Bcp coop training taxpayer services 1-15-09


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  • This is why Bruce exists!
    Richard Johnson decided the county needed a plan – had executive backing from the beginning.
  • When we first started, business impact analysis & risk assessment were the first step
    Cycle – we think this will be about a 5-7 cycle, but don’t quote us on that!
  • Executive Sponsor: Richard Johnson said we’re doing it!
  • First step was business impact analysis -
  • They collected Finnish information, and some swedish and norwegian too…
  • This is the reason you’re here! It only took an hour to find out why you skipped lunch, right?
  • Teams define who’s responsible for what
  • What to do when – each of the team sections has a checklist. We made this as simple as possible – we assumed that you would be dragged out of bed at 3am and that there would be no coffee.
  • Priority Service Level One. Generally, these would include agencies and facilities that operate 24 hours a day and/or 7 days a week. (If the service closes on a weekend or holiday, it is not a Priority Service One function.)
    Priority Service Level Two Activities that can be disrupted temporarily or might be periodic in nature, but must be re-established within a few days.
    Priority Service Level Three Activities that can be disrupted temporarily (a few days or weeks) but must be re-established sometime before the pandemic wave is over (<6 weeks).
    Priority Service Level Four services that could be suspended during an emergency and are not required by law or rule): Activities that can be deferred for the duration of a pandemic influenza wave (6-8 weeks).
  • Bcp coop training taxpayer services 1-15-09

    1. 1. Continuity of Operations A Introduction to Taxpayer Services’ Business Continuity Plan OR… What the heck is it? And why do we need a plan?
    2. 2. WelcomeWelcome Rules of EngagementRules of Engagement IntroductionsIntroductions AgendaAgenda
    3. 3. Significance of COOP Planning
    4. 4. The World Trade CenterThe World Trade Center Building 7Building 7
    5. 5. At precisely the time when this office had aAt precisely the time when this office had a critical service to deliver to the citizenry, theycritical service to deliver to the citizenry, they were faced with a severe crisis - the loss ofwere faced with a severe crisis - the loss of their facility and its operational capabilitytheir facility and its operational capability
    6. 6. The office was able to re-establish an EmergencyThe office was able to re-establish an Emergency Operations Center at Pier 92, just three days afterOperations Center at Pier 92, just three days after the collapse.the collapse.
    7. 7. Probability (likelihood that an incident will occur), frequency (how often an incident occurs), and severity (impact of an incident) are factors that weigh heavily into COOP planning. COOP Planning
    8. 8. This is the reason why COOPThis is the reason why COOP planningplanning mustmust address the fulladdress the full range of scenarios. (All Hazards)range of scenarios. (All Hazards) COOP Planning
    9. 9. COOP Planning Includes… • The safety of personnel and visitorsThe safety of personnel and visitors • The ability to continue essential operationsThe ability to continue essential operations • And provisions for the protection of:And provisions for the protection of: − Critical equipmentCritical equipment − Critical recordsCritical records − Other assetsOther assets
    10. 10. COOP Planning Includes… • Efforts to minimize damage and losses.Efforts to minimize damage and losses. • Provisions for an orderly response andProvisions for an orderly response and recovery from any incident.recovery from any incident. • A foundation for the continued survival ofA foundation for the continued survival of leadership.leadership.
    11. 11. The consequences ofThe consequences of notnot developing a COOPdeveloping a COOP capability are very high, as demonstrated bycapability are very high, as demonstrated by the response efforts on September 11, 2001.the response efforts on September 11, 2001. Legal Ramifications
    12. 12. COOP Plan • The plan should have provisions or procedures for the following: − Relocation sites for alternate operations − For maintaining operations − For Recovery and return to normal operations − For Vital record maintenance and back-up provisions / procedures − For staff notification
    13. 13. COOP Elements • Outline Phases of COOP to include: − Activation procedures − Alternate operations (sites) − Reconstitution and termination − Annexes with detailed information on each of the essential elements − Procedures for implementation, according to the magnitude of the incident should also be included
    14. 14. Questions?
    15. 15. The Evolution of Hennepin County’s Business Continuity Plan
    16. 16. Before Business Continuity PlanningBefore Business Continuity Planning
    17. 17. In the Beginning • The Year Was 2003… • Richard Johnson (then Deputy County Administrator) decided that… − Hennepin County needed a plan to continue business even after a disaster − We would hire a consultant to write it − We would train one employee to supervise it
    18. 18. Business Impact Analysis & Risk Assessment Plan Testing Recovery Strategies Plan Development The Evolutionary Cycle of the BCP
    19. 19. What We Needed to Accomplish 1. Business Impact Analysis 2. Strategies 3. Emergency Response 4. Develop a County Plan • Departmental Plans 1. Develop Awareness & Training Programs 2. Maintenance Program
    20. 20. Who Would Do All of This?
    21. 21. The Bottom Line • Nobody knows what we do better than us so… • We (Hennepin County) have to write the plan • The consultants will… • Organize the work • Develop time line and... • Supply the format
    22. 22. A Little Help From Our Friends Business Impact Analysis • Conducted by Intertech, a division of the Department of Administration, State of Minnesota County Plan and Recovery Strategies • Prepared by LBL Partners
    23. 23. Business Impact Analysis • What were the business functions each department performed? • Which functions were critical? • Which functions had to be recovered first? • Recovery Time Objectives First Things First
    24. 24. Information Collection • Intertech conducted hundreds of interviews with HC personnel to determine each Department’s: • Prioritized Services, Processes and Functions. • Estimate Recovery Time Objectives (RTO). • Determine Resource Requirements. • Business Impact Analysis Complete: June 2005
    25. 25. So… • Business Impact Analysis • Strategies • Emergency Response • Develop a County Plan • Departmental Plans • Develop Awareness and Training Programs • Maintenance Program NEXT
    26. 26. • LBL • Furnished the template • Established deadlines for section completion • Collected final information • Assisted HC Departments with writing • Provided the software for housing the Plans • Plans Basically Complete: Fall of 2007 • Plans are kept in ContingencyPro software program on a HC Server
    27. 27. Today • Plan Map • Business Impact Analysis • Strategies • Emergency Response • Develop a County Plan • Develop Awareness and Training Programs • Maintenance Program
    28. 28. Today • Our end product is sitting in front of you! • Points to remember as we move forward • It took a long time and a lot of work to produce • It’s our plan, to update and maintain • We need to make it work in times of crisis • Let’s hope we never need it!!
    29. 29. Incident Command for Managers And… What We Can Learn From Fire Departments
    30. 30. Managers Often Need To… • Manage IncidentsManage Incidents − Security incidentsSecurity incidents − Service outagesService outages − Infrastructure failuresInfrastructure failures − Power failuresPower failures − Cooling failuresCooling failures − Connectivity failuresConnectivity failures − …… and so forthand so forth
    31. 31. Who manages emergencies daily? • Public Safety AgenciesPublic Safety Agencies − Fire departmentsFire departments − Urban & suburbanUrban & suburban − Forest & wildlandForest & wildland − Police departmentsPolice departments − Coast GuardCoast Guard − …… etc.etc.
    32. 32. How do Public Safety agencies… • Organize themselves on the fly to deal withOrganize themselves on the fly to deal with a major incident?a major incident? • Quickly and effectively coordinate theQuickly and effectively coordinate the efforts of multiple agencies?efforts of multiple agencies? • Evolve the organization as the incidentEvolve the organization as the incident changes in scope, scale, or focus?changes in scope, scale, or focus? What could managers learn from this?
    33. 33. For Example… • Car hits a fire hydrant – the car’s occupants are trapped and injured • Water from hydrant floods an underground electrical transformer, causing a short circuit and an outage • Who might be involved in response? − Fire Dept: rescue trapped occupants − Ambulance Service: treat & transport victims − Police Dept: direct traffic & investigate − Water Dept: shut off hydrant − Electric Co: deal with flooded transformer How do you manage all of that?
    34. 34. What needs to get done? • The ambulance crew needs to treat & transport victims • But first, the fire department needs to extricate them from wreckage • Before the fire department can do that, the water company needs to shut off the water • Which they can't do until the electric company safes the flooded transformer.
    35. 35. . How do you organize this? • Who is in charge? • How do they figure out what needs to be done and who can do it? • How do assignments get made, so that everything necessary gets done? • No effort gets duplicated • Everything is done safely
    36. 36. An Even Bigger Example… • Southern California Wildfires − Fast-changing situation − Fire grows and moves as weather and winds shift − Plan evolves as situation & resources change − Many agencies involved Firefighters from dozens of cities, plus CDF, USFS, BLM, and military − Airborne water drop, transport, & scouting − Law enforcement to deal with residents − Support units (medical, kitchens, camps, fuel, etc.)
    37. 37. What do these types of incidents have in common? • Time matters – need to respond quickly • Situation not perfectly understood at start • Learn as you go, and adjust on the fly • Resources change over time • People come and go; not all together at start • Need ways to bring newcomers up to speed • Need ways to transfer responsibilities
    38. 38. So, what’s the Incident Command System? • The Incident Command System (ICS) is… − Standardized organizational structure and set of operating principles, tools for command, control, and coordination of a response to an incident − Provides means to coordinate efforts of multiple parties toward common goals − Uses principles that have been proven to improve efficiency and effectiveness
    39. 39. History of ICS • Developed in 1970 to coordinate agencies dealing with yearly Southern California wildfires • Has since evolved into national standard • Now used by nearly all US public safety agencies • Mandated by Dept of Homeland Security in order to obtain State/Federal funding
    40. 40. 1. Modular and scalable organizational structure 2. Manageable span of control 3. Unity of command 4. Explicit transfers of responsibility 5. Clear communications 6. Consolidated incident action plans 7. Management by objective 8. Comprehensive resource management 9. Designated incident facilities Key ICS Principles
    41. 41. 1 - Modular & Scalable • Command − Operations − Logistics − Planning/Status − Admin/Finance • Command functions are activated as needed for a particular incident • All incidents will have a Command section • Almost all will have an Operations section • Rest of sections are used on larger/longer incidents
    42. 42. 1 – Modular and Scaleable • Command − Incident Commander (IC) responsible for overall management of incident − Incident Commander initially also performs all four section chief roles until each is designated to somebody else • Operations • Logistics • Planning/Status • Admin/Finance
    43. 43. 1 – Modular and Scaleable • Operations − This is where the real work happens − Operations develops and executes plans to achieve the objectives set by Command − Assists Command in development of Consolidated Incident Action Plan − Typically biggest section, by number of people − Operations focuses on now; Planning worries about later
    44. 44. 1 – Modular and Scaleable • Logistics − Responsible for obtaining all resources, services and support required to deal with the incident − Responsibilities include facilities, supplies, transportation, equipment maintenance and fueling, feeding and medical care of incident response personnel, etc. − Is more important on large, long-running incidents; may not be needed on small or short incidents
    45. 45. 1 – Modular and Scaleable • Planning/Status − Collects & evaluates info needed to prepare Incident Action Plan (IAP) − Forecasts probable course of incident − Plans for next day, next week, etc. (IAP) − Keeps track of what has been done, and what still needs to be done − Keeps “current status & plans” info up to date, so that new arrivals can brief themselves
    46. 46. 1 – Modular and Scaleable • Admin/Finance − Responsible for tracking incident-related costs, including time & materials, if necessary for reimbursement − Also administers procurements arranged by Logistics − Usually only activated on the very largest and longest-running incidents
    47. 47. 1 – Modular and Scaleable • Growing the Incident Command System − Initially, the most experienced first responder is the Incident Commander (IC) − IC responsibility may transfer to somebody else later as incident grows, but isn't automatic − Generally better to keep the same IC if feasible − If IC transfer does happen, it needs to be explicit (face to face)
    48. 48. 2 – Manageable Span of Control • Each supervisor should have no more than 3 – 7 subordinates • 5 is ideal • When necessary as organization grows, create new levels − Division might be functional or geographic
    49. 49. 3 – Unity of Command • On incident, each person has 1 boss • Strict tree structure, all the way to the top • Everybody knows who they work for • Makes communication & coordination easier, up /down tree as organization grows & changes • Reduces freelancing
    50. 50. 4 – Explicit Transfer of Responsibility • Changes to organization are made explicitly and announced • More senior person doesn't automatically take over IC upon arrival • Person already in place is often better suited to handle the current situation, and certainly is more up to speed • Planning/Status keeps overall organizational chart updated
    51. 51. 5 – Clear Communications • Communicate clearly and completely, not in code (Uses Plain English!) • Reduces potential for confusion • Reduces time spent clarifying • Talk directly to resources, when possible
    52. 52. 6 – Consolidated Action Plans • Command communicates top-level action plan for current operational period (hour, shift, day, etc.) 6 – 12 – 24 hour operational periods • Plan states, at a high level, what organization is trying to accomplish right now • Written plan is best • Makes it easier to keep everybody on target • Makes it easier for new arrivals to brief themselves • Rule of thumb: if it crosses organizational or specialty boundaries, write it down
    53. 53. 7 – Management By Objective • Tell people what you want them to accomplish, not how • Let them figure out how to get it done • Gives them room to flexibly and creatively cope with changing circumstances • Is generally faster to communicate, and the folks doing the work may know a better way than you
    54. 54. 8 – Comprehensive Resource Management • All assets & personnel need to be tracked so… • New resources can be used most effectively • Existing resources can be relieved • Avoids duplication • Folks should “sign in” through Admin function, then wait for assignment • Helps ensure people are put to best use
    55. 55. 9 – Designated Incident Facilities • Command Post is key facility to identify - that's where everybody can expect to find IC • If IC needs to leave Command Post, needs to transfer IC responsibility (temporarily or permanently) to someone who'll still be there • EOC coordinates information & communication • Also useful to designate “staging area” for new resources to report to upon arrival, for sign-in and assignment; may be at Command Post
    56. 56. ICS Tips • Establish ICS early in an incident, If you get off to a disorganized start, you'll be playing catch-up forever • Think of ICS as a toolbox full of tools − Choose tools you need for the incident at hand − Keep it simple • Practice ICS at every opportunity If you use it for “routine” and pre-planned events like moves, social events or elections your dept. will be more comfortable using it for “surprise” events
    57. 57. Remember… • The ICS organization changes as the situation and resources change • Following the ICS principles gives you a way to keep it all under control • You can keep the ICS going – indefinitely, if needed
    58. 58. 5 Minute Break?
    59. 59. Format • In between Cover and Glossary there are 16 sections • Open your plans to: − Section 1, The Table of Contents • If you are having a touch of insomnia please feel free to take this plan home!
    60. 60. What’s Important • Directions on how we are to recover • How we are organized- Section 4 • Recovery Teams • What we have to recover- Section 7 • Critical Tasks • Recovery Time Objectives (RTO)
    61. 61. What’s Important • Who is on what team – Forms Tab (Section 11) • What to do when • Checklists • Management Recovery Team – Section 5 • Logistics Recovery Team - Section 6 • Operations Recovery Team – Section 7 • Technology Recovery Team – 8
    62. 62. Recovery Teams • To facilitate recovery and bring the County back to normalcy the Business Continuity Plan calls for the formation of FOUR TEAMS: • Management • Logistics • Technology • Operations
    63. 63. Recovery Team Basics • Emergencies require a coordinated response and each occurrence must be managed in a way that fosters consistency of effort and contains the damage • The Recovery Teams are organized to address all issues related to an emergency and they are authorized to make specific decisions relative to recovery efforts.
    64. 64. Management Recovery Team • Activating all or part of the DepartmentActivating all or part of the Department Business Continuity PlanBusiness Continuity Plan • Providing strategic direction to DepartmentProviding strategic direction to Department Recovery Teams & personnelRecovery Teams & personnel • Prioritizing objectives, actions & activitiesPrioritizing objectives, actions & activities
    65. 65. Logistics Recovery Team • Determining immediate operating needs • Arranging for alternate facilities, if needed • Arranging for basic support services • Obtaining office equipment as necessary • Arranging transportation, travel and food • Arranging for temporary personnel
    66. 66. Technology Recovery Team • Coordinating repairs • Restoring network equipment • Restoring the data communications network • Restoring systems to operational status • Restoring system databases and files from backup copies of electronic media • Reconstituting to normal operations
    67. 67. Operations Recovery Team • Initiating alternate procedures • Executing BCP procedures • Performing critical business functions • Reconstructing data • Reconstituting to normal operations
    68. 68. Section 7 The Heart & Soul of the Plan
    69. 69. Section 7 • In the event of disaster it is important that we continue to perform the critical business processes/functions identified in this Business Continuity Plan. • Section 7 contains the interim and restoration procedures for the critical business functions and tasks that support these processes. • The Operations Recovery Team will use this information to ensure that the staff is able to perform the critical business functions in a timely manner.
    70. 70. Priority Service Levels • Each division has been assigned a Priority Service Level (One – Four) • These priority services levels have been determined and categorized by the State of Minnesota • Indicate the priority order in which services should be performed in the event a disaster impacts Hennepin County
    71. 71. Priority Service Levels Defined • Priority Service Level One: Immediate threat to public health, safety or welfare • Priority Service Level Two: Direct economic impact, constitutionally or statutorily mandated time frame or civil disorder may develop if not performed in a few days • Priority Service Level Three: Regulatory services required by law, rule or order that can be suspended or delayed by law or rule during an emergency • Priority Service Level Four: All other services
    72. 72. Discussion of Your Plan • Open your plan to Section 7, Page 8 • What level of priority has been assigned to your services? • What are your critical functions? • Do you agree with them? • Does anything need to change?
    73. 73. Musical Chairs Your Recovery Teams
    74. 74. Continuity of OperationsContinuity of Operations A Tabletop Exercise
    75. 75. • This exercise is a learning opportunity – it is not a test • You are encouraged to think out loud and “outside of the box” • Expect to identify some issues or problems that we cannot resolve today • No one is expected to have all the answers – there are no “gotchas!” • HAVE fun!! Table Top Exercise
    76. 76. The Scenario • Hennepin County Government Center • 7:30AM on a Tuesday • Fire on the “D” level involving electrical transformers containing PCB’s • HCGC A Tower will not be available for four to five days • There is no access to the tower to recover records, computers or personal items
    77. 77. Questions to Discuss • On what basis is the BCP activated?On what basis is the BCP activated? − When?When? − By Whom?By Whom? • Who needs to be notified or involved?Who needs to be notified or involved? • What documents and information do youWhat documents and information do you need to resume operations?need to resume operations? • What alternate sites could be used toWhat alternate sites could be used to resume operations?resume operations?
    78. 78. The Scenario • Building officials state that entry might not be possible for 3 – 4 months • Officials consider everything in the building contaminated • All other departments in the building are also not allowed inside the building
    79. 79. • Where are your alternate sites?Where are your alternate sites? • Who are the essential employees thatWho are the essential employees that need to be called in?need to be called in? • Estimate how long it would take toEstimate how long it would take to resume essential services!resume essential services! Questions to Discuss
    80. 80. Questions?
    81. 81. Hot Wash