Pandemic Continuity of Operations Planning

1
Pandemic Continuity of Operations Planning
State of Connecticut

• A concentrated effort to identify and plan for
  the continued operation of essential functions
  during an outbreak which significantly impacts
  agency staffing levels.

2
Introduction

• Avian Influenza normally infects waterfowl and
  can be transmitted to commercial poultry,
  particularly chickens and turkeys, by migrating
  birds.
• There are 16 known subtypes of the avian
  influenza. The one called H5N1 is of particular
  concern because it adapts rapidly and can mutate
  to infect humans with a particular virulent and
  deadly strain.

3
Introduction - Continued

• Flu Viruses are always changing, with new strains
  emerging. In order to become a Pandemic, two
  events must first occur
• An animal flu virus (usually avian (bird)) must
  mutate or mix with a human virus.
• That virus must change to become able to spread
  from human to human.
• If the new flu virus is different from those seen
  before by the living population, people do not
  have any immunity (resistance) to it, so it can
  spread quickly and become a pandemic.

4
Introduction - Continued

• In preparation for a potential pandemic,
  Governor Rell has mandated each State agency
  establish Continuity of Operations Plans (COOP)
  as a contingency.
• This process is being established to assist
  agencies with plan development.

5
Assumptions

• Staff levels may be significantly impacted due to
  high levels of illness
• Remaining workers may be psychologically affected
  by disease, economic concerns, or fear and
  require employee assistance
• Staff may be reduced by the need for some workers
  to attend to family illness or children remaining
  home due to school closures.
• Human resource reductions may be temporary or may
  be-long term depending on the severity of the
  influenza strain
• Staff may be lost due to significant mortality
  associated with the disease

6
Continuity of Operations Planning Overview

• Assign Agency COOP/Disaster Recovery Owner and
  Leaders
• Identify all Business Processes for each location
• Validate Procedure Documentation good idea but
  phase 2
• Determine Recovery Time Objectives (RTO) based
  upon worst case
• Assign Recovery Priority
• Identify Primary Resources Supporting Each
  Function
• Pre-select Resource Pools Supporting each
  function during staffing shortages of 10, 20,
  30 40 and State closure
• Conduct Cross-Training Programs
• Devise Alternate Work Strategies
• Analyze Technology Impacts to implementation of
  alternate work strategies
• Identify Critical External Service Providers and
  Supply Chains
• Create and test internal/external Communication
  Plan
• Publish Delegation of Authority Plan
• Announce Succession Agency Succession Plans
• Address Availabilility of Vital Records
  Management
• Develop Alternate Site Strategies, as appropriate
  
• Return to Normal Operations After a Crisis

7
Continuity of Operations Planning NIMS

• Pandemic Response, as with any other State
  response to a crisis, is to align with the
  Governors order to execute National Incident
  Management System (NIMS) protocols and
  responsibilities.
• NIMS will enable all agencies to interact
  effectively with
• The State of Connecticuts Emergency Operation
  Center (EOC), which will be invoked by DEMHS
  should an Avian Flu epidemic strike and
• Other Agencies which are cooperating in the
  response to the crisis
• Key NIMS positions at each SITE include
• Incident Commander person in charge
• Operations Section Chief person responsible
  to oversee critical functions
• Some NIMS positions will be handled at the Agency
  level
• Public Information Officer (agency
  communications / media)
• Legal Counsel
• Human Resources Officer
• Finance Officer
• These NIMS positions will have a parallel partner
  at the EOC / State Level

8
Continuity of Operations Planning Roles and
Responsibilities

• Assign responsibility of ownership to the
  Continuity of Operations Planning process.
  Senior manager
• NIMS?Incident Commander (typically the
  Commissioner, Deputy Commissioner, Chief of
  Staff, etc.)
• Establishes and maintains the program within the
  agency
• The driving force
• Assign COOP Coordinator(s)
• NIMS-gt Operation Section Chief by locality
  responsible for continuation of critical
  functions
• Knowledgeable person in the specific functions
  performed by the agency and the resources (staff,
  providers, tools, etc.) needed to perform the
  function

9
Continuity of Operations Planning Small Agency
COOP Structure
10
Continuity of Operations Planning Large Agency
COOP Structure
11
Continuity of Operations Planning Critical
Agency Functions

• Identification of Business Processes for each
  location (Central Office, Regional Office, etc.)
• Identify all agency business processes by
  location and business unit
• Validation of Procedure Documentation
• Validate that each identified process has
  documented operational procedures
• Document Procedures that have no operational
  procedures in place

12
Continuity of Operations Planning Recovery
Time Objective (RTO)

• Establish individual Recovery Time Objectives
  (RTO) for each business function
• Determine the maximum amount of time the function
  can be suspended before the agency (and the
  citizens of Connecticut) will be negatively
  affected
• (Ex 1 hour, 24 hours, 72 hours, 1 week, 1
  month, etc.)
• Assign Recovery Priority
• Based on RTO, determine the relative Recovery
  Priority of each process starting with 1, 2, 3,
  etc.
• NOTE some functions can be suspended for an
  extended period, either based upon day-to-day
  priority or new rules of the game based on
  state (executive, legislative, judicial) policy
  or law relative to a Pandemic situation

13
Continuity of Operations Planning Primary
Resources

• Identify Primary Resources Supporting Each
  Function
• Identify internal resources supporting each
  function under normal staffing levels (staff,
  supplies, tools, etc.)
• Identify external resources supporting each
  function under normal staffing levels
• Identify Resources Supporting Each Function
  During Staffing Shortages of 10, 20, 30 and
  40
• Determine if demand level is likely to RISE or
  FALL during a Pandemic Situation estimate the
  staffing delta based on this analysis for a
  worst case situation
• Devise and implement a strategy to sustain high
  priority functions with short RTO at operational
  levels
• Resources normally assigned to low priority
  functions with long RTO should be reassigned to
  high priority functions
• Identify thresholds when, based on available
  resources certain functions will cease to exist
  for the duration of the crisis

14
Continuity of Operations Planning Training

• Support Health and Hygiene Training
• For all Employees on Flu Avoidance
• For Agencies in terms of policies and materials
  at agency locations to facilitate hygiene and
  non-transfer of the virus
• Establish Functional Cross-Training Programs
• Based upon critical, must perform functions and
  on your staffing plan, identify cross-training
  requirements for your agencys most critical
  functions
• Develop training curriculum to meet these
  requirements
• Set training schedules (December 1 end date)
• Conduct employee training (mandatory)
• Establish a job rotation, on a periodic basis, to
  assist with process knowledge development and
  retention

15
Continuity of Operations Planning Alternatives

• Determine Alternate Methods of Operation
• Work at home
• Consolidate to fewer or a single location (for
  functions requiring special tools, facility or
  access by the public)
• Draw staff from other sources (other locations
  within the agency, other agencies, private
  providers)
• Seek citizen volunteers (where the function is
  necessary to the life and safety of the citizens
  of Connecticut)
• Suspend all but THE MOST CRITICAL functions until
  the Governor declares an end to the emergency
  situation

16
Continuity of Operations Planning Technologies

• Determine Technology Impacts to Alternate Work
  Strategies
• For alternate work strategies to be effective,
  technology impacts must be identified and
  quantified (applications, network traffic, etc.)
• Appropriate lead times will be required to
  facilitate procurement, implementation,
  validation and cross-training processes

17
Continuity of Operations Planning Supply Chains

• Identify Critical External Supply Chains
• Establish contingency plans for each and every
  item deemed critical by the agency
• Consider ordering and storing larger quantities
• Establish multiple providers for each item

18
Continuity of Operations Planning Communications
Plan

• Establish Communication Plans and Protocols
• State Government (Executive, Legislative,
  Judicial)
• Executive
• Governors Office
• State Agencies
• Employees at Work and Home
• Inter-Agency (via EOC, or direct
  agency-to-agency)
• Customer/Client Base
• Public and Media for Agency Specific Information
  (NIMS-gtPublic Information Officer) unless
  centralized at the EOC
• Emergency Operations Center (EOC)
• State Response Coordination
• Cross-Agency Support and Communication
• Media and Public (Public Information Officer)
• Federal Government (Department of Homeland
  Security, Department of Health and Human
  Services, etc.)
• We are advised each State may be on its own,
  the Federal Government is likely to be
  experiencing the same crisis. We must be
  self-reliant.

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Continuity of Operations Planning Communications
Structure
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Continuity of Operations Planning Succession
and Delegation of Authority

• Designate Succession and Publish Delegation of
  Authority
• Agency Head(s) Commissioner and Deputies -gt
  Incident Commanders
• Finance Chief Financial Officer -gt Command
  Support / Finance Officer
• Contracts
• Negotiable Instruments
• Procurement Finance Officer Alternate
• Human Resources Human Resource Officer (HRO)
• Communications Public Information Officer (PIO)
• Matters of Law, Policy or Principal Legal
  Counsel (LC)
• Operations - Agency Functions Operations
  Section Chief
• Director(s) -gt Operations Section Chief
  Alternate(s)
• Manager(s) -gt Team Leaders
• Supervisor(s) -gt Team Leader Alternate(s)
• Staff -gt Team Members
• Logistics Relative to (Logistics Section Chief)
• Technology
• Facility / Premises
• Tools
• Logistics Relative to (Administration Section
  Chief)

21
Continuity of Operations Planning Vital Records

• Identify your agencies vital records
• While this is a key element of facility or
  technology disaster planning (fire, earthquake,
  flood, terrorism, etc.), this is perceived to be
  of lesser priority for Pandemic Planning
• If the Agency strategy assumes the relocation of
  workers to alternate sites (e.g., facility
  closures or consolidation of a fewer number of
  offices), then vital record requirements should
  be considered
• Are the records part of an electronic system that
  can be made available at the alternate location?
• Are the records in paper and must be relocated to
  the location where the associated function is to
  be performed?
• If neither of the above are true, but the records
  are required, what means exist to duplicate these
  for use where they are needed?

22
Continuity of Operations Planning Alternate
Site Strategies

• While this is also a key element of facility or
  technology disaster planning (fire, earthquake,
  flood, terrorism, etc.), this is perceived to be
  of lesser priority for Pandemic Planning
• If your strategy assumes the relocation of
  workers to alternate sites (e.g., facility
  closures or consolidation of a fewer number of
  offices), then
• Consider the geographic location relative to
  staff home base and to the community (Connecticut
  residents) who are to be served
• Consider the ability to provide telephone (voice,
  data, fax) services at this location
• Consider the need for transportation to the
  facility
• Consider the features of the facility and whether
  they are appropriate to the functions to be
  performed at this location (e.g., public access,
  security needs, privacy requirements, etc.)

23
Continuity of Operations Planning Return to
Normal Operations

• When the crisis passes, it is important to resume
  normal operations expeditiously
• How will staff be notified?
• What technologies or alternate sites need to be
  shut down or re-located?
• What is the calendar of events that must be
  addressed on a priority basis in restoring normal
  services?
• How long should it take (and what expectations
  should be set for those who depend on this
  Agencys services)?

24
Continuity of Operations Planning Policy and
Procedure Adjustments

• Consider Impacts to Existing Policies and
  Evaluate Need for New Policy Adoption
• Setup authorities and triggers for activating and
  terminating the agencies response plan, altering
  business operations (e.g. shutting down
  operations in effected areas), transferring
  business knowledge to key employees
  (cross-training), and requiring employees to work
  out of class to fulfill pre-established critical
  functions of each agency
• Establish policies for employees who have been
  exposed to pandemic influenza, are suspected of
  being ill, or become ill while at work (e.g.
  infection control response, immediate mandatory
  sick leave)
• Communicate Human Resources / Labor policy and
  procedures for
• Return to work after extended illness (medical
  certificate),
• Family leave request,
• Sick leave,
• Vacation/PL in lieu of sick etc.
• Visitor Access Policy Develop a policy about
  who should be allowed access and under what
  conditions
• Establish and Train Infection Control Team with
  responsibilities to clean surfaces regularly
• Establish Policy of Vaccination Priority
• These policies are needed to guide all Agencies
  in their respective Pandemic Continuity of
  Operations Planning efforts.

25
Continuity of Operations Planning Planning
Templates

• Several templates have been created to assist
  each agency in the COOP development effort
• Business Process RTO and Priority
• Resource Staffing
• Communications Protocol
• Employee Communications
• Delegation of Authority
• Succession of Operations
• We propose to support the Agencies with
  Facilitated Planning Sessions and Workshops
  throughout the next six months. A schedule of
  offerings is being developed.
• Custom support efforts can be provided for
  Agencies who have funding available for this
  program.