Pandemic Continuity of Operations Planning

1. State of Connecticut Pandemic Continuity of Operations Planning A concentrated effort to identify and plan for the continued operation of essential functions during an outbreak which significantly impacts agency staffing levels.

2. Introduction Avian Influenza normally infects waterfowl and can be transmitted to commercial poultry, particularly chickens and turkeys, by migrating birds. There are 16 known subtypes of the avian influenza. The one called H5N1 is of particular concern because it adapts rapidly and can mutate to infect humans with a particular virulent and deadly strain.

3. Introduction - Continued Flu Viruses are always changing, with new strains emerging. In order to become a Pandemic, two events must first occur: • An animal flu virus (usually avian (bird)) must mutate or mix with a human virus. • That virus must change to become able to spread from human to human. If the new flu virus is different from those seen before by the living population, people do not have any immunity (resistance) to it, so it can spread quickly and become a pandemic.

4. Introduction - Continued In preparation for a potential pandemic, Governor Rell has mandated each State agency establish Continuity of Operations Plans (COOP) as a contingency. This process is being established to assist agencies with plan development.

5. Assumptions: • Staff levels may be significantly impacted due to high levels of illness • Remaining workers may be psychologically affected by disease, economic concerns, or fear and require employee assistance • Staff may be reduced by the need for some workers to attend to family illness or children remaining home due to school closures. • Human resource reductions may be temporary or may be-long term depending on the severity of the influenza strain • Staff may be lost due to significant mortality associated with the disease

6. Continuity of Operations Planning: Overview • Assign Agency COOP/Disaster Recovery Owner and Leaders • Identify all Business Processes for each location • Validate Procedure Documentation – good idea but phase 2 • Determine Recovery Time Objectives (RTO) based upon “worst case” • Assign Recovery Priority • Identify Primary Resources Supporting Each Function • Pre-select Resource Pools Supporting each function during staffing shortages of 10%, 20%, 30% 40% and State closure • Conduct Cross-Training Programs • Devise Alternate Work Strategies • Analyze Technology Impacts to implementation of alternate work strategies • Identify Critical External Service Providers and Supply Chains • Create and test internal/external Communication Plan • Publish Delegation of Authority Plan • Announce Succession Agency Succession Plans • Address Availabilility of Vital Records Management • Develop Alternate Site Strategies, as appropriate • Return to Normal Operations After a Crisis

7. Continuity of Operations Planning: NIMS Pandemic Response, as with any other State response to a crisis, is to align with the Governor’s order to execute National Incident Management System (NIMS) protocols and responsibilities. NIMS will enable all agencies to interact effectively with: • The State of Connecticut’s Emergency Operation Center (EOC), which will be invoked by DEMHS should an Avian Flu epidemic strike and • Other Agencies which are cooperating in the response to the crisis Key NIMS positions at each SITE include: • “Incident Commander” – person in charge • “Operations Section Chief” – person responsible to oversee critical functions Some NIMS positions will be handled at the Agency level: • “Public Information Officer” (agency communications / media) • “Legal Counsel” • “Human Resources Officer” • “Finance Officer These NIMS positions will have a parallel partner at the EOC / State Level

8. Continuity of Operations Planning:Roles and Responsibilities • Assign responsibility of ownership to the Continuity of Operations Planning process. Senior manager: • NIMSIncident Commander (typically the Commissioner, Deputy Commissioner, Chief of Staff, etc.) • Establishes and maintains the program within the agency • The driving force • Assign COOP Coordinator(s): • NIMS-> Operation Section Chief by locality responsible for continuation of critical functions; • Knowledgeable person in the specific functions performed by the agency and the resources (staff, providers, tools, etc.) needed to perform the function

9. Continuity of Operations Planning:Small Agency COOP Structure

10. Continuity of Operations Planning:Large Agency COOP Structure

11. Continuity of Operations Planning:Critical Agency Functions • Identification of Business Processes for each location (Central Office, Regional Office, etc.) • Identify all agency business processes by location and business unit • Validation of Procedure Documentation • Validate that each identified process has documented operational procedures • Document Procedures that have no operational procedures in place

12. Continuity of Operations Planning:Recovery Time Objective (RTO) • Establish individual Recovery Time Objectives (RTO) for each business function • Determine the maximum amount of time the function can be suspended before the agency (and the citizens of Connecticut) will be negatively affected (Ex: 1 hour, 24 hours, 72 hours, 1 week, 1 month, etc.) • Assign Recovery Priority • Based on RTO, determine the relative Recovery Priority of each process starting with 1, 2, 3, etc. • NOTE: some functions can be suspended for an extended period, either based upon day-to-day priority or “new rules of the game” based on state (executive, legislative, judicial) policy or law relative to a Pandemic situation

13. Continuity of Operations Planning:Primary Resources • Identify Primary Resources Supporting Each Function • Identify internal resources supporting each function under normal staffing levels (staff, supplies, tools, etc.) • Identify external resources supporting each function under normal staffing levels • Identify Resources Supporting Each Function During Staffing Shortages of 10%, 20%, 30% and 40% • Determine if demand level is likely to RISE or FALL during a Pandemic Situation; estimate the staffing delta based on this analysis for a “worst case” situation • Devise and implement a strategy to sustain high priority functions with short RTO at operational levels • Resources normally assigned to low priority functions with long RTO should be reassigned to high priority functions • Identify thresholds when, based on available resources certain functions will cease to exist for the duration of the crisis

14. Continuity of Operations Planning: Training • Support Health and Hygiene Training • For all Employees on Flu Avoidance • For Agencies in terms of policies and materials at agency locations to facilitate hygiene and non-transfer of the virus • Establish Functional Cross-Training Programs • Based upon critical, must perform functions and on your staffing plan, identify cross-training requirements for your agency’s most critical functions • Develop training curriculum to meet these requirements • Set training schedules (December 1 end date) • Conduct employee training (mandatory) • Establish a job rotation, on a periodic basis, to assist with process knowledge development and retention

15. Continuity of Operations Planning: Alternatives • Determine Alternate Methods of Operation • Work at home • Consolidate to fewer or a single location (for functions requiring special tools, facility or access by the public) • Draw staff from other sources (other locations within the agency, other agencies, private providers) • Seek citizen volunteers (where the function is necessary to the life and safety of the citizens of Connecticut) • Suspend all but THE MOST CRITICAL functions until the Governor declares an end to the emergency situation

16. Continuity of Operations Planning: Technologies • Determine Technology Impacts to Alternate Work Strategies • For alternate work strategies to be effective, technology impacts must be identified and quantified (applications, network traffic, etc.) • Appropriate lead times will be required to facilitate procurement, implementation, validation and cross-training processes

17. Continuity of Operations Planning: Supply Chains • Identify Critical External Supply Chains • Establish contingency plans for each and every item deemed critical by the agency • Consider ordering and storing larger quantities • Establish multiple providers for each item

18. Continuity of Operations Planning: Communications Plan • Establish Communication Plans and Protocols • State Government (Executive, Legislative, Judicial) • Executive • Governor’s Office • State Agencies • Employees at Work and Home • Inter-Agency (via EOC, or direct agency-to-agency) • Customer/Client Base • Public and Media for Agency Specific Information (NIMS->Public Information Officer)unless centralized at the EOC • Emergency Operations Center (EOC) • State Response Coordination • Cross-Agency Support and Communication • Media and Public (Public Information Officer) • Federal Government (Department of Homeland Security, Department of Health and Human Services, etc.) • We are advised each State may be “on its own”, the Federal Government is likely to be experiencing the same crisis. We must be self-reliant.

19. Continuity of Operations Planning: Communications Structure

20. Continuity of Operations Planning:Succession and Delegation of Authority Designate Succession and Publish Delegation of Authority • Agency Head(s): Commissioner and Deputies -> Incident Commanders • Finance: Chief Financial Officer -> Command Support / Finance Officer • Contracts • Negotiable Instruments • Procurement: Finance Officer Alternate • Human Resources: Human Resource Officer (HRO) • Communications: Public Information Officer (PIO) • Matters of Law, Policy or Principal: Legal Counsel (LC) • Operations - Agency Functions: Operations Section Chief • Director(s) -> Operations Section Chief Alternate(s) • Manager(s) -> Team Leaders • Supervisor(s) -> Team Leader Alternate(s) • Staff -> Team Members • Logistics Relative to (Logistics Section Chief): • Technology • Facility / Premises • Tools • Logistics Relative to (Administration Section Chief): • Revised Office Procedures / Locations • Materials / Documents / Mail / etc.

21. Continuity of Operations Planning: Vital Records • Identify your agencies vital records • While this is a key element of facility or technology disaster planning (fire, earthquake, flood, terrorism, etc.), this is perceived to be of lesser priority for Pandemic Planning • If the Agency strategy assumes the relocation of workers to alternate sites (e.g., facility closures or consolidation of a fewer number of offices), then vital record requirements should be considered: • Are the records part of an electronic system that can be made available at the alternate location? • Are the records in paper and must be relocated to the location where the associated function is to be performed? • If neither of the above are true, but the records are required, what means exist to duplicate these for use where they are needed?

22. Continuity of Operations Planning:Alternate Site Strategies • While this is also a key element of facility or technology disaster planning (fire, earthquake, flood, terrorism, etc.), this is perceived to be of lesser priority for Pandemic Planning • If your strategy assumes the relocation of workers to alternate sites (e.g., facility closures or consolidation of a fewer number of offices), then: • Consider the geographic location relative to staff home base and to the community (Connecticut residents) who are to be served • Consider the ability to provide telephone (voice, data, fax) services at this location • Consider the need for transportation to the facility • Consider the features of the facility and whether they are appropriate to the functions to be performed at this location (e.g., public access, security needs, privacy requirements, etc.)

23. Continuity of Operations Planning:Return to Normal Operations When the crisis passes, it is important to resume normal operations expeditiously • How will staff be notified? • What technologies or alternate sites need to be shut down or re-located? • What is the calendar of events that must be addressed on a priority basis in restoring normal services? • How long should it take (and what expectations should be set for those who depend on this Agency’s services)?

24. Continuity of Operations Planning:Policy and Procedure Adjustments Consider Impacts to Existing Policies and Evaluate Need for New Policy Adoption • Setup authorities and triggers for activating and terminating the agencies response plan, altering business operations (e.g. shutting down operations in effected areas), transferring business knowledge to key employees (cross-training), and requiring employees to work out of class to fulfill pre-established critical functions of each agency • Establish policies for employees who have been exposed to pandemic influenza, are suspected of being ill, or become ill while at work (e.g. infection control response, immediate mandatory sick leave) • Communicate Human Resources / Labor policy and procedures for: • Return to work after extended illness (medical certificate), • Family leave request, • Sick leave, • Vacation/PL in lieu of sick etc. • Visitor Access Policy – Develop a policy about who should be allowed access and under what conditions • Establish and Train Infection Control Team with responsibilities to clean surfaces regularly • Establish Policy of Vaccination Priority These policies are needed to guide all Agencies in their respective Pandemic Continuity of Operations Planning efforts.

25. Continuity of Operations Planning:Planning Templates Several templates have been created to assist each agency in the COOP development effort: • Business Process RTO and Priority • Resource Staffing • Communications Protocol • Employee Communications • Delegation of Authority • Succession of Operations We propose to support the Agencies with Facilitated Planning Sessions and Workshops throughout the next six months. A schedule of offerings is being developed. Custom support efforts can be provided for Agencies who have funding available for this program.