Continuity of Operations Planning for Small Airports (2016)

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139 APPENDIX K Sample 5—Continuity of Operations Planning for Minneapolis-St. Paul International Airport CONTINUITY OF OPERATIONS PLANNING (COOP) COOP Overview Continuity of Operations is an initiative to ensure that the MAC is able to continue to perform its essential functions under a broad range of circumstances. It is an effort within individual departments and agencies to ensure continuity of their essential functions. The COOP must: • Be capable of being implemented with and without warning • Be operational no later than 12 hours after activation • Be capable of maintaining sustained operations for up to 30 days • Include regularly scheduled testing, training, and exercising of personnel, equipment, systems, processes, and proce- dures used to support MSP during a COOP event • Identify alternate facilities in areas where the ability to initiate, maintain, and terminate COOP is optimal • Give consideration to options such as telecommuting, work-at-home, and shared facilities During a COOP situation, employees will need to focus on maintaining essential functions. This focus will be disrupted as the employees are also concerned about their families’ safety and security. MAC management should encourage all person- nel to plan for their families’ safety and security during COOP operations. All personnel should ensure their families have a “Go Kit” that is readily accessible in case of an emergency. At a minimum, the family Go Kit should include personal items and necessities (including medicines), financial and legal documents that cannot be replaced easily, and the name and phone number of an out-of-area contact. During an emergency, employees and their families will appreciate knowing that the MAC is concerned for safety. The COOP program should include: • Processes for activating an emergency information call-in number for employees to get information about airport opera- tions, pay and benefits, and other items of interest • A process for accounting for and tracking all employees. As the COOP situation progresses, it may be possible to expand operations. It is important to be able to account for and track employees so they can be reached if needed. • Provisions for providing guidance and assistance to employees and their families. Anticipating questions and providing guidance will help employees focus on their work, while being assured that their families are taken care of. Elements of a Viable COOP 1. Essential functions 2. Delegations of authority 3. Succession planning 4. Alternate facilities 5. Interoperable communications 6. Vital records and databases 7. Human capital

140 8. A test, training, and exercise program 9. Plans for devolution and reconstitution Essential Functions Essential functions are those functions that enable the MAC to provide vital services, exercise civil authority, maintain the safety of the general public, and sustain the economic base during an emergency. In other words, essential functions are an agency’s business functions that must continue with no or minimal disruption. The MAC determines what its essential functions are by considering its customers and their needs. Assigning a priority to customer needs helps to distinguish between essential and non-essential needs—and thus, the MAC’s essential and non- essential functions. When identifying essential functions, the MAC should consider (1) functions that must be continued in all circumstances, and (2) those functions that cannot suffer an interruption for more than 12 hours. The MAC must be able to continue essential functions within 12 hours and be capable of sustaining essential functions for up to 30 days. In addition, any function required by law or Presidential Directive should be considered an essential function. Once all essential functions are identified, each function should be prioritized. Delegations of Authority Delegations of Authority are formal documents that specify the activities that those who are authorized to act on behalf of the MAC may perform. They document the legal authority for officials to make key policy decisions during a COOP situation. Delegations of authority are not exclusive to COOP but are necessary for day-to-day operations and should be determined before an emergency to ensure continued operations of critical functions. All delegations of authority state specifically: • The authority that is being delegated, including any exceptions • The limits of that authority • To whom the authority is being delegated (by title, not name) • The circumstances under which delegated authorities would become effective and when they would terminate • The successor’s authority to redelegate those functions and activities. Succession Planning Succession to office is critical in the event the MAC’s leadership is unavailable, debilitated, or incapable of performing their legally authorized duties, roles, and responsibilities. Orders of succession provide for the orderly and predefined assumption of senior positions during an emergency in the event that any official is unavailable to execute his or her legal duties. Like delegations of authority, orders of succession are not merely a COOP function; they should be developed to support day-to-day operations and should be at least three deep. Alternate Facilities If COOP activation is required, there is a possibility that one of the MAC’s operating facilities is unavailable and that essential functions may require relocating. A location other than the normal facility should be identified that can be used to carry out essential functions. Interoperable Communications Alternate communications provide the capability to perform essential functions until normal operations can be resumed. Interoperable communications must support the executive of the agency’s essential functions, ensure the capability to com- municate internally and externally, and permit access to data, systems, and services. They must also be redundant, available within 12 hours of activation or less, and sustainable for up to 30 days.

141 Vital Records and Databases The MAC has documents, files, and other materials that are vital, including plans and directives, delegations of authority, orders of succession, legal and financial records, etc. Responsibility should be established and assigned to develop a records maintenance program and test the program to ensure it works as planned. Human Capital During COOP activation, the MAC will have to perform its essential functions with reduced staffing. The MAC must ensure that all personnel are adequately trained and cross-trained to enable the performance of all essential functions. A Test, Training, and Exercise (TT&E) Program A TT&E program should be a blend of test, training, and exercise events to ensure that it is comprehensive and reflects lessons learned from previous TT&E events. Tests are conducted to evaluate capabilities, not personnel. From a COOP perspective, tests are an excellent way to evaluate functions such as communications connectivities, alert and notification procedures, and deployment procedures. Plans for Devolution and Reconstitution Devolution is the capability to transfer statutory authority and responsibility for essential functions from a primary operating staff and facilities to other employees and facilities. Devolution is sometimes called “fail over.” Devolution addresses catastrophic or other disasters that render the MAC’s leadership and staff unavailable or incapable of performing essential functions from either its primary or alternate facilities. Reconstitution is the process by which surviving and/or replacement personnel resume normal operations from the origi- nal or replacement primary operating facility. The MAC must identify and outline a plan to return to normal operations after senior management or its successors determine that reconstitution operations can begin.