Tamara S. Little
Assistant Attorney General
Ohio Attorney General’s Office
Chair, National Emergency Management Association’s Legal Counsel Committee
What is COOP?What is COOP?
Continuity of OperationsContinuity of Operations
Measures taken by government Measures taken by government offices to ensure continuance of offices to ensure continuance of
essential functions during essential functions during emergenciesemergencies
COOP ObjectivesCOOP ObjectivesEnsure performance of essential Ensure performance of essential
functions during emergenciesfunctions during emergenciesReduce loss of lifeReduce loss of lifeMinimize damages & lossesMinimize damages & lossesEnsure succession of leadershipEnsure succession of leadershipKeep government operationalKeep government operationalReduce/mitigate disruptions to Reduce/mitigate disruptions to
operationsoperations
COOP ObjectivesCOOP ObjectivesEnsure alternate facilities to perform Ensure alternate facilities to perform
essential functionsessential functionsProtect essential facilities, equipment, Protect essential facilities, equipment,
vital records, and other assetsvital records, and other assetsEnsure timely & orderly recovery from Ensure timely & orderly recovery from
the event & return to normal operationsthe event & return to normal operationsOngoing training, testing, & exercisingOngoing training, testing, & exercising
Coop Planning ConsiderationsCoop Planning Considerations Implement with or without warningImplement with or without warningOperational no later than 12 hours after Operational no later than 12 hours after
activationactivationMaintain operations for up to 30 daysMaintain operations for up to 30 daysRegular risk analysis of operations to Regular risk analysis of operations to
assure high level of readinessassure high level of readinessLocate alternate operating facilitiesLocate alternate operating facilities
Use existing assets to the extent Use existing assets to the extent practicablepracticable
Role of Senior LeadershipRole of Senior LeadershipResponsible for:Responsible for:
● COOP planning & implementationCOOP planning & implementation● Prioritization of essential functionsPrioritization of essential functions● Appointment of COOP planners & Appointment of COOP planners &
emergency relocation group emergency relocation group ● Delegation of authority & orders of Delegation of authority & orders of
successionsuccession● Ensure protection of vital recordsEnsure protection of vital records● Employee & family supportEmployee & family support● Return to normal operationsReturn to normal operations
Role of Senior LeadershipRole of Senior LeadershipWithout Senior Leadership, COOP WILL Without Senior Leadership, COOP WILL
FAILFAIL
Elements of COOP PlanElements of COOP PlanDefinition of essential functionsDefinition of essential functionsProcedures for alternate facility staffing Procedures for alternate facility staffing
& operation, including interoperable & operation, including interoperable communicationscommunications
Rosters of trained & equipped personnel Rosters of trained & equipped personnel with authority to perform essential with authority to perform essential functionsfunctions
Orders of succession & delegations of Orders of succession & delegations of authorityauthority
Elements of COOP PlanElements of COOP PlanProcedures for protecting & utilizing Procedures for protecting & utilizing
vital records vital records Tests, training & exercisesTests, training & exercisesReconstitution procedures to return to Reconstitution procedures to return to
normal operations normal operations Procedures to notify employees with Procedures to notify employees with
instructions for relocation, with & instructions for relocation, with & without warning/duty hours & off-duty without warning/duty hours & off-duty hours & to account for personnelhours & to account for personnel
Definition of Essential FunctionsDefinition of Essential Functions Identify all functions performed by the Identify all functions performed by the
Office, then determine which must be Office, then determine which must be continued under all circumstancescontinued under all circumstancesRequired by law or regulationRequired by law or regulationNecessary to provide vital services, Necessary to provide vital services,
exercise civil authority, maintain safety of exercise civil authority, maintain safety of the general public, and sustain the the general public, and sustain the industrial/economic base during emergencyindustrial/economic base during emergency
Can’t be interrupted for more than 12 Can’t be interrupted for more than 12 hourshours
Must be sustained for 30 daysMust be sustained for 30 days
Alternate FacilitiesAlternate Facilities Immediate capability to perform essential Immediate capability to perform essential
functions during & after an emergencyfunctions during & after an emergency Adequate space & equipment to sustain Adequate space & equipment to sustain
relocation for up to 30 daysrelocation for up to 30 days Interoperable communications with Interoperable communications with
essential internal & external essential internal & external organizations, customers & the publicorganizations, customers & the public
Reliable logistical support & utilitiesReliable logistical support & utilities Reliable health/safety & security controls Reliable health/safety & security controls
StaffingStaffing
● Identify staff needed to perform essential Identify staff needed to perform essential functions at the alternate facility, who functions at the alternate facility, who can be available for up to 30 dayscan be available for up to 30 days
● Train & fully equip those personnelTrain & fully equip those personnel● Provide those personnel requisite Provide those personnel requisite
authority to conduct essential functionsauthority to conduct essential functions● Adopt procedures to notify employees & Adopt procedures to notify employees &
families & account for stafffamilies & account for staff
Interoperable CommunicationsInteroperable Communications
Alternate communications Alternate communications that provide the capability that provide the capability
to perform essential to perform essential functions, in conjunction functions, in conjunction with other agencies, until with other agencies, until
normal operations can normal operations can resumeresume
Interoperable CommunicationsInteroperable CommunicationsAllow performance of minimum essential Allow performance of minimum essential
functionsfunctionsCapability to communicate with internal & Capability to communicate with internal &
external agencies & othersexternal agencies & othersEnsure access to data & vital systemsEnsure access to data & vital systemsAvailable as early as possible & Available as early as possible &
sustainable for up to 30 dayssustainable for up to 30 days Identify primary & secondary alternate Identify primary & secondary alternate
communications systemscommunications systems
Order of Order of SuccessionSuccession
The order in which & conditions The order in which & conditions under which the responsibilities & under which the responsibilities & authorities of a public official are authorities of a public official are passed to another official when passed to another official when the original holder is unable or the original holder is unable or unavailable to exercise those unavailable to exercise those responsibilities & authoritiesresponsibilities & authorities
Order of SuccessionOrder of SuccessionEstablish Order of Succession for:Establish Order of Succession for:
Attorney GeneralAttorney GeneralAll other senior staff positionsAll other senior staff positions
Identify limitations on delegation of Identify limitations on delegation of authorityauthority
Consider statutory mandatesConsider statutory mandates Include orders with vital recordsInclude orders with vital records Include procedures & conditions for Include procedures & conditions for
implementationimplementation
Delegation of AuthorityDelegation of Authority
Specifies who is Specifies who is authorized to act on authorized to act on behalf of the agency behalf of the agency head and other key head and other key officials for specific officials for specific
purposespurposes
Delegation of AuthorityDelegation of AuthorityDelineate limits of authority and Delineate limits of authority and
accountabilityaccountability Identify authority of designated Identify authority of designated
successorssuccessors Identify circumstances delegation Identify circumstances delegation
becomes effective/terminatesbecomes effective/terminates Include these personnel in trainingInclude these personnel in training
Vital RecordsVital Records
Electronic & Electronic & hardcopy hardcopy
documents, documents, references, and references, and
records needed to records needed to support essential support essential
functionsfunctions
Vital RecordsVital RecordsTwo Categories of Vital Records:Two Categories of Vital Records:
Emergency Operating RecordsEmergency Operating RecordsLegal and Financial RecordsLegal and Financial Records
Plans & directives Orders of succession Delegations of authority Staffing assignments
Emergency Operating Records
Personnel records Social Security records Payroll records Retirement records Insurance records Contract records
Legal & Financial Records
Vital RecordsVital Records Identify vital records needed for essential Identify vital records needed for essential
functionsfunctionsEstablish appropriate medium for Establish appropriate medium for
accessing with 12 hoursaccessing with 12 hoursLANLANElectronicElectronic Internal and External E-mailInternal and External E-mailVital hard-copy recordsVital hard-copy records
Vital RecordsVital RecordsMaintain complete inventory of records, Maintain complete inventory of records,
including a schedule for updatesincluding a schedule for updatesSelect appropriate protection methodsSelect appropriate protection methods
Is off-site storage necessary?Is off-site storage necessary? Is alternate storage media necessary?Is alternate storage media necessary?Should vital records be duplicated?Should vital records be duplicated?
Identify records recovery experts ahead Identify records recovery experts ahead of timeof time
Test, train & exerciseTest, train & exercise
Tests, Training & ExercisesTests, Training & ExercisesTest: Evaluation of capability against Test: Evaluation of capability against
established measurable standardestablished measurable standardAlternate communications systemsAlternate communications systemsAlert & notification proceduresAlert & notification proceduresDeployment proceduresDeployment procedures
Training: Instruction in core Training: Instruction in core competencies & skillscompetencies & skillsPrinciple means to achieve proficiencyPrinciple means to achieve proficiencyTools needed to accomplish goals, Tools needed to accomplish goals,
requirements, or capabilityrequirements, or capability
Tests, Training & ExercisesTests, Training & ExercisesExercises: Participants apply skills & Exercises: Participants apply skills &
knowledge to improve operational knowledge to improve operational readinessreadiness
Three typesThree typesTabletopTabletopFunctional Functional Full ScaleFull Scale
ReconstitutionReconstitution
Process of resuming Process of resuming non-emergency non-emergency
operations at the operations at the primary office location primary office location
following the following the emergencyemergency
ReconstitutionReconstitution Inform personnel that the emergency no longer Inform personnel that the emergency no longer
existsexistsGive instructions for resumption to normalcyGive instructions for resumption to normalcySupervise orderly return to normal operating Supervise orderly return to normal operating
facility (if relocated)facility (if relocated)Report status of relocation as requiredReport status of relocation as requiredClose alternate facility (if utilized)Close alternate facility (if utilized)Make improvements in proceduresMake improvements in procedures
Family SupportFamily SupportHelp employees develop family support Help employees develop family support
plansplansProvide emergency call-in number for Provide emergency call-in number for
employeesemployeesEmployees should inform family Employees should inform family
members of their status during the members of their status during the emergencyemergency
Know how to contact employees/familyKnow how to contact employees/familyMake sure they know how to contact youMake sure they know how to contact you
Family SupportFamily SupportKeep employees safeKeep employees safeTrack employees & maintain Track employees & maintain
AccountabilityAccountabilitySupervisors should have employee contact Supervisors should have employee contact
listslistsUpdate lists monthlyUpdate lists monthlyUpdate Lists daily during COOP operationsUpdate Lists daily during COOP operationsAccount for all employees upon evacuationAccount for all employees upon evacuationNotify HR if employees unaccounted forNotify HR if employees unaccounted forContinue to try to contactContinue to try to contact
State Emergency Manager’s State Emergency Manager’s PerspectivePerspective
Peter G. LaPortePeter G. LaPorte
former Emergency Management Director, former Emergency Management Director, The District of ColumbiaThe District of Columbia
RESOURCESRESOURCES
CD ROM from FEMA/GSA – Continuity of CD ROM from FEMA/GSA – Continuity of Operations Plan SeminarsOperations Plan Seminars
www.fema.gov/onscwww.fema.gov/onsc (newest version of (newest version of Guidance on Continuity of Operations Guidance on Continuity of Operations Planning for State & Local Governments Planning for State & Local Governments available this month)available this month)
State Emergency Management AgencyState Emergency Management Agency
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