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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 2 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 3 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 4 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. 5 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. 6 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; 7 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 8 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 9 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 10 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 11 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 12 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 13 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. 14 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 15 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 16 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 17 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 19 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 21 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.