HomeMy WebLinkAbout2021-08-16-I01F 2021 Continuity of Operations PlanAGENDA ITEM:
CITY OF WAUKEE, IOWA
CITY COUNCIL MEETING COMMUNICATION
MEETING DATE: August 16th, 2021
AGENDA ITEM:Consideration of approval of the 2021 City of Waukee Continuity of
Operations Plan (COOP).
FORMAT:Consent Agenda
SYNOPSIS INCLUDING PRO & CON: The City of Waukee Continuity of Operations Plan was
developed to outline the steps to maintain essential operations to the citizens
of Waukee in the event of natural or man-made interruptions to service. The
plan includes activation, outlining of essential functions and the backup
systems in place to protect current infrastructure.
FISCAL IMPACT INCLUDING COST/BENEFIT ANALYSIS: No fiscal impact other than
continuing education and training on emergency management operations.
COMMISSION/BOARD/COMMITTEE COMMENT:
STAFF REVIEW AND COMMENT: Staff recommends approval.
RECOMMENDATION: Approve the resolution.
ATTACHMENTS: I. Proposed Resolution
II. 2021 Continuity of Operations Plan
PREPARED BY: Fire Chief Clint Robinson
REVIEWED BY:
PUBLIC NOTICE INFORMATION –
NAME OF PUBLICATION:
DATE OF PUBLICATION:
I1F
THE CITY OF WAUKEE, IOWA
RESOLUTION 2021-
APPROVING CITY OF WAUKEE CONTINUITY OF OPERATIONS PLAN
IN THE NAME AND BY THE AUTHORITY OF THE CITY OF WAUKEE, IOWA
WHEREAS, the City of Waukee, Dallas County, State of Iowa, is a duly organized Municipal
Organization; AND,
WHEREAS, it is recommended that the City of Waukee establish a Continuity of Operations
Plan to outline the steps to maintain essential operations to the citizens of Waukee in the event of
natural or man-made interruptions to service; AND,
WHEREAS, the City of Waukee Continuity of Operations Plan includes activation, outlining of
essential functions and the backup systems in place to protect current infrastructure.
NOW THEREFORE BE IT RESOLVED by the City Council of the City of Waukee that the
2021 City of Waukee Continuity of Operations Plan is hereby approved.
Passed by the City Council of the City of Waukee, Iowa, and approved the 16th day of August,
2021.
____________________________
Courtney Clarke, Mayor
Attest:
___________________________________
Rebecca D. Schuett, City Clerk
RESULTS OF VOTE: AYE NAY ABSENT ABSTAIN
Anna Bergman Pierce
R. Charles Bottenberg
Chris Crone
Larry R. Lyon
Ben Sinclair
City of Waukee
Continuity of Operations
(COOP) Plan
August, 2021
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TABLE OF CONTENTS
RECORD OF CHANGES 3
EXECUTIVE SUMMARY 4
PURPOSE 5
AUTHORITIES/REFERENCES 5
ASSUMPTIONS 5
CONCEPT OF OPERATIONS 6
ESSENTIAL FUNCTIONS 7
VITAL RECORDS, SYSTEMS, AND EQUIPMENT 10
COOP PLAN INPLEMENTATION 13
ORDER OF SUCCESSION DELEGATIONS OF AUTHORITY 14
TRAINING, TESTING, AND EXERCISES 16
COOP MAINTENANCE 16
APPENDICIES
Appendix A: Vital Records, Systems, and Equipment Protection Methods ......................... 17
Appendix B: Requirements for Alternate Facilities............................................................... 19
Appendix C: COOP Relocation Checklist ............................................................................. 21
Appendix D: Evacuation/Floor Plan Documents ................................................................... 22
Appendix E: Definitions ....................................................................................................... 24
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RECORD OF CHANGES
Submit recommended changes to this document to City of Waukee.
Change Number Copy
Number Date Entered Posted By
Initial COOP Plan 1 August 2021
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EXECUTIVE SUMMARY
The City of Waukee has always been prepared, to the greatest extent possible, to respond to all-
hazard disasters and events. However, the City of Waukee has become increasingly aware of
how events could interrupt or possibly destroy its ability to effectively perform essential
functions. Consequently, the City of Waukee has determined that it should develop and maintain
a Continuity of Operations (COOP) plan. COOP planning is designed to develop and maintain a
program that preserves, maintains, and reconstitutes the agency’s ability to function effectively
in a real or potential event.
The City of Waukee COOP plan encompasses the wide range of operations and services
performed by the City of Waukee. It is tailored to its unique operations and essential functions
performed.
While providing a structure of procedures and guidelines, at no time is the City of Waukee
COOP Plan to inhibit the use of experience and common sense by emergency operations
personnel when determining the actions and resources needed to protect and serve the citizens of
the City of Waukee. The details described in this plan may or may not apply to specific hazards
and emergency situations. Emergency operations personnel must use their discretion in each
situation to determine the best course of action. Procedures listed in this plan serve as guidance
but are not intended to replace the best judgment of those who are directly handling a specific
emergency response
Each division in the city is expected to maintain detailed policies and procedures on the specifics
of carrying out essential functions.
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PURPOSE
The purpose of this COOP plan is to provide the framework for the City of Waukee to restore
essential functions in the event of an emergency that affects operations.
Loss of access to a facility (as in fire);
Loss of services due to a reduced workforce (as in pandemic influenza) see Pandemic
Plan; and
Loss of services due to equipment or systems failure (as in information technology (IT)
systems failure).
The COOP plan does not apply to temporary disruptions of service including minor IT system or
power outages and any other scenarios where essential functions can be readily restored in the
primary facility.
This COOP plan outlines the actions that will be taken to activate a viable COOP capability
within 12 hours of an emergency event and to sustain that capability for up to 30 days. The
COOP plan can be activated during duty and non-duty hours, both with and without warning.
The COOP plan covers all facilities, systems, vehicles, and buildings operated or maintained by
the City of Waukee. The COOP plan supports the performance of essential functions from
alternate locations and also provides for continuity of management and decision-making at the
City of Waukee in the event that senior leadership or technical personnel are unavailable.
AUTHORITIES
National Security Presidential Directive (NSPD) 51/Homeland Security Presidential
Directive (HSPD) 20
REFERENCES
National Fire Protection Association (NFPA) 1600
ASSUMPTIONS
A disaster can occur with little or no warning, causing significant loss of life and
environmental and economic damage. In an emergency, it will be necessary to continue
the essential functions of agencies in order to respond to day-to-day needs of citizens.
However, continuity of operations may be challenging because of absenteeism within
the response agencies and civil unrest due to community mitigation measures.
Staff will be provided adequate training on this COOP plan such that they will be able
to perform their duties during a COOP event.
As part of their commitment to this plan, the City of Waukee will engage in systematic
assessments of procedures, resources, and training to ensure its continued ability to
carry out its responsibilities as outlined in this plan.
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Key Personnel
Specific staffing requirements will vary widely among the City of Waukee departments due to
differences in their size, structure, mission, and essential functions. Each essential function has
associated personnel that are necessary to ensure continuity of operations. In general lines of
succession and authority are to be identified in job descriptions, and should mirror everyday
operations.
External Call List/Contacts
Each division shall provide access to vital vendors/contractors to each person involved in the
COOP plan. Access to external contacts and vendors should be accessible 24/7 and outside of
Waukee infrastructure. (Ex: if Outlook is not accessible there should be alternate means of
obtaining information.)
All city chiefs, directors and their direct reports have access to Government Emergency
Communications Service (GETS) and Wireless Priority Access (WPA). Both programs facilitate
hard line (GETS) and wireless (WPA) phone calls during times of extreme volume, such as a
disaster.
COOP Plan Implementation Responsibilities
The following lists identify major responsibilities and positions of key personnel and leadership
required to implement City of Waukee’s COOP plan.
Division Directors are responsible for:
Supporting and providing executive leadership for all emergency planning efforts;
Activating the COOP plan;
Providing policy direction, guidance, and objectives during an incident for the
implementation of the COOP plan;
Consulting with and advising appropriate officials during implementation of the COOP
plan.
The agency’s staff is responsible for:
Understanding their continuity roles and responsibilities within their respective
departments;
Knowing and being committed, through trainings, to their duties in a continuity
environment;
Understanding and being willing to perform in continuity situations to ensure an
organization can continue its essential functions;
CONCEPT OF OPERATIONS
A COOP plan must be maintained at a high level of preparedness and be ready to be implemented without
prior warning.
The plan can be fully implemented within 12 hours of activation and be capable of sustaining operations
for up to 30 days. The broad objective of this COOP plan is to provide for the safety and well-being of
the City of Waukee citizens, personnel, contractors, and visitors while enabling the agency’s continued
operations during any crisis or event. Specific COOP plan objectives include the following:
Identify and enable staff to perform essential functions;
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Identify essential personnel, back-up staff, and supporting staff for relocation or for
performing essential functions;
Ensure the alternate facility location can support essential functions; and
Protect and maintain vital records, systems, and equipment.
ESSENTIAL FUNCTIONS
Each division’s leadership team has identified essential functions and personnel who have roles in
performing those functions to meet its responsibilities to citizens, personnel, contractors, and visitors.
The agency also has prioritized its functions by determining the essential functions’ return to operation
(RTO). A listing of the agency’s prioritized essential functions and their RTOs, along with all supporting
resources including essential personnel and vital records, systems, and equipment required to execute
them is shown in the annex portion of this COOP.
Fire Department Essential Functions:
Community Development Essential Functions:
Marketing & Communications Essential Functions:
Function Description of Function Priority RTO
Respond to Fire/EMS calls Emergency/Non-Emergency 1 Immediate
Support:
Image Trend Fire-EMS Records MGT System 2 8 HR
Central Square Westcom CAD
(dispatching and mapping) 2 8 HR
Function Description of Function Priority RTO
Building Inspection Verification of hazards and safeties associated with occupancy
of buildings 1 Immediate
Permit Review/Issuance Review of plans and permits for compliance with applicable
codes 1 Immediate
Rental Inspection Review for compliance of existing structures for habitability 2 15 days
Code Compliance Review for zoning and property maintenance 2 30 days
Project Development Review
Review rezoning and development reviews for compliance with
applicable codes and policies and approval through Commission
and City Council
2 30 days
Facilities Maintenance General maintenance of city owned facilities 3 30 days
Long Range Planning Future planning associated with infrastructure and
development 3 30 days
Annexation Future expansion of City 3 30 days
Function Description of Function Priority RTO
Website updates Provide timely information and resources via Waukee.org 1 Immediate
Media relations Send information to, and respond to inquiries from, news media 1 Immediate
Social media Update the public via social media posts of the ongoing situation
and any needed instructions/resources 1 Immediate
Sending resident/staff alerts Sending urgent info and ongoing updates via Nixle text
messages and website alerts 1 Immediate
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City Clerk Essential Functions:
Police Department Essential Functions:
Human Resources Essential Functions:
Library Essential Functions:
Function Description of Function Priority RTO
City Council meetings Schedule, post agendas, run meetings 1 Immediate
City Council minutes Write, publish minutes 1 Immediate
City Council ordinances Write, publish ordinances 1 Immediate
City Council resolution Write resolution 1 Immediate
Contract, agreement approval Obtain signatures, distribute originals and copies 1 Immediate
Archive approved documents Scan final documents, upload to Laserfiche 2 When Laserfiche running
& equipment available
City Hall point of contact Take calls, foot traffic for
questions/concerns/information
2 When phone avail.; when
safe location in place
Process licenses (liquor/block
party/peddler/fireworks)
Process, issue licenses 3 When equip. avail.; when
event can be held safely
Function Description of Function Priority RTO
Respond to Emergent calls for service Emergency
(Persons Crimes/Felony/Serious) 1 Immediate
Respond to Urgent calls for service Urgent (Active/Serious/Property Crime) 2 Immediate
Respond to Non-Emergent/Routine
calls for service Routine (Past Crimes/Traffic Violations) 3 As soon as possible
Function Description of Function Priority RTO
HRIS management for payroll purposes Manage and maintain employee pay and benefit information 1 48 hours
Workforce management Manage safety concerns, support, and retain employees.
(Catastrophic communication tree to disseminate information to
employees timely.)
1 4 hours
Enforcement/Adherence Enforce compliance with laws, union contracts (if applicable), and
ADA requirements.
1 4 hours
Injury and fatality management Support the identification and family notification of injured or
deceased employees.
1 4 hours
Recruitment Fulfill requests for personnel for incident response. 2 6 hours
EAP access for employees Phone and on-site coordination of support services for employees 3 14 days
Function Description of Function Priority RTO
Internet, public computers, copier/printer,
scanner, fax, wireless access, public
phone
Provide community access to vital information and
communication services 1 Immediate
Library Space/Shelter Provide community access to space/shelter/distribution center.1 Immediate
Library Board Meetings Schedule, post agendas, maintain documentation and records,
hold meetings 1 Immediate
Internal/external Phones, Email texting
& chat Provide live resource and reference assistance to community. 1 Immediate
Library website / online resources Provide timely information and resources via website including
online resource access. 1 Immediate
Circulation Provide access to library materials, wireless hotspots, etc.2 24 hours
Public access to materials collections Provide public access to library materials. 2 Week
Programming Provide public access to library programming 3 30 days
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Parks and Recreation Essential Functions:
Public Works Essential Functions:
Finance Essential Functions:
Function Description of Function Priority RTO
Youth and Adult Programming Registration Youth and adult recreation programs 1 Immediate
Facility Rentals Shelter, Community Center, ball field Rentals 1 Immediate
Park and Trail Maintenance Daily maintenance of parks and trails 2 2-4 days
Golf Course Operations Daily operations of Sugar Creek Golf Course 1 Immediate
Function Description of Function Priority RTO
Operate the natural gas distribution
system.
Oversee and maintain the City’s natural gas distribution
system to ensure the system is not compromised and
protection of life and property is achieved. Ensure
customers are receiving natural gas service.
1 0-12 hours
Operate the water distribution system.
Oversee and maintain the City’s potable water
distribution system to ensure the system is not
compromised. Ensure customers are receiving potable
water service.
1 0-12 hours
Operate the sanitary sewer collection
system.
Oversee and maintain the City’s storm sewer collection
system to ensure the system is not compromised.
Ensure customers are receiving sanitary sewer service.
1 0-12 hours
Operate the storm sewer collection
system.
Oversee and maintain the City’s storm sewer collection
system to ensure the system is not compromised.
Ensure customers are receiving storm sewer service.
2 0-24 hours
Operate the traffic signalization system. Oversee and maintain the City’s traffic signals to ensure
safe use of the public street network. 2 0-24 hours
Maintain the public street network.
Oversee and maintain the City’s public street network to
ensure roadways are accessible for emergency services
and local access. This includes snow and ice control.
1 0-6 hours
Maintain city vehicles and equipment. Maintain and repair all critical vehicles and equipment for
all City departments. 2 0-24 hours
Function Description of Function Priority RTO
Employee Payroll and Benefits Maintain continuity of payroll for all city employees 1 12 hours depending
on where in cycle of
payroll processing
Purchasing / Payment Processing Procure materials & professional services for incident
needs; process payments for immediate need items
1 12 hours
Manage Cash Operations Monitor & track cash available for city operations; Review
& verify positive pay reports for bank
2 24 hours
Financial Records Preservation Protect vital financial, utility and payroll records 4 48 hours
Utility Customer Service / Payment
Processing
Maintain ability to provide critical utility customer
services and payment processing to the public
3 24 hours
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VITAL RECORDS, SYSTEMS AND EQUIPMENT
Vital records are records that, if damaged, destroyed or inaccessible, would disrupt operations and
information flow and require replacement or re-creation at considerable expense or inconvenience. In
continuity of operations planning, vital records are those records that are necessary to carry out mission
essential functions. Content, not media, determines their criticality. Essential records are frequently in one of
the following three formats: paper, electronic files, or microfiche.
Each division in the City of Waukee has identified systems to protect and recover essential records during
emergencies and normal operations. Through the planning process, the departments and divisions
documented and detailed their vital records. The departments assessed the existing essential records
maintenance program and continue to address deficiencies.
The following maintenance strategy has been identified by the Information Technology division and
divisions to protect essential records:
There are currently three data centers in the City that provide redundancy in the back up of data.
Server and application backups are performed nightly. Shares (network files) are backed up every
four hours (snapshots).
The City uses backup servers and data, then mirroring to save backups from one
datacenter to the other.
IT performs a backup of the City’s financial system and Laserfiche to the Cloud, nightly.
City of Waukee personnel are advised to:
Save data to network drives.
Scan hardcopy documents to the network drives.
Manage and retain records as required by state law.
Fire Department:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the Critical
System or Equipment
Description RTO
EMS Calls Patient Care
Reports Web Access Image Trend
(Electronic) 0 to 12 hours
Vehicles
Fire Suppression/EMS
Responding to
Emergencies N/A N/A Immediate
Firehouse (legacy system)Static 30 Days
Community Development:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the
Critical System or Equipment
Description RTO
Building Inspection Permit Information
(Energov) Waukee Server/Web Access Active 0 to 12 hours
Permit Review/Issuance Permit Information
(Energov) Waukee Server/Web Access Active 0 to 12 hours
Rental Inspection Permit Information
(Energov) Waukee Server/Web Access Active 15 days
Code Compliance Permit Information
(Energov) Waukee Server/Web Access Active 30 days
Project Development
Review
Bluebeam
Arc GIS Waukee Server/Web Access Active 30 days
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Marketing & Communications:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the Critical
System or Equipment
Description RTO
All Communication Functions Waukee Server Active
City Clerk:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the
Critical System or Equipment
Description RTO
City Council Documentation Agendas, Minutes, Ordinances,
Resolutions
Waukee server, Word Active 0-12 hours
Document Archives Agendas, Minutes, Ordinances,
Resolution, Contracts,
Agreements
Waukee server, Laserfiche
Active
30 days
License Processing Liquor, Block Party, Peddler,
Fireworks
EnerGov Active 30 days
City Hall Phones City Hall phones Phone system Active 0-48 hours
Police Department:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the Critical
System or Equipment
Description RTO
Serious and above Calls for
service Records Enterprise/CAD Web Access through ICN/West Des
Moines network Active 0 to 6 hours
Serious and above Calls for
service Central Square/Reports Web Access through ICN/West Des
Moines network Active 0 to 6 hours
Simple Misdemeanor TraCS APPS server with TraCS Software Active 0 to 12 hours
Daily Administrative functions Departmental drives File Server (DEPT-FS1) Static 0 to 24 hours
Sleuth RMS Application Server (WKEPSAS01) Up to 48 hours
Human Resources:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the
Critical System or Equipment
Description RTO
HRIS management Personnel records Waukee server, Internet –Incode and
Laserfiche
Active 0-12 days
Workforce Management Personnel records Internet, Incode, cell phones Active 0-4 hours
Injury and fatality management FROI, personnel records Cell phone, Laserfiche Active 0-8 hours
Recruit and Hire Application materials,
personnel files
Internet, NeoGov, cell phone Active 30 days
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Library:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the Critical
System or Equipment
Description RTO
Circulation ILS System: library patron
records & materials records Web-based, vendor hosted, internet Active 0-12 hours
Library website Library information,
calendar, contact info Web-based, vendor hosted, internet Active 0-12 hours
Library operations
Policies
Procedures
Financials
Waukee server, paper copy, cloud backup
Waukee server, paper copy, cloud backup
Waukee server, paper copy
Static
Active
Active
0-12 hours
Scheduling Employee schedules Web-based software, internet Active 0-12 hours
Public Works:
Essential Function Vital Record
Networks/Servers that
must be Operational to
Support the Critical
System or Equipment
Description RTO
Operate the natural gas, water,
sanitary sewer, storm sewer
and traffic signal systems.
ArcMap Utilities Database
and Elements XS GIS Server
Geo-database containing
utility layer information and
asset management software
0-24 hours
Maintain city vehicles and
equipment. Equipment service records City Server Historical maintenance
records 24-48 hours
Finance:
Essential Function Vital Record
Networks/Servers that must be
Operational to Support the Critical
System or Equipment
Description RTO
Employee Payroll and
Benefits
City Hard Copy / Electronic
West Bank Payroll Data
Waukee Server
Web Access – West Bank
Active 0 to 12
hours
Purchasing / Payment
Processing
Current invoices in City AP
system; physical check stock
Waukee Server
Web Access – Wells Fargo
Active 12 to 24
hours
Manage Cash Operations N/A Waukee Server
Web Access – West Bank & Wells Fargo
Active 24 hours
Financial Records
Preservation
Records room contents, finance
director files, accounting records
Waukee Server
Physical Documents in House
Active 48 hours
Utility Customer Service /
Payment Processing
Software & email electronic
payment notifications
Waukee Server
Meter Reading / Internet
Active 24 hours
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COOP PLAN IMPLEMENTATION
Implementation of the plan is based on three phases of operation:
Activation and relocation
Alternate facility operations
Reconstitution
Phase I – Activation and Relocation
Executive Leadership or designee determines the need for and activates the COOP plan.
Each division shall maintain detailed policies for implementing essential functions and
back-up procedures for vital records and databases.
Each division is responsible for understanding 3rd party application backup and
recovery procedures.
Each division is responsible for and shall identify interim processes if equipment or
systems are unavailable. (e.g., the continuation of the ability to cut checks)
MOUs or mutual aid agreements have been developed for utilization of alternate
systems or equipment shall be reviewed annually.
Phase II – Alternate Facility Operations
In general city owned facilities will be used for alternate work space.
Each division in the city is responsible for pre-determining alternate facility needs based
on supporting essential functions.
Division directors will coordinate and prioritize space needs for events that impact more
than one division.
Each division shall pre-identify positions that can operate in a remote environment.
Identification of hardware and software shall be reviewed annually.
Phase III – Reconstitution
After senior leadership has determined the event/emergency is over and the COOP is no
longer needed, each division will implement their procedures for a return to normal
operation.
Procedures should include, but are not limited to:
Verification that facilities are safe and ready for return to operation.
Verification that IT infrastructure is backed up and ready to return to normal
operation.
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ORDERS OF SUCCESSION DELEGATIONS OF AUTHORITY
Orders of succession and delegation are to be identified in job descriptions and should mirror daily operations
to the extent possible.
Fire/EMS & Community Development:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Responding to Fire/EMS Calls Fire Chief Deputy Chief Fire Marshal Shift lieutenant
Building Inspection Building Official Building Inspector Building Inspector Code Compliance Officer
Permit Review/Issuance Building Official Development Services
Specialist
Building Inspector Community
Development Director
Rental Inspection Code Compliance Officer Building Official Building Inspector N/A
Code Compliance Code Compliance Officer Building Official Building Inspector Planner
Project Development Review Planner Planner Development
Services Director
Building Official
Facilities Maintenance Building Official Building Inspector Code Compliance
Officer
N/A
Long Range Planning Development Services Director Planner Planner N/A
Annexation Development Services Director Planner Planner N/A
Marketing & Communications:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Responding to media M&C Director M&C Specialist City Clerk N/A
Updating website M&C Director M&C Specialist City Clerk N/A
Posting/replying on social media M&C Director M&C Specialist City Clerk N/A
Sending text alerts M&C Director M&C Specialist N/A N/A
City Clerk:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
City Council Meetings Mayor, Council Members,
City Administrator, City Clerk
City Clerk City Administrator Public Works
Administrative
Coordinator
Contract, agreement
approval
Mayor, Council Members,
City Clerk
City Clerk Individual Dept.
directors
City Administrator
City Council minutes,
ordinances, resolutions
Mayor, Council Members,
City Clerk
City Clerk Public Works
Administrative
Coordinator
City Administrator
Archive approved documents City Clerk Public Works Administrative
Coordinator
IT Technician N/A
License processing City Clerk Public Works Administrative
Coordinator
Finance Department N/A
City Hall point of contact City Clerk Utility Billing department Marketing &
Communications
Department
N/A
Police Department:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Responding to calls for service Police Chief Comm. Policing Lt.Support Ops/Invest. Lt. Shift Sergeant
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Human Resources:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
HRIS Management HR Specialist Payroll Specialist Sr. Accountant HR Director
Employee Communication HR Director HR Specialist
On the job injury reporting HR Specialist HR Director Fire Chief Deputy Chief
Injury and fatality management HR Director HR Specialist Fire Chief Deputy Chief
EAP support for employees HR Director HR Specialist Police Chief Fire Chief
Library:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Library Administration Library Director Youth Services Librarian Patron Services
Librarian
Public Services
Librarian
Library circulation Public Services Librarian Patron Services Librarian Library Director Youth Services Librarian
Internet, public computers,
copier/printer, scanner, fax,
wireless access, public phone
IT Director N/A N/A N/A
Library website Digital Marketing
Specialist Youth Services Librarian Library Director N/A
Public access to materials
collections Public Services Librarian Patron Services Librarian Library Director Youth Services Librarian
Library programming Youth Services & Adult
Services Librarians Children’s Librarian N/A N/A
Public Works:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Operate the natural gas
distribution system. Gas Superintendent Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Operate the water distribution
system.
Water/Wastewater
Superintendent
Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Operate the sanitary sewer
collection system.
Water/Wastewater
Superintendent
Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Operate the storm sewer
collection system. Streets Superintendent Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Operate the traffic signalization
system. Streets Superintendent Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Maintain the public street
network. Streets Superintendent Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Maintain city vehicles and
equipment.
Equipment Services
Technicians
Asst. PW Director –
Operations PW Director Asst. PW Director –
Engineering
Parks and Recreation:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Program Registrations Recreation Supervisors Assistant P&R Director P&R Director Admin Assistant
Facility Reservations Recreation Supervisors Admin Assistant Assistant P&R Director P&R Director
Golf Course Operations P&R Director Recreation Supervisor Golf Course
Superintendent Assistant P&R Director
Dog Park Registrations Admin Assistant Assistant P&R Director Recreation Supervisors P&R Director
Park & Trail Maintenance Assistant P&R Director P&R Director Golf Course
Superintendent Parks Laborer
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Finance:
Essential Function Key Personnel Successor 1 Successor 2 Successor 3
Employee Payroll and Benefits Payroll Specialist Senior Accountant Accounting Manager Finance Director
Purchasing / Payment Processing Accounting Clerk Senior Accountant Accounting Manager Finance Director
Manage Cash Operations Finance Director Accounting Manager Senior Accountant Payroll Specialist
Financial Records Preservation City Clerk Accounting Manager Senior Accountant N/A
Utility Customer Service / Payment
Processing
Utility Customer Service
Supervisor
Utility Account Specialists N/A N/A
TRAINING, TESTING, AND EXERCISES
To maintain the agency’s COOP capability, an all-hazard COOP training, testing, and exercise
program will be established. Major components of this program will include training all
leadership and staff in their COOP responsibilities; conducting periodic exercises to test and
improve COOP plans, procedures, systems, and equipment; and instituting a multi-year planning
process to ensure continual plan updates in response to changing conditions.
Training
Introduction to COOP planning;
COOP plan Activation and Relocation (key personnel);
Cross-training for essential functions (supportive personnel);
National Incident Management System (responders and leadership); and
Incident Command System (responders and leadership).
COOP PLAN MAINTENANCE
Plan Maintenance
The City of Waukee’s Fire Department is the lead in ensuring that the COOP plan is updated and
maintained in accordance with established schedules.
Whenever the plan is updated, it should be reissued with the update recorded on the COOP plan
Record of Changes.
The following lists identify major responsibilities of essential personnel and leadership required
for development and maintenance of City of Waukee’s COOP planning program.
APPENDICES
Appendix A: Vital Records, Systems, and Equipment Protection Methods
Appendix B: Requirements for Alternate Facilities
Appendix C: COOP Relocation Checklist
Appendix D: Evacuation Documents
Appendix E: Definitions
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APPENDIX A: Vital Records, Systems & Equipment Protection Methods
Fire Department:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
Patient Records Cloud Dual data center Image Trend
Patient Records Local & Cloud PDF backed up quarterly, secured in
fire safe
Local external hard drive
Fire Trucks & Ambulances PS Building Single PS Building Auto for short term interruptions
Life Line (MFG)N/A N/A Loaner/rental if ambulance is OOS.
Community Development:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
Permit Information Local Dual data center back up
Local copy backed up quarterly
Tyler Technology
Bluebeam Cloud Dual data center back up
Local copy backed up quarterly
Blue Beam
ArcGis Local Dual data center back up
Local copy backed up quarterly
ESRI
Marketing & Communications:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
Account passwords W Drive Back-up on server, printed copy in offices Waukee IT
Contacts Outlook, media list Back-up on server, printed in Crisis
Communications Plan
Waukee IT
City Clerk:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
City Council documents Waukee server,
Waukee Cloud
System back-ups, Cloud Waukee IT
Department
Document archive Laserfiche Laserfiche system back-ups Laserfiche
Licenses EnerGov EnerGov system back-ups EnerGov (Tyler
Technologies)
Phones Phone company Phone company
Police Department:
Vital Record, Systems,
Equipment
Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
NCIC System Local N/A Isolated Network & Endpoint Communications
encryption handled by DataMaxx State of Iowa
NCIC System (through CAD/RMS) West Des Moines Internally accessible via web w/ web encryption Westcom/WDM
CAD/Records Management West Des Moines Dual data center back up
Local copy backed up weekly Westcom/WDM
Department drives Local Server
30m/Hourly/Daily/Weekly/Monthly Snapshot deltas,
replicated to Cloud, Primary backup to local backup
appliance
Waukee IT
Public Works:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
ArcMap GIS Utilities Database and Elements XS Local and Cloud IT security measures ESRI / Novotx
18
Human Resources:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
Personnel Information Waukee server Backed up by IT every 30 minutes + weekly. Incode
800-646-2633
Personnel files On site and cloud Locked file cabinet, electronically via Laserfiche Laserfiche
800-985-8533
Application materials Cloud Backed up by vendor NeoGov
855-524-5627
FROI Waukee server Backed up by IT every 30 minutes + weekly. Company Nurse
888-770-0928
Library:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor/Contacts
Circulation (ILS System) – patron records &
materials records Web-based, vendor hosted Externally hosted TLC
Library website Web-based, vendor hosted Externally hosted EBSCO
Library policies Waukee server, paper
copy, cloud backup Multiple locations – electronic & hard copy N/A
Operational procedures Waukee server, paper
copy, cloud backup Multiple locations – electronic & hard copy N/A
Budget / Invoices / Contracts Waukee Server, paper copy Paper copies N/A
Scheduling Web-based Cloud Sling
Parks and Recreation:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor /Contacts
Program Registrations Local Dual data center back up local copy
backed up quarterly SportsMan
Facility Reservations Local Dual data center back up local copy
backed up quarterly SportsMan
Golf Course Point of Sale Local Dual data center back up local copy
backed up quarterly AIMSI
Dog Park Registration Cloud BarkPass
Finance:
Vital Record, Systems, Equipment Storage
Local/Cloud Current Protection Method(s) Vendor /Contacts
Employee Payroll and Benefits Local Storage
Tyler Offsite Backup
West Bank
Local Backup
Tyler DDR Backup Nightly
West Bank ACH Records
Tyler – Incode
West Bank ACH Processing
Purchasing / Payment Processing Local Storage
Tyler Offsite Backup
West Bank
Wells Fargo
Local Backup
Tyler DDR Backup Nightly
West Bank ACH Records
Wells Fargo ACH Records
Tyler – Incode
West Bank ACH Processing
Wells Fargo ACH Processing
Manage Cash Operations West Bank
Wells Fargo
Vendor Provided West Bank ACH Processing
Wells Fargo ACH Processing
Financial Records Preservation Waukee Server
Physical Documents in House
Waukee IT
Utility Customer Service / Payment
Processing
Storage Local
Tyler DDR
Local Backup
Tyler DDR Backup Nightly
Tyler – Incode
Sensus Meter Reading
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APPENDIX B: Requirements for Alternate Facilities
An alternate facility is a location, other than the normal facility, used to carry out essential functions in a
COOP plan activation. Requirements include personnel, back-up power, communications, and space needed in
order to return to regular operation.
Fire Department:
Community Development:
Marketing & Communications:
Human Resources:
Library:
Essential Function Number of Personnel Back-Up Power Communications Space
Housing personnel &apparatus 7 (24/7)Required Cell coverage for short term Vehicles
Fire Admin 4 Required Internet/Phones Support 4
personnel
Essential Function Number of Personnel Back-Up Power Communications Space
Inspection Vehicles 5 Required Contained in apparatus Vehicle
Development Services Admin 6 Required Internet/Phones Support 6
personnel
Essential Function Number of Personnel Back-Up Power Communications Space
Marketing & Communications 1-2 Required Internet/Phones/Laptops Support 1-2
personnel
Essential Function Number of Personnel Back-Up Power Communications Space
HR Admin 2 Required Internet, cell phones Support 2
personnel
Essential Function Number of Personnel Back-Up Power Communications Space
Internet, public computers,
copier/printer, scanner, fax,
wireless access, public phone
2 Required Internet / Phones Support public & 2
library staff
Library Space/Shelter 2 Required Electricity Support public and 2
library staff
Circulation 2 Required Internet Support public and 2
library staff
Public access to materials
collections 2 Required Internet
Support public, 2 library
staff, and relocated
collection 5,000 sq. ft.
Programming 2 Required Electricity Support public and 2
library staff
20
Public Works:
Police Department:
Parks and Recreation:
Finance:
Essential Function Number of Personnel Back-Up Power Communications Space
Operate the natural gas
distribution system. 5 Required Internet/Phones/Radios 1 work station
Operate the water distribution
system. 4 Required Internet/Phones/Radios 1 work station
Operate the sanitary sewer
collection system. 4 Required Internet/Phones/Radios 1 work station
Maintain the public street network. 7 Required Internet/Phones/Radios 1 work station
Maintain city vehicles and
equipment. 2 Required Internet/Phones/Radios 1 work station and 2
service bays
Public Works Administration 5 Required Internet/Phones/Radios 5 work stations
Essential Function Number of Personnel Back-Up Power Communications Space
Police Vehicles 10 Required Contained in
vehicles/handheld
10 Marked & 4
Unmarked
Police Admin 4 Required Internet/Phones Support 4 personnel
Police Investigations 4 Required Internet/Phones Support 4 personnel
Administrative Support Staff 3 Required Internet/Phones Support 3 personnel
Storage of Evidence 0 Not Required None Mobile Storage Unit
Essential Function Number of Personnel Back-Up Power Communications Space
P&R Administration 5 Required Internet/Phones Support 5 personnel
Golf Course Operations 3 Required Internet/Phones Support 3 admin
Parks Maintenance 4 Not-Required Internet/Phones/Radios Support 1 admin
Essential Function Number of Personnel Back-Up Power Communications Space
Finance / Utility Billing 7 Required Internet/Phones Support 7 staff members
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APPENDIX C: COOP Relocation Checklist
As the department leadership and COOP Planning Leads or alternates prepare to relocate key personnel, the
following procedures will provide guidance to successfully maintaining mission essential functions at a
continuity facility.
Item Task Task
Assigned To
Date/Time
Completed
1 Designate a relocation manager(s) and prepare relocation checklist in support of
the COOP.
2
Identify areas where outside support will be required in relocation operations;
activate memoranda of understanding, vendor contacts, and other agreements
as necessary to ensure site support.
3 Assemble necessary documents and equipment required to continue mission
essential functions at the continuity facility.
4 Order additional resources (including equipment and office supplies) that are not
in place or readily available.
5 Continue mission essential functions at the primary location, if available, until the
continuity facility is operational.
6 Support the orderly transition of all mission essential functions, personnel,
equipment, and vital records from the primary location to the continuity facility.
7 Identify mission essential functions that can be delayed or postponed if the
COOP is implemented.
8 Provide for the proper storage of backup copies of essential records and
other pre-positioned resources and assets.
9 Designate available staff to assist arriving key personnel.
10 Conduct COOP training for all key personnel arriving at the continuity facility
11 Support the orderly transition of all mission essential functions, personnel,
equipment, and vital records from the continuity facility to the primary location.
22
Appendix D: Evacuation/Floor Plan Documents
City of Waukee Owned Facilities to be considered for COOP relocation needs.
Waukee Community Center Floor Plan
Ridge Pointe Pavilion Floor/Evacuation Plan
23
Fox Creek Pavilion Floor Plan
24
Appendix E: Definitions
Activation – When all or a portion of the COOP plan has been put into motion.
Alternate Location – A location, other than the normal facility, used to process data and/or conduct
essential functions in the event of a disaster. Similar Terms: Alternate Operating Facility, Alternate
Processing Facility, Alternate Office Facility, and Alternate Communication Facility.
Cold Site – An alternate site that is reserved for emergency use, but which requires the installation of
equipment before it can support operations. Equipment and resources must be installed in such a facility
to duplicate the essential functions of an organization. Cold sites have many variations depending on
their communication facilities, uninterruptable power supply systems, or mobility.
Continuity of Government (COG) –Preservation of the institution of government. Maintaining
leadership through succession of leadership, delegation of authority, and active command and control.
Continuity of Operations (COOP) –The effort to assure that the capability exists to continue essential
functions across a wide range of potential emergencies.
Continuity of Operations (COOP) Coordinator –Serves as the agency’s manager for all COOP
activities. The Coordinator has overall responsibility for developing, coordinating, and managing all
activities required for the agency to perform its essential functions during an emergency or other situation
that would disrupt normal operations. The first step in the COOP planning process is selecting a COOP
Coordinator.
Continuity of Operations (COOP) Plan –A set of documented procedures developed to provide for the
continuance of essential functions during an emergency.
Delegations of Authority – Pre-delegated authorities for making policy determinations and decisions at
headquarters, field levels, and other organizational locations as appropriate. Generally, these will be
identified by position, and will take effect when normal channels of direction have been disrupted and
will lapse when these channels have been reestablished.
Devolution – The capability to transfer statutory authority and responsibility for essential functions from
an agency’s primary staff and facilities to alternate staff and facilities and to sustain that operational
capability for an extended period.
Emergency Preparedness – The discipline which ensures an organization’s or community's readiness to
respond to an emergency in a coordinated, timely, and effective manner.
Essential Functions – Activities, processes, or functions which could not be interrupted or unavailable
for several days without significantly jeopardizing the operation of an organization. Essential functions
enable an organization to provide vital services, exercise civil authority, maintain safety of the general
public, and sustain the industrial/economic base during a disruption of normal activities.
Emergency Management Assistance Compact (EMAC) – Congressionally ratified compact that
provides form and structure to interstate mutual aid. During a disaster, it allows a state to request and
receive assistance from other member states.
Facility – A location where an organization’s leadership and staff operate, containing the equipment,
supplies, and voice and data communication lines to conduct operations required to maintain business
under normal conditions.
Homeland Security Exercise and Evaluation Program (HSEEP) – A capabilities and performance-
based program that provides terminology, doctrine, and policy for designing, planning, conducting, and
evaluating homeland security exercises.
Hot Site – An alternate facility that has the equipment and resources to recover the essential functions or
information systems affected by the occurrence of a disaster. Hot sites may vary in the type of facilities
25
offered (such as data processing, communication, or any other essential business functions needing
duplication). Location and size of the hot site will be related to the equipment and resources needed.
Implementation Procedure Checklist – A list of the immediate actions to take once the COOP plan is
implemented.
Incident Command System (ICS) – A management system used to organize emergency response. ICS
offers a scalable response to an incident of any magnitude, and provides a common framework within
which people can work together. These resources may be drawn from multiple agencies that do not
routinely work together. The system is designed to grow and shrink along with the incident, allowing
more resources to be added into the system when needed and released when no longer needed. The key
aspect of ICS helps to reduce or eliminate the "who's in charge" problem.
Key Personnel – Personnel designated by their division as critical to the resumption of essential
functions and services.
National Incident Management System (NIMS) –A consistent nationwide template to enable federal,
state, local, and tribal governments, private-sector, and nongovernmental organizations to work together
effectively and efficiently to prepare for, prevent, respond to, and recover from domestic incidents,
regardless of cause, size, or complexity, including acts of catastrophic terrorism.
Reconstitution – The process by which agency personnel resume normal business operations after the
emergency or disruption ceases and is unlikely to resume, from the original or replacement primary
operating facility.
Record Retention – Storage of historical documentation for a set period of time usually mandated by
state or federal law or by the Internal Revenue Service.
Recovery – Implementation of prioritized actions required to return an organization’s processes and
support functions to operational stability following an interruption or disaster.
Recovery Time Objective (RTO) – The period of time in which systems, applications, or functions must
be recovered after an outage.
Response – Those activities and programs designed to address the immediate and short-term effects of
the onset of an emergency or disaster.
Risk – Likelihood of an ongoing or impending concern that has a significant probability of adversely
affecting business continuity.
Risk Assessment – The identification and assessment of hazards.
Risk Analysis – An evaluation of the probability that certain risks will occur and the controls to reduce
organizational exposure to such risk.
Risk Management – The process of identifying, controlling, and minimizing the impact of events and
their consequences, which also ensures that an organization does not assume an unacceptable level of
risk.
Risk Mitigation –The application of measures to reduce the likelihood of a risk
Vital Records, Systems, and Equipment – Records, files, documents, or databases that are needed to
support essential functions during a continuity situation, which, if damaged or destroyed, would cause
considerable inconvenience and/or require replacement or re-creation at considerable expense. For legal,
regulatory, or operational reasons these records cannot be irretrievably lost or damaged without materially
impairing the organization's ability to conduct business.