Ensuring That the Office of Attorney General is Operational

During an Emergency

April 20, 2005

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

Mike VincentDeputy Attorney General

HawaiiOffice of the Attorney General

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

Mahalo nui loa

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

Questions & Discussion