 2. Internal agency testing and exercising of COOP Plans and procedures 3. Testing of alert and notification 4. Refresher orientation for COOP personnel 5. Joint interagency exercising of COOP Plans, if appropriate
H. PLANS AND PROCEDURES The plans and procedures element should address procedures for employee advisories, alerts, provisions for personnel accountability, and annual review of the COOP Plan.
Employee Alerts and Accountability This section should include plans and procedures for employee communication and notification and personnel accountability during an emergency.
COOP Plan Maintenance This section should address how the organization plans to ensure that the COOP Plan contains the most current information. Federal guidance states that organizations should review the entire COOP Plan at least annually. Key evacuation routes, roster and telephone information, as well as maps and room/building designations of alternate locations should be updated as changes occur.
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COOP Definitions:
Essential Functions- The agencies business functions that must continue with no or minimal disruption.
Delegation of Authority- Identification, by position, of the authorities for making policy determinations and decisions at HQ, field levels and all other organizational locations. Generally, pre-determined delegations of authority will take effect when normal channels of direction have been disrupted, and will lapse when these channels have been reestablished. (& Orders or Lines of Succession- Provision for the assumption of senior agency leadership during an emergency where the incumbents are unable or unavailable to execute their legal duties.)
Alternate facilities- Locations other than the agencies normal facilities to conduct essential functions in a COOP situation.
Interoperable communications- Communications that provide the capability to perform essential functions, in conjunction with other agencies, until normal operations can be resumed.
Vital records and databases- Emergency operating guidance and, legal and financial documents, electronic or hard copy, that are needed to support essential functions during a continuity situation. Information systems that are needed to support essential functions during a continuity situation.
Human Capital management- Agencies should ensure their response staff are adequately trained and cross trained to enable the performance of all essential functions.
Tests, training and exercises- Measures to ensure that an agency’s COOP plan is capable of supporting the continued execution of the agency’s essential functions throughout the duration of the continuity situation.
Devolution- is the capability to transfer statutory authority and responsibility for essential functions from a primary operating staff and facilities to other employees and facilities.
Reconstitution- The process by which agency personnel- survivors and/or replacements- resume their normal agency duties at the agency’s primary operating facility, whether the original facility or its replacement.
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Template
EXECUTIVE SUMMARY Text Here
COOP PLANNING RESPONSIBILITIES Text Here
Responsibility Position
A. ESSENTIAL FUNCTIONS Text Here
Priority Essential Functions Staffing Resources 1 2 3 4 5 6
Decision Process Text Here
Alert, Notification, and Implementation Process Text Here
LEADERSHIP Text Here Orders of Succession Text Here
Successors
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Delegations of Authority Text Here Devolution Text Here
SCHOOL FINANCE AND HUMAN RESOURCES Text Here
C. ALTERNATE LOCATION Text Here
Mission Critical Systems Text Here
System Name Current Location Other Locations
Alternate Location/Facility Information Text Here
Maps and Evacuation Routes Text/Attachments Here
D. INTEROPERABLE COMMUNICATIONS Text Here
E. VITAL FILES, RECORDS, AND DATABASES Text Here
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)
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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)
F. TEST, TRAINING, AND EXERCISES Text Here
G. PLANS AND PROCEDURES
Employees Alerts and Accountability Text here
COOP Plan Maintenance Text Here
Version 1.0 July 31, 2009 Attachment C Checklist
District: School:
(Note: Some planning elements may not be applicable to your specific COOP operations. Please denote if that is the case.) Essential Functions Yes No IP NA 1. Essential functions are listed and prioritized.
2. Staffing requirements for each essential function are identified. 3. Resource requirements for each essential function are identified. 4. Critical data and data systems for each essential function are identified. 5. Support activities are addressed as part of essential functions. 6. Plans exist for attaining operational capability within 12 hours. 7. Processes and procedures exist to acquire resources necessary to continue essential functions and sustain operations for a minimum of 30 days and up to 90 days. Leadership Yes No IP NA 1. Line of succession is established for the Incident Commander/Principal/Superintendent positions. 2. Line of succession is established for the other leadership positions. 3. Limitations on delegated authority are listed.
4. Lines of succession are included in the plan.
5. Rosters of trained staff with the authority to perform essential functions and activities are maintained. 6. Rules and procedures for implementing orders of succession are established. 7. Rules and procedures for orders of succession include initiating conditions, notification methods and terminating conditions, and devolution. School Finance and Human Resources Yes No IP NA 1. School finance statutes and options have been reviewed and are included in the plan. 2. Human resource sick leave policies have been reviewed, shared with employees and labor unions, and included in the plan. 3. Adequate sick leave is available to support ill staff in
staying at home. 4. Alternative work strategies have been developed to
accommodate employees spacing and staying home when sick. 5. Essential contracts, support services, and other interdependencies that must, may, or can not be continued have been identified.
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Alternate Facilities and Work Strategies Yes No IP NA 1. Immediate capability exists to operate under all-hazard threat conditions. 2. Sufficient space and equipment to sustain the relocated school/district office has been identified. 3. Pre-positioned resources are identified or contingency contracts are established with appropriate resource providers. Necessary MOU’s/IGA’s are in effect. 4. Plan includes provisions for establishing interoperable communications with all identified essential internal and external organizations, critical customers and the public. 5. Alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning.) 6. Plan contains provisions to sustain operations for a period of a minimum of 30 days and up to 90 days. 7. Plan addresses considerations for the health and safety of relocated staff and students. 8. Plan addresses physical security and access controls.
9. Plan delineates alternate work strategies (e.g. telecommuting, staggered work shifts) to prevent the spread of influenza. Yes No IP NA INTEROPERABLE COMMUNICATIONS 1. Procedures/plans exist for communications with COOP contingency staffs, management and other organizational components. 2. Procedures/plans exist for communications with county health department, school personnel, parents and students, emergency personnel, and other agencies. 3. Procedures/plans exist for access to data and systems necessary to conduct essential activities and functions. Yes No IP NA VITAL RECORDS AND DATABASES 1. Essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records, are identified. 2. Essential legal / financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records, are identified. 3. Provisions for classified or sensitive data are included.
4. Procedures for data backup and restoration are included. 5. Location and accessibility to vital records are identified.
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Yes No IP NA TESTS, TRAINING AND EXERCISES 1. Plans include annual individual and team training of school/district COOP emergency personnel. 2. Plans include annual agency testing and exercising of COOP plans and procedures. 3. Plans include quarterly testing of emergency alert and notification procedures. 4. Plans include refresher orientation for COOP staff.
5. Plans include inter-agency exercising of COOP plans where applicable and feasible. Plans and Procedures Yes No IP NA 1. Procedures for employee advisories, alerts and COOP plan activation are included. 2. Provisions for personnel accountability throughout the duration of the emergency are included. 3. Procedures exist for an annual review of the COOP plan and the ability to make any needed revisions.
I/We certify that a Continuity of Operations (COOP) Plan exists at my/our agency and that this plan contains the elements as listed in the above checklist.
______Date: ______Plan Coordinator
______Date: ______School Principal/ District Superintendent
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