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Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
Dawn Waters
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Dawn Waters

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  • COMMONWEALTH OF VIRGINIA PLACES A HIGH PRIORITY ON PUBLIC SAFETY DUE TO ITS GEOGRAPHIC LOCATION, THE COMMONWEALTH OF VIRGINIA RECOGNIZES THAT IT IS AT RISK FOR NATURAL (COASTLINE, MOUNTAINS/ROCK SLIDES. ETC.) AND MAN-MADE DISASTERS (NORTHERN VIRGINIA’S PROXIMITY TO WASHINGTON DC
  • NOVEMBER 2005 – VIRGINIA BECAME THE 5 TH STATE IN THE NATION TO RECEIVE FULL ACCREDITATION BY THE EMERGENCY MANAGEMENT ACCREDITATION PROGRAM EMAP IS A VOLUNTARY ACCREDITATION PROCESS DEMONSTRATING THE AN EMERGENCY MANAGEMENT PROGRAM MEETS NATIONAL STANDARDS BY: DOCUMENTING COMPLIANCE WITH 58 NATIONAL STANDARDS (BASED ON NFPA 1600 STANDARD ON DISASTER/EMERGENCY MANAGEMENT AND BUSINESS CONTINUITY PROGRAMS) … IN 15 FUNCTIONAL AREAS INCLUDING PLANNING & PROCEDURES; RESOURCE MANAGEMENT; TRAINING; EXERCISES; EVALUATIONS & CORRECTIVE ACTIONS; COMMUNICATIONS & WARNING
  • § 44-146.18 OF THE CODE OF VIRGINIA, PLACES VIRGINIA DEPARTMENT OF EMERGENCY MANAGEMENT (VDEM) IN CHARGE OF PROVIDING GUIDANCE & ASSISTANCE TO STATE AGENCIES & LOCALITIES IN DEVELOPING & MAINTAINING COOP PROGRAMS, PLANS & SYSTEMS 7 VOLUMES INCLUDE: BASIC PLAN; DISASTER RECOVERY; RADIOLOGICAL EMERGENCY RESPONSE; HAZARDOUS MATERIALS & TERRORISM CONSEQUENCE MANAGEMENT; HURRICAN EMERGENCY RESPONSE; STANDARD HAZARD MITIGATION PLAN; AND VDOT EMERGENCY OPERATIONS
  • CORNERSTONE OF PREPAREDNESS IS CONTINUITY OF OPERATIONS PLAN
  • THE FIVE R’S
  • DPOR UTILIZED A STANDARD PLANNING MODEL ORIGINALLY PRESENTED BY COOP CONSULTING LLC – PRIOR TO INTEGRATION OF VDEM ENHANCEMENTS
  • EXAMPLE OF INFORMATION GATHERING ACTIVITIES CONDUCTED BY DPOR INCLUDE DETERMINATION OF THE DEPT’S OPERATIONAL “Vulnerability” BY CALCULATING THE RISK FACTORS (MITIGATION LEVEL*RISK LEVEL) (>=4 poses highest risk to DPOR)
  • ADDITIONAL INFORMATION GATHERING INVOLVED ASSESSMENT OF ENVIRONMENTAL THREATS BASED ON THE PHYSICAL LOCATION OF THE DEPARTMENT - OTHER RISKS INCLUDE LANDSLIDE=.49; WILDFIRE=.24; HURRICANE=.02
  • MORE INFO GATHERING INCLUDED THE DETERMINATION OF FUNCTIONS TO BE RESUMED FOLLOWING A SERVICE DISRUPTION & THE ORDER IN WHICH THEY WILL RESUME
  • IDENTIFY PRIMARY AGENCY FUNCTIONS
  • Organizational Impact The loss of the function would have the following effect on DPOR: Major effect on all DPOR Major effect on some of DPOR Moderate effect on all DPOR Moderate effect on some of DPOR Minor effect on DPOR Division Impact How long can each function be performed without the usual data processing support? (Assuming this happens during the busiest period) Up to one day Up to three days Up to one week Up to one month More than a month Peak Times Indicate the peak month of the year, if any, for each function. None, Jan-Dec Peak Load Considerations Are there any other? Continuity Procedures Have you developed any continuity procedures, manual or otherwise, that can be used to continue operations in the event of a disaster? No/Yes If yes, when were procedures last tested? Legal Ramifications Loss of the function would have legal ramifications due to statutory requirements, regulatory requirements, contractual agreements, etc. No/Yes Peak load considerations
  • PRIORITY RESUMPTION (ASAP)
  • Roles/essential functions vary according to agency’s mission – essential functions of State Police are radically different from those of a Regulatory Agency Provide vital services Exercise civil authority Maintain the safety & well-being of the general public Sustain the economic base in an emergency Initiated when normal channels of direction are interrupted and terminates when normal channels resume In the agency head’s absence… Pre-designation of authority for making policy determinations Pre-designation of authority for making decisions that are critical to rapid response and recovery Orders of Succession – order in which staff moves into key positions during the response and recovery effort Chief Deputy, DD CID, DD LRD, DD A&F All orders of succession within work units follow Organizational Charts to ensure Department’s ability to perform essential functions Communications – availability of critical comm systems (cell phones, Internet connections, etc.) and documentation of contact info (agency phone list, critical contact lists, etc. Alternate facilities – support essential operations in a threat-free environment – we integrate “work at home with temporary use of an alternate site” Ready availability of documents, references, records & info systems critical to resume/support essential functions – ALREADY IDENTIFIED AS PART OF THE DEPARTMENTS RECORDS MANAGEMENT PROGRAM - EVOLVING INTO A PAPERLESS ORGANIZATION TT&E to demonstrate and improve the ability of agencies to execute their COOP
  • WHAT’S NEXT? MOVE TO CRISIS MANAGEMENT TEAM ACTIVATION DECISION – BUSINESS CONTINUITY TEAMS ACTIVATION
  • Plans, procedures & schedules to transfer activities, personnel, records & equipment to alternate facilities Commence execution of essential operations at alternate facilities Operations terminate at the alternate site & normal ops resume at a permanent business location
  • DESIGN & DOCUMENTATION – WE USE THE BCT APPROACH IN WHICH RESPONSE & RECOVERY EFFORTS ARE SEGMENTED TO DIFFERENT TEAMS BASED ON THEIR EXPERTISE AND OPERATIONAL ROLES Immediate Response Team (IRT) Formed immediately following a disaster, to initiate the response & recovery process Crisis Management Team (CRT) Senior Management Team, controls & directs the COOP recovery process Administration Team (ADMT) Individuals knowledgeable in administrative functions, provides critical support at temporary facility during recovery Damage Assessment & Reconstruction Team (DART) Individuals knowledgeable in facilities & hardware management, controls & directs the facilities recovery process to restore the permanent work environment Information Systems Team (IST) IT staff, provides critical information systems support during the recovery process Voice & Data Team (VADT) Individuals familiar with DPOR telecommunications structure, provides critical telecom support during recovery Core Business Teams (CBT-CID & CBT-LRD) Individuals knowledgeable about the Department’s core business functions, the teams share common skills & work together to continue enforcement & licensing mission Institutional Support Team (INST) Various support staff, provides services & support to the critical function & recovery teams
  • UPON COMPLETION OF THE PLAN, CONSIDERABLE EFFORT MUST BE INVESTED IN EXERCISING/TESTING THE PLAN ON A PERIODIC BASIS AND MAINTAINING THE PLAN TO KEEP IT CURRENT (REFLECT FACILITY, RESOURCE, STAFF, ETC. CHANGES)
  • Transcript

    • 1. Disaster Preparedness II: Planning for the Future Dawn Waters VA Department of Professional & Occupational Regulation 2006 Annual Conference Alexandria, Virginia Council on Licensure, Enforcement and Regulation Expect the Unexpected: Are We Clearly Prepared?
    • 2. Virginia’s Commitment to Preparedness
    • 3. EMAP Accreditation in 2005 <ul><li>Fifth state in the nation to receive full accreditation </li></ul><ul><li>http://www.emaponline.org </li></ul><ul><li>Currently nine accredited jurisdictions: </li></ul><ul><ul><li>Arizona </li></ul></ul><ul><ul><li>Washington DC </li></ul></ul><ul><ul><li>Florida </li></ul></ul><ul><ul><li>North Dakota </li></ul></ul><ul><ul><li>Virginia </li></ul></ul><ul><ul><li>Pennsylvania </li></ul></ul><ul><ul><li>Jacksonville/Duval County FLA (city/county) </li></ul></ul><ul><ul><li>Illinois </li></ul></ul><ul><ul><li>Montana </li></ul></ul>
    • 4. VA Department of Emergency Management <ul><li>Coordinates emergency planning in the Commonwealth of Virginia </li></ul><ul><li>Statewide Emergency Response Plans (7 volumes) </li></ul><ul><li>Conducts periodic training for state and local emergency planners </li></ul><ul><li>Provides VA citizenry, state agencies, and localities with: </li></ul><ul><ul><li>Tool Kits </li></ul></ul><ul><ul><li>Training Manuals </li></ul></ul><ul><ul><li>Reference Materials </li></ul></ul>
    • 5. VDEM Web Site <ul><li>About VDEM </li></ul><ul><li>What do they do? </li></ul><ul><li>Preparedness </li></ul><ul><li>Response </li></ul><ul><li>Recovery </li></ul><ul><li>Mitigation </li></ul>
    • 6. Continuity of Operations Planning COOP <ul><li>Government-wide initiative </li></ul><ul><ul><li>Federal, state and local government </li></ul></ul><ul><li>Created to ensure the ability of government agencies to fulfill their essential roles and functions in response to a wide range of threats </li></ul>
    • 7. COOP Focus <ul><li>R esponse </li></ul><ul><li>R ecovery </li></ul><ul><li>R esumption </li></ul><ul><li>R econstruction </li></ul><ul><li>R elocation </li></ul>
    • 8. DPOR’s COOP Planning Model Pink  Completed Blue  Scheduled Annually Green  On-going Phase I Project Initiation Phase II Information Gathering Phase III Strategy Options Analysis Phase IV Design & Documentation Phase V Exercising Phase VI Maintaining
    • 9. Information Gathering – Risk Analysis <ul><li>Building Features </li></ul><ul><li>Surrounding Area </li></ul><ul><li>Fire Protection </li></ul><ul><li>Security </li></ul><ul><li>Vital Records </li></ul><ul><ul><li>Electronic & Non-electronic </li></ul></ul><ul><li>Human Resources </li></ul><ul><li>Department Work Areas </li></ul><ul><li>Computer & Technical Facilities </li></ul><ul><li>IT Due Diligence </li></ul><ul><li>Telecommunications </li></ul><ul><li>Power Backup </li></ul><ul><li>Parking </li></ul><ul><li>Transportation </li></ul><ul><li>Internet Security </li></ul><ul><li>eCommerce </li></ul>
    • 10. Jurisdictional/Environmental Threats <ul><li>Identified for each state entity by Center for Geospatial Information Technology @ VA Tech </li></ul><ul><li>Risk expressed as number between 0 and 1 (0=lowest & 1=highest) </li></ul><ul><li>Example: DPOR’s Winter Storm Risk (in Richmond, VA) is .37 </li></ul>
    • 11. Identifying Essential Functions <ul><li>Identify all functions then determine what must always be continued </li></ul><ul><li>Prioritize the essential functions </li></ul><ul><li>Establish staffing & resource requirements </li></ul><ul><li>Identify needed date & systems </li></ul><ul><li>Defer non-essential functions </li></ul><ul><li>Integrate supporting activities </li></ul>
    • 12. DPOR’S Functional Organization Chart
    • 13. Impact Analysis <ul><li>Organizational Impact </li></ul><ul><li>Division Impact </li></ul><ul><li>Peak Times </li></ul><ul><li>Peak Load Considerations </li></ul><ul><li>Continuity Procedures </li></ul><ul><li>Legal Ramifications </li></ul>
    • 14. DPOR’s Level 1 Functions <ul><li>Employee Benefits </li></ul><ul><li>Facilities Management (includes Security) </li></ul><ul><li>Systems Engineering (IS) </li></ul><ul><li>Operations & User Support (IS) </li></ul><ul><li>Internal Communication </li></ul><ul><li>Mail Processing </li></ul><ul><li>Media Relations </li></ul><ul><li>Payroll </li></ul><ul><li>Public Information </li></ul><ul><li>Purchasing/Procurement </li></ul><ul><li>Reception </li></ul><ul><li>Telecommunications </li></ul>
    • 15. Level 2 Functions <ul><li>Accounts Payable </li></ul><ul><li>Accounts Receivable </li></ul><ul><li>Applications Receipt </li></ul><ul><li>Board Minutes (FOIA) </li></ul><ul><li>Certifications & Information Requests (FOIA) </li></ul><ul><li>Customer Assistance </li></ul><ul><li>FOIA & License Transcripts </li></ul><ul><li>Complaint Intake </li></ul><ul><li>Inventory Management </li></ul><ul><li>Legislative Analysis </li></ul><ul><li>Legislation (RPD) </li></ul><ul><li>Subpoena Log & Distribution </li></ul><ul><li>Systems Development </li></ul>
    • 16. Level 3 Functions <ul><li>Exam Administration </li></ul><ul><li>Exam Application Processing </li></ul><ul><li>Exam Coordination </li></ul><ul><li>Exam Results Processing </li></ul><ul><li>Investigations </li></ul><ul><li>License Processing </li></ul><ul><li>Record Management </li></ul><ul><li>Recovery Fund </li></ul>
    • 17. Level 4 Functions <ul><li>Adjudication </li></ul><ul><li>Administrative Proceedings </li></ul><ul><li>Alternative Dispute Resolution </li></ul><ul><li>Board Administration </li></ul><ul><li>Board Agenda Preparation </li></ul><ul><li>Budgeting </li></ul><ul><li>Cause Determination (Fair Housing) </li></ul><ul><li>Cost Allocation </li></ul><ul><li>Disciplinary Compliance & Recording </li></ul><ul><li>Property Registration </li></ul>
    • 18. Level 5 Functions <ul><li>Applications Scanning </li></ul><ul><li>Education Coordination </li></ul><ul><li>Enforcement & Agenda Materials Scanning </li></ul><ul><li>Fair Housing Outreach & Training </li></ul><ul><li>Financial Compliance Reporting </li></ul><ul><li>Management & Financial Analysis </li></ul><ul><li>Planning & Project Management </li></ul><ul><li>Policy Development </li></ul><ul><li>Regulation Promulgation </li></ul>
    • 19. Elements of a Viable COOP <ul><li>Identification of essential functions </li></ul><ul><li>Delegation of Authority </li></ul><ul><li>Orders of Succession </li></ul><ul><li>Interoperable Communications </li></ul><ul><li>Alternate Facilities </li></ul><ul><li>Vital Records & Databases </li></ul><ul><li>Human Capital Considerations </li></ul><ul><li>Tests, Training & Exercises </li></ul>
    • 20. An emergency occurs… EVENT Crisis Management Team Activate COOP??? Business Continuity Teams Activated Functional Recovery Teams Activated Yes EMERGENCY RESPONSE Resume Normal Operations No
    • 21. 3 Phases of COOP “Activation” <ul><li>Activation & Relocation </li></ul><ul><li>Alternate Facility Operations </li></ul><ul><li>Reconstitution </li></ul>
    • 22. COOP Business Continuity Teams <ul><li>Immediate Response Team </li></ul><ul><li>Crisis Management Team </li></ul><ul><li>Administration Team </li></ul><ul><li>Damage Assessment & Reconstruction Team </li></ul><ul><li>Information Systems Team </li></ul><ul><li>Voice & Data Team </li></ul><ul><li>Core Business Teams </li></ul><ul><li>Institutional Support Team </li></ul><ul><li>Functional (work unit) Teams </li></ul>
    • 23. COOP Communications Crisis Management Team (CMT) Damage Assessment & Reconstruction Team (DART) Information Systems Team (IST) Administration Team (ADMT) Voice & Data Team (VADT) Institutional Support Teams (INST) Core Business Teams (CBT) Function Recovery Teams (FRT) Immediate Response Team (IRT)
    • 24. DPOR’s COOP Planning Model Pink  Completed Blue  Scheduled Annually Green  On-going Phase I Project Initiation Phase II Information Gathering Phase III Strategy Options Analysis Phase IV Design & Documentation Phase V Exercising Phase VI Maintaining
    • 25. Speaker Contact Information <ul><li>Dawn Z. Waters </li></ul><ul><li>Virginia Department of Professional & Occupational Regulation </li></ul><ul><li>3600 West Broad St., Richmond, VA 23230 </li></ul><ul><li>Phone: 804-367-8583, Fax: 804-367-7024 </li></ul><ul><li>[email_address] </li></ul><ul><li>www.dpor.virginia.gov </li></ul>

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