Continuity of Operations / Continuity of Government
(COOP / COG)
Worksheet Guidance
SAMPLE
Prepared for:
Puerto Rico Emergency Management Agency
Witt Associates Point of Contact:
Juan Munoz
P.O. Box 165
Pine Beach, N.J. 08741
Phone: (732) 604-2560
Email:
Prepared by:
October 25, 2010Planning Worksheet
Thank you for your participation in the Continuity of Operations / Continuity of Government Plan (COOP / COG) planning process. Your input is an essential component of the process.
Please use the attached Planning Worksheet Guidance document for examples and instructions to assist you with filling out this worksheet; return the completed worksheet to your point of contact electronically, either as a Word document or Rich Text Format document.
The purpose of this COOP / COG worksheet is to capture your normal business functions and determine post-disaster critical functions. COOP / COG plans address incidents that disrupt normal operations.
The overall purpose of COOP / COG planning is
to ensure the continuity of critical functions.
Questions concerning this worksheet may be directed to:
Juan Munoz
P.O. Box 165
Pine Beach, N.J. 08741
Phone: (732) 604-2560
Email:
1.1 Mission Statement
Your department’s Mission Statement is a statement that defines what an organization is, why it exists, and overall reason for being.
1 Please record your department’s / division’s Mission Statement.
Department / Mission StatementExecutive Director / You will provide mission statement.
1.2 Divisions / Branches / Bureaus within the municipality / department, if applicable:
A division or branch extends from the main department.
2 Please record any departments / divisions / branches that fall under yours.
Your Department / Divisions / Branches / Bureaus within the municipality / departmentOffice of the Executive Director / Planning
Mitigation
Recovery
Operations
1.3 Critical Functions:
Critical (also known as ‘Essential’) Functions are those organizational functions and activities that must be continued under any and all circumstances. Critical Functions must be maintained to provide vital services, exercise civil authority, maintain the safety of the general public, and sustain the economic base during an emergency or other business disruption.
1 Please record all of department’s / division’s Critical Functions.
Your Department / Critical FunctionsOffice of the Executive Director / Ensure all departments are working properly
Coordinate emergency responses among various departments and agencies in a disaster
Direct operations in the Emergency Operations Plan
Provide situational reports to the Governor’s Office
1.4 Recovery Time Objectives (RTOs) and Staffing - previously listed as
“Priorities”:
The period of time within which systems, applications, or functions must be recovered after an outage (e.g. 12 hours, one business day, etc.). RTOs are often used as the basis for the development of recovery strategies, and as a determinant as to whether or not to implement the recovery strategies during a disaster situation. Similar Terms: MAXIMUM ALLOWABLE DOWNTIME.
1 For your Critical Functions - how long can you afford to be disrupted (RTO column)?
2 What is the minimum level of staffing you need to fulfill those Critical Functions?
3 Record any considerations that are ‘seasonal’ or otherwise time-sensitive for applicable functions in the ‘Special Considerations’ column.
Example(s): elections, tax bills, seasonal population changes, etc.
Recovery Time Objectives and StaffingCritical Function / # of Staff / RTO / Special Considerations
Ensure all departments are working properly / 1 / 0-2 hours / Will hold periodic department head meetings.
Coordinate emergency responses among various departments and agencies in a disaster / 1 / 0-2 hours / Maintain cooperation among various departments.
Direct operations in the Emergency Operations Plan / 1 / 0-2 hours / Ensure EOC is suitably staffed.
Provide situational reports to the Governor’s Office / 1 / 0-2 hours / Periodically provide periodic reports to the Governor or his representative.
1.5 Summary of Department Critical Resources:
Critical Resources are those needed to support the department’s ability to complete its Critical Functions with minimal resources. For instance, if your department is relocated to an alternate location / facility, what do you need to perform your Critical Functions?
This multi-part section will ask you for responses that address:
1 Critical Communications and Information Technology Resources
2 Critical Software Resources
3 Vital Records, Files, Databases
4 Key Vendors, Outside Partners, Contractors
5 Facilities and Equipment
Critical Communications and Information Technology (IT) Resources:
1 In this section, identify critical communications / IT resources that will be necessary to deliver your Critical Functions.
Example(s): Phone - land lines; phone – cellular; fax machines; radio communications (base stations, handhelds, mobiles, etc.); computer - laptop; computer - desktop; internet.
Critical Communications and IT ResourcesCritical Function / Communications and IT Type / Quantity / Requirements
All Executive Director Functions / Phone / 1 / Working land line
Cell Phone / 1 / BlackBerry
Or list functions from table 1.3
List them if the critical function needs critical communications and IT. There is no need to list all functions if not all require software.
SAMPLE
Provide situational reports to the Governor’s Office / Fax / 1 / Phone line
Power Source
Critical Software Resources:
2 In this section, identify critical software needed to deliver your Critical Functions.
Example(s): MS Office (includes Word, Excel, PowerPoint); MS Office Professional (includes Access in addition to the base software packages); Outlook; proprietary software; etc.
Critical Software ResourcesCritical Function / Software / Description/Use
All Executive Director Functions / Microsoft Office / Need Excel, Word, and Outlook
Or list functions from table 1.3
List them if the critical function needs critical software. There is no need to list all functions if not all require software.
SAMPLE
Ensure all departments are working properly / <Software name to be provided> / <Need Description>
SAMPLE
Direct operations in the Emergency Operations Plan / <Software name to be provided> / <Need Description>
Vital Records, Files, Databases:
3 In this section, identify vital records, files, and databases and where they are currently stored. Vital records are records that you will need to deliver your Critical Functions. These can include physical records and data files that are currently stored electronically.
Example(s): Maps, payroll records, employee files, blueprints, etc.
Vital Records, Files and DatabasesCritical Function / Name / Type / Information Function / Where are these Currently Stored?
All Executive Director Functions / <Provide name> / Electronic and Hard Copy / Maintain disaster historical data / IT Electronic back-up files
Or list functions from table 1.3
List them if the critical function needs critical software. There is no need to list all functions if not all require software.
Direct operations in the Emergency Operations Plan / <Provide name> / Electronic / After Action Reports / IT records are maintained off site
Key Vendors, Outside Partners, Contractors:
4 In this section, identify key vendors, outside partners and contractors you need to deliver your Critical Functions. Note: These are not internal partners / departments.
Key Vendors, Outside Partners, ContractorsCritical Function / Name / Contact Information / Role and Duties
All Executive Director Functions / <Name to be provided> / SAMPLE
X fuel company
123 Main Street
San Juan, Puerto Rico
(Zip code and Phone Number) / To Provide Diesel fuel for generator
Or list functions from table 1.3
List them if the critical function needs critical software. There is no need to list all functions if not all require software.
Facilities and Equipment:
5 In this 2-part section, identify the minimum facilities and pieces of equipment (by kind and type where possible) needed for you to deliver your Critical Functions.
FacilitiesCritical Function / Type of Space / Size (sq. ft.) / Requirements
All Executive Director Functions / Office / 5,000 / Provide office space for all 13 departments assigned to the Executive Director
Or list functions from table 1.3
List them if the critical function needs critical software. There is no need to list all functions if not all require software.
Equipment
Critical Function / Name / Quantity / Requirements (including Type/Kind where applicable)
All Executive Director Functions / Office Chairs / 4 / Not Applicable
Office Table / 1 / Round for meetings
Printer / 1 / Color Printer
Or list functions from table 1.3
List them if the critical function needs critical software. There is no need to list all functions if not all require software.
1.6 Department and Division Inter-dependencies:
6 In this section, identify internal partners you need for your Critical Functions and who you think may need you in order to perform their Critical Functions.
7 Rate each partner as a Tier (1, 2, 3) - this basically tells us how high / low you consider the dependency and allows for a cross-reference.
Tier Legend:
Tier # / Impact / Response TimeTier 1 / High impact on public health and safety or department’s critical functions. / A Tier 1 response must be operational in
0-12 hours.
Tier 2 / Moderate impact on public health and safety or department’s critical functions. / A Tier 2 response must be operational in up to 12-36 hours.
Tier 3 / Low impact. / A Tier 3 response indicates operational
recovery can be delayed 36 hours or longer.
Inter-dependencies
Department Name / Dependent on You / Tier Number / You are Dependent on Them / Tier Number
Planning / Yes / 1 / Yes / 1
Operations / Yes / 1 / Yes / 1
Information Technology / No / Yes / 1
Finance / No / Yes / 1
1.7 Relocation:
1 In this section, identify where you would go if relocation was necessary to resume Critical Functions (full addresses please). This may be for a few hours or for an undetermined duration.
Categories include: Primary (where you would go first), Secondary (where you would go if the Primary facility was not available), Additional. You may not have entries for the four categories we provide. If an alternate location has not been identified, please leave the entry blank.
Alternate Facilities and AddressesCategory / Name / Full Address
Primary / Alternate EOC / 123 Main Street
San Juan, Puerto Rico (Zip code)
Secondary / To be determined
Additional / To be determined
1.8 Succession of Leadership:
In this two-part section, identify personnel to step in for leaders who may not be available for a variety of reasons, during a COOP / COG activation.
If a person with authority is not available, succession of leadership allows for continuing your Critical Functions. If necessary, the leadership and that person’s authority are passed on to the next person in line.
2 First, list the ‘Key Position’ staff person by Division, Name, and Title.
3 Then, in the lower part of the table, list the ‘Successors’. If any ‘Special Requirements’ are applicable, please list (I.e. engineering license, water operator license, etc.)
Succession - In ‘Prioritized Order’ to Transfer Authority in a Crisis SituationDivision / Title / Key Position Name
Office of the Executive Director / Executive Director / Heriberto N. Sauri
Successor(s)
Priority / Title / Name / When / How / Authorities / Special Require-ments
1 / Deputy Executive Director / Alfrida Tomey / If incumbent cannot be located and/or is not available / Cell Phone,
Home Phone,
Email,
Text / Full Authority, with no restrictions / None
2 / <Next in line>
3 / To be determined
1.9 Staff Communication:
Call Back notifications and Check-In are critical in order to call back staff to carry out Critical Functions during emergency situations / business disruptions.
In this two-part section, in order to fill Critical Functions:
1 Identify your methods of Call Back.
2 Identify the methods staff would use to Check-In.
If a phone tree or other notification tools exist, please be sure to note that.
Notification-Methods to Notify Staff for Call-Back:Method # / Method / Details
1 / SAMPLE
Call to staff cell phone
2 / Call to staff home phone
3 / Message left with call center
Check In-Methods Staff Uses to Check In with Supervisors:
Method # / Method / Details
1 / SAMPLE
Call to supervisor’s cell phone
2 / Call to supervisor’s work phone
3 / Check for instructions at a reporting area
Notes:
Please add anything additional pertinent information you would like us to know in order to assist us with this process.
NotesNone