Continuity of Operations Plan (COOP) Development

Continuity of Operations Plan

(COOP)

Development

~ DRAFT TEMPLATE ~

COOP Annex to the District-Wide

Emergency Operations Plan

[School District]

[Month, Day, Year]

[Logo]

[Department/Agency/District Name]

[Street Address]

[City, State Zip Code]

Continuity of Operations Plan (COOP) Draft Template

For Use with District-Wide Emergency Operations/Safety Plans

Continuity of Operations Plan (COOP) Draft Template

For Use with District-Wide Emergency Operations/Safety Plans

COOP TEMPLATE:

INTRODUCTION

RCW 38.52.010 defines continuity of operations planning to mean the internal effort of

an organization to assure that the capability exists to continue essential functions and

services in response to a comprehensive array of potential emergencies or disasters.

A continuity of operations plan (COOP), as defined in the National Continuity Policy

Implementation Plan and the National Security Presidential Directive 51/Homeland Security

Presidential Directive 20, is an effort to ensure that Primary Mission-Essential Functions continue

to be performed during a wide range of emergencies, including localized acts of nature, accidents

and technological or attack-related emergencies.

The critical business functions your COOP is planning for are those which must be:

 Operational not later than 12 hours after activation.

 Capable of maintaining sustained operations for up to 30 days.

This template is adapted from the Arizona Department of Education Draft Continuity of

Operations Plan (COOP) Template . It provides instructions, guidance, and sample text for

the development of a school district COOP Annex in accordance with FEMA Continuity

Guidance Circular 1 (CGC 1), and Continuity Guidance Circular 2 (CGC 2). The guidance in

this template applies to school districts (LEAs); it can also be adapted for other levels of

state, local, territorial, or tribal government jurisdictions.

By using this planning template, a School District will address each of the planning

elements and requirements described in FEMA Guidance CGC 1 and CGC2, above. Based

on the key elements of viable continuity capability, the template guidance describes

recommended content for each section of a continuity Annex. It includes sample text,

tables, and graphics. All portions and components of this template may be modified as

appropriate.

An electronic version of this document, in portable document format (PDF) is available on

the FEMA website (https://www.fema.gov/planning-templates).

The document is organized in a flexible format so that a District may select all, or only

certain sections of the template to develop, or improve their COOP/Annex. In using this

template to assist in developing continuity plans and programs, Districts are encouraged

to adapt, modify or tailor the template to meet their specific Continuity Planning

requirements.

When complete, Districts should be aware of the need to protect specific continuity

planning information and classify their individual continuity plans as appropriate.

Note: Once District-specific information is entered into the body of the template, delete

the italicized and bolded instructions found throughout the document.

Continuity of Operations Plan (COOP) Draft Template

For Use with District-Wide Emergency Operations/Safety Plans

TABLE OF CONTENTS

PROMULGATION STATEMENT 5

PURPOSE, SCOPE, SITUATIONS, AND ASSUMPTIONS 6

A. Purpose 6

B. Scope 6

C. Situation Overview 7

D. Planning Assumptions 8

E. Objectives 8

F. Security and Privacy Statement 9

II. CONCEPT OF OPERATIONS 9

A. Phase I: Readiness and Preparedness 9

B. Phase II: Activation and Relocation 11

C. Phase III: Continuity Operations 15

D. Phase IV: Reconstitution Operations 16

E. Devolution of Control and Direction 19

III. DISTRICT AND ASSIGNMENT OF RESPONSIBILITIES 21

IV. DIRECTION, CONTROL, AND COORDINATION 22

V. DISASTER INTELLIGENCE 23

VI. COMMUNICATIONS 24

VII. BUDGETING AND ACQUISITION OF RESOURCES 24

VIII. ANNEX DEVELOPMENT AND MAINTENANCE 25

IX. AUTHORITIES AND REFERENCES 25

X. Test, Training, and Exercises Program (TT&E) 26

RECORD OF CHANGES 30

RECORD OF DISTRIBUTION 30

Continuity of Operations Plan (COOP) Draft Template

For Use with District-Wide Emergency Operations/Safety Plans

GLOSSARY 1

ACRONYMNS 4

AUTHORITIES AND REFERENCES 5

ATTACHMENTS 1

IMPLEMENTING INSTRUCTIONS 1

I. Essential Functions 1

A. Identification of Mission Essential Functions (MEF) 1

B. Identification of Continuity Personnel 2

II. Vital Records Management 3

III. Continuity Facilities 7

IV. Continuity Communications 9

V. Leadership and Staff 10

A. Orders of Succession 10

B. Delegations of Authority 11

C. Human Capital 12

Delegation of Authority 15

PROMULGATION STATEMENT

The promulgation statement should briefly outline the District and content of the Continuity Annex and

describe what it is, whom it affects, and the circumstances under which it should be executed. Promulgation

is the process that officially announces/declares an Annex. It gives the Annex official status and gives both

the authority and the responsibility to District to perform their tasks. The District superintendent or a

designee may approve the Continuity Annex. Once signed, the promulgation statement officially announces

the Continuity Annex. Sample text for this section is provided below.

The [School District]’s mission is to [enter mission statement]. To accomplish this

mission, [School District] must ensure its operations are performed efficiently with

minimal disruption, especially during an emergency. This document provides Planning and

program guidance for implementing the [School District] Continuity Annex and programs

to ensure the District is capable of conducting its essential missions and functions under all

threats and conditions.

Key [School District] personnel who are relocated under this annex are collectively known

as the [Insert name of group, such as Emergency Relocation Group]. Upon Annex

activation, these members will deploy to [insert continuity facility name]. Upon arrival,

continuity personnel will establish an operational capability and perform essential

functions within 12 hours from the time of the activation of the Continuity Annex, for up

to a 30-day period or until normal operations can be resumed.

[District Superintendent signs here]

[District Superintendent’s name here]

[Title here]

[District Name here]

PURPOSE, SCOPE, SITUATIONS, AND ASSUMPTIONS

A. PURPOSE

The introduction to the Continuity Annex explains the importance of continuity planning to the District and

why the District is developing a continuity annex. It may also discuss the background for planning,

referencing recent events that have led to the increased emphasis on the importance of a continuity

capability for the District. Sample text for this section is provided below.

The [School District]’s mission is [enter your district mission statement]. To accomplish

this mission, the [School District] must ensure its operations are performed efficiently

with minimal disruption, especially during an emergency. This document provides

planning and program guidance for implementing the [School District] Continuity Annex

and programs to ensure the District is capable of conducting its essential missions and

functions under all threats and conditions. While the severity and consequences of an

emergency cannot be predicted, effective contingency planning can minimize the impact

on the [School District] missions, personnel, and facilities.

The overall purpose of continuity planning is to ensure the continuity of the essential

functions under all conditions. The current changing threat environment and recent

emergencies, including acts of nature, accidents, technological emergencies, and military

or terrorist attack-related incidents, have increased the need for viable continuity

capabilities and plans that enable District to continue their essential functions in an all-

hazards environment and across a spectrum of emergencies. These conditions, coupled

with the potential for terrorists’ use of weapons of mass destruction, have increased the

importance of having continuity programs that ensure continuity of essential functions

across all levels of government.

B. SCOPE

The scope should describe the applicability of the annex to the District as a whole, headquarters as well as

subordinate activities, co-located and geographically dispersed, and to specific personnel groups in the

District. It should also include the scope of the Annex. Ideally, continuity annexes should reference the full

spectrum of potential threats, crises, and emergencies (natural, technological, biological, and man-made that

is found in the basic EOP/Safety Plan). Sample text for this section is provided below.

This Continuity Annex applies to the functions, operations, and resources necessary to

ensure the continuation of [School District]’s essential functions in the event its normal

operations at [Name primary operating facility] are disrupted or threatened with

disruption. This Annex applies to all [School District] personnel at [Facility Name]. [School

District] staff must be familiar with continuity policies and procedures and their respective

continuity roles and responsibilities.

This document ensures [School District] is capable of conducting its essential missions and

functions under all threats and conditions, with or without warning.

C. SITUATION OVERVIEW

The situation section should characterize the “planning environment,” making it clear why a continuity annex

is necessary. In this section, Districts should reference their risk assessment to summarize the hazards faced

by their District and the relative probability and impact of the hazards. Sample text for this section is

provided below.

It is the policy of the (School District Name) to maintain a comprehensive and effective

continuity capability. To that end, by continuing the performance of essential functions

through a catastrophic emergency, comprehensive and integrated continuity capability

will enhance our credibility and enable a more rapid and effective response to, and

recovery from, an emergency.

Furthermore, continuity planning will be based on the assumption that District will not

necessarily receive warning of an impending emergency. As a result, a risk assessment is

essential to continuity planning and is outlined in the (District Name) Emergency

Operation/Safety Plan.

The [School District] continuity facilities were selected following an all-hazards risk

assessment of facilities for continuity operations use. The [School District] risk

assessment is found at [insert document name and location or insert risk assessment

information in this section of the Annex]. This risk assessment addresses the following

for each continuity facility:

 Identification of all hazards

 A vulnerability assessment to determine the effects of all hazards

 A cost-benefit analysis of implementing risk mitigation, prevention, or control

measures

 A formal analysis by management of acceptable risk

 Sufficient distance between each facility location or threatened area and other

facilities or locations that are potential sources of disruptions or threats

 Sufficient levels of physical security required to protect against identified threats

 Sufficient levels of information security required to protect against identified

threats

Furthermore, the [School District] has evaluated its daily operating facilities in accordance

with District risk and safety standard operating procedures or applicable District

standards. This evaluation is found at [insert document name or location].

D. PLANNING ASSUMPTIONS

This section should familiarize the reader with the underlying assumptions made during the planning process.

Sample text for this section is provided below.

This Continuity Annex is based on the following assumptions:

 An emergency condition may require the relocation of the [School District]’s

Emergency Relocation Group (ERG) to the continuity facility at [continuity facility

name]

 The [continuity facility name] will support the ERG and the continuation of the

[School District] essential functions by available communications and information

systems within (12 hours) from the time the Continuity Annex is activated, for

potentially up to a (30-day period) or until normal operations can be resumed

 The [School District] operations will continue to be available to support actions

directed by the Superintendent or a successor. However, in the event that ERG

deployment is not feasible due to the loss of personnel, the [School District] will

devolve to [list devolution office/region]

 [Insert additional assumptions here]

E. OBJECTIVES

All annexes and procedures should list the objectives that the annexes are designed to meet. Continuity

Planning objectives are identified in CGC 1. Sample text for this section is provided below.

 The [School District] continuity objectives are listed below:

1. Ensure essential functions can be performed, if applicable, under all

conditions.

2. Reduce the loss of life and minimize property damage and loss.

3. Execute a successful order of succession with accompanying authorities in

the event a disruption renders that District’s leadership unable, unavailable,

or incapable of assuming and performing their authorities and

responsibilities of office.

4. Reduce or mitigate disruptions to operations.

5. Ensure the [School District] has facilities where it can continue to perform

its essential functions, as appropriate, during a continuity event.

6. Protect essential facilities, equipment, records, and other assets, in the

event of a disruption.

7. Achieve the District’s timely and orderly recovery and reconstitution from

an emergency.

8. Ensure and validate continuity readiness through a dynamic and integrated

continuity Test, Training, and Exercise (TT&E) program and operational

capability.

F. SECURITY AND PRIVACY STATEMENT

This section should detail the classification of the COOP Annex. Since COOP and procedures are sensitive,

District-specific documents, at a minimum, District should classify their Annex as “For Official Use Only”.

Further, if the COOP Annex includes a roster of continuity personnel that includes personal information, such

as telephone numbers, that information is protected under the Privacy Act of 1974. District should consult

with its legal, security office, and/or similar office, to ensure their COOP Annex and procedures are

appropriately classified and marked. This section also should include dissemination instructions, including to

whom and via what means the District will disseminate the annex. Sample text for this section is provided

below.

This document is [insert classification information here, e.g. For Official Use Only].

Portions of the Annex contain information that raises personal privacy or other concerns,

and those portions may be exempt from mandatory disclosure under the Freedom of

Information Act (see 5 United States Code §552, 41 Code of Federal Regulations Part 105-

60). It is to be controlled, stored, handled, transmitted, distributed, and disposed of in

accordance with [insert security reference document] and is not to be released without

prior approval of the [insert title of approving authority] to the public or other personnel

who do not have a valid “need to know”.

Some of the information in this annex, if made public, could endanger the lives and privacy

of employees. In addition, the disclosure of information in this annex could compromise

the security of essential equipment, services, and systems of the [School District] or

otherwise impair its ability to carry out essential functions. Distribution of the COOP

Annex in whole or part is limited to those personnel who need to know the information in

order to successfully implement the annex.

The [District Name, office name] will distribute copies of the COOP Annex on a need to

know basis. [Insert procedures for distributing the Annex to the ERG and all personnel,

e.g. via hard copy or electronic copy or posting on internal websites]. In addition, copies

of the annex will be distributed to other District as necessary to promote information

sharing and facilitate a coordinated inter-District continuity effort. Further distribution of

the annex is not permitted without approval from the [insert office or position title]. The

[District Name, office name] will distribute updated versions of the COOP Annex annually

or as critical changes occur.

II. CONCEPT OF OPERATIONS

This section should explain how the District will implement its COOP Annex, and specifically, how it will

address each continuity element. This section should be separated into four phases: readiness and

preparedness, activation and relocation, continuity operations, and reconstitution operations. Devolution

planning strongly correlates in each phase, and also is addressed in this section.

A. PHASE I: READINESS AND PREPAREDNESS

This section should address the readiness and preparedness activities to ensure personnel can continue

essential functions. Readiness is the ability of a District to respond to a continuity event. This phase includes

all District continuity readiness and preparedness activities. Districts should only include those readiness and

preparedness activities and systems that are applicable to their annex. Sample text for this section is

provided below.

The [School District] will participate in the full spectrum of readiness and preparedness

activities to ensure personnel can continue essential functions in an all-hazard/threat

environment. The [School District] readiness activities are divided into three key areas:

 District readiness and preparedness,

 School readiness and preparedness, and

 Staff readiness and preparedness

District and School Readiness and Preparedness

The [District and/or School] preparedness incorporates hazard/threat warning systems,

which includes [list threat and warning systems here]. These are shared with and

incorporated into school emergency operations plans.

Staff Readiness and Preparedness

The [District and School] personnel will prepare for a continuity event and annex in

advance for what to do in an emergency. Personnel will also develop a family support

information to increase personal and family preparedness. (The www.ready.gov website

provides guidance for developing personal preparedness and includes a “Get Ready Now”

pamphlet that explains the importance of planning and provides a template that can be

tailored to meet family-specific planning requirements.)

The [District] continuity personnel will create and maintain drive-away kits. Identified

COOP personnel are responsible for carrying the kits to the continuity facility or pre-

positioning the kits at the COOP facility. A typical drive-away kit should contain those

items listed in the table below. The [School District] will implement the following

procedures to maintain currency of the drive-away kits: [Insert procedures here, such as

having COOP personnel bring kits on annual exercises, distributing materials updated

quarterly or establishing an acquisition program to regularly replace agency-supplied

emergency items].

SAMPLE: Drive-Away Kit

The following table lists suggested items for continuity drive-away kit contents.

Drive Away Kit

 Identification and charge cards

– District identification card

– Driver’s license

– District travel card

– Health insurance card

– Personal charge card

 Communication equipment

– Pager/BlackBerry

– District cell phone

– Personal cell phone

 Hand-carried vital records

 Continuity Annex

 Directions to continuity facility

 Maps of surrounding area

 Business and leisure clothing

 Flashlight

 Business and personal contact numbers

– Emergency phone numbers and addresses

(relatives, medical doctor, pharmacist)

 Toiletries

 Chargers/extra batteries for phones, GPS, and

laptop

 Bottled water and non-perishable food (i.e.,

granola, dried fruit, etc.)

 Medical needs

– Insurance information

– List of allergies/blood type

– Hearing aids and extra batteries

– Glasses and contact lenses

– Extra pair of eyeglasses/contact lenses

– Prescription drugs (30-day supply)

– Over-the-counter medications, dietary

supplements

 [Insert additional recommended items]

In addition, the [School District] will conduct the following continuity readiness and

preparedness activities: [insert any additional District readiness and preparedness

measures for District personnel here, such as orientation training, brown bags or

working lunch informational sessions, and senior management addresses to the District

regarding continuity, etc.].

B. PHASE II: ACTIVATION AND RELOCATION

This section should explain the activation process and relocation procedures from the primary operating

facility to the continuity facility. The Annex should provide a process or methodology for attaining

operational capability at the continuity facility (ies) with minimal disruption to operations within 12 hours of

Annex activation. This section should also address procedures and guidance for District personnel who will

not relocate to the continuity facility. Sample text for this section is provided below.

To ensure the ability to attain operational capability at continuity facilities and with

minimal disruption to operations, the [School District] will execute activation and

relocation plans described in the following sections.

Decision Process Matrix

Based on the type and severity of the emergency situation, the [School District] COOP

Annex may be activated by one of the following methods:

(1) The state governor, county executive or county commissioner, local mayor, city

mayor, or city administrator may initiate COOP activation

(2) The [District Superintendent], or a designated successor, may initiate the COOP

activation for the entire District, based on an emergency or threat directed at the

District

(3) [Insert additional activation measures here]

Continuity Annex activation and relocation are scenario-driven processes that allow

flexible and scalable responses to the full spectrum of all-hazards/threats that could

disrupt operations with or without warning and during work or non-work hours. COOP

activation will not be required for all emergencies or disruptions, since other actions may

be more appropriate.

The decision to activate the [School District] COOP and related actions will be tailored for

the situation and based on projected or actual impact and whether or not there is

warning. To support the decision-making process regarding annex activation, key District

personnel will use the decision matrix below to support that process.

SAMPLE: Decision Matrix

Decision Matrix for COOP Annex Implementation

Work Hours

Non-Work Hours

Event With Warning

 Is the threat aimed at the facility

or surrounding area?

 Is the threat aimed at District

personnel?

 Are employees unsafe remaining

in the facility and/or area?

 [Insert additional points here]

 Is the threat aimed at the facility

or surrounding area?

 Is the threat aimed at District

personnel?

 Who should be notified of the

threat?

 Is it safe for employees to return

to work the next day?

 [Insert additional points here]

Event Without

Warning

 Is the facility affected?

 Are personnel affected? Have

personnel safely evacuated or

are they sheltering-in-place?

 What are instructions from first

responders?

 How soon must the District be

operational?

 [Insert additional points here]

 Is the facility affected?

 What are instructions from first

responders?

 How soon must the District be

operational?

 [Insert additional points here]

As the decision authority, the [District Superintendent] will be kept informed of the threat

environment using all available means, including the [School District] Emergency

Communications Center, regional notification systems, school emergency communications

systems, local operations and State and local reporting channels and news media. The

[District Superintendent] will evaluate all available information relating to:

(1) Direction and guidance from higher authorities

(2) The health and safety of personnel

(3) The ability to execute essential functions

(4) Changes in threat advisories

(5) Intelligence reports

(6) The potential or actual effects on communications systems, information systems,

office facilities, and other vital equipment

(7) The expected duration of the emergency situation

(8) [Insert other agency considerations here]

Alert and Notification Procedures

The [School District] maintains plans and procedures for communicating and coordinating

activities with personnel before, during, and after a continuity event.

Before an event, personnel in the [School District] will monitor advisory information,

including the [insert applicable systems]. In the event normal operations are interrupted

or an incident appears to be imminent, the [School District] will take the following steps

to communicate the District’s operating status with all staff:

(1) The [District Superintendent] or designated successor will notify [insert

office/title] of the emergency requiring COOP activation

(2) [Insert notification steps here. Include methods of notification, name/group that

initiates notification and required responses of all District personnel upon

notification. If the District maintains an advance team to prepare the COOP site

for arrival, include here]

(3) The [School District] personnel will notify family members, next of kin, and/or

emergency contacts of COOP activation

Upon the decision to activate the Continuity Annex, the [School District] will notify all

[School District] personnel, as well as affected and interdependent entities with

information regarding continuity activation and relocation status, operational and

communications status, and the anticipated duration of relocation. These entities include:

 Continuity facilities and on-site support teams with information regarding COOP,

relocation status, and the anticipated duration of relocation

 The [School District]’s Operations Center via [include contact information], the

[District/Entity Name] and other applicable elements/entities with information

regarding continuity activation and relocation status, the [School District]’s COOP

facility, operational and communication status, and the anticipated duration of

relocation

 All [School District] employees with instructions and guidance regarding the

continuity activation and relocation

 District headquarters, if a subordinate District

 Subordinate Districts, if an District headquarters

 [Insert other points-of-contact, adjacent Districts, customers, stakeholders, and

interdependent agencies here]

Relocation Process

Once the COOP Annex is activated and personnel are notified, the [School District] will

relocate continuity personnel and vital records to the [School District] continuity

facility(ies). The [School District] continuity personnel will deploy/relocate to the

continuity facility(ies) to perform the [School District]’s essential functions and other

continuity-related tasks. A map and directions to the continuity facility will be included as

part of the COOP Annex [insert where the map is in the Annex].

Emergency procedures during work hours with or without a warning will be implemented

as follows:

 Continuity personnel, including advance team personnel, if applicable, will depart

to the designated continuity facility from the primary operating facility or current

location using [insert method of transportation, such as privately owned vehicles,

buses, etc. here. Include any provisions made regarding the transport of disabled

continuity employees].

 Non-continuity personnel present at the primary operating facility or another

location will receive instructions from the [insert authority]. In most scenarios,

non-continuity personnel will be directed to proceed to their homes or other

[School District] facilities to wait for further guidance.

 At the time of notification, if available, information will be provided regarding

safety precautions and routes to use when leaving the primary operating facility.

Emergency procedures during non-working hours with or without a warning will be

implemented as follows:

 Advance team members, if applicable, will deploy to the designated continuity

facility from their current location using [insert method of transportation, such as

privately owned vehicles, buses, etc. here. Include any provisions made

regarding the transport of disabled continuity employees] at [insert time here,

such as immediately, the time specified during notification, etc.].

 Continuity personnel will depart to the assigned continuity facility from their

current location using [insert method of transportation, such as privately owned

vehicles, buses, etc. here. Include any provisions made regarding the transport

of disabled continuity employees] at [insert time here, such as immediately, the

time specified during notification, etc.].

 Non-continuity personnel will remain at their residence or other designated facility

to wait for further instructions.

Non-continuity personnel may be required to replace or augment continuity personnel

during activation. These activities will be coordinated by the [insert office/title] with the

replacement staff on a case-by-case basis. Non-continuity personnel will remain available

to replace or augment continuity personnel, as required.

The Superintendent or designee will direct the [School District]’s non-continuity

personnel to move to [insert location, such as another facility, duty station, or home]

until further notice.

In the event of an activation of the COOP Annex, the [School District] may need to procure

necessary personnel, equipment, and supplies that are not already in place for continuity

operations on an emergency basis. The [Insert office/title/authority] maintains the

authority for emergency procurement. Instructions for these actions are found [insert

instructions below or insert location of instructions if found in another document].

C. PHASE III: CONTINUITY OPERATIONS

This section should describe the initial arrival process and operational procedures for the continuation of

essential functions. Sample text for this section is provided below.

Upon activation of the COOP Annex, the [School District] will continue to operate at its

primary operating facility until ordered to cease operations by the [insert authority] using

[insert method of notification here]. At that time, essential functions will transfer to the

continuity facility. The [School District] must ensure that the COOP Annex can be

operational within (12 hours) of annex activation.

The advance team will be first to arrive at the continuity facility to prepare the site for the

arrival of the continuity personnel. Upon arrival at the continuity facility, the advance

team will:

 Ensure infrastructure systems, such as power and heating, ventilating, and air

conditioning are functional

 Prepare check-in duty stations for the Emergency Relocation Group (ERG) arrival

 Address telephone inquiries from ERG and non-ERG staff

 [Insert additional tasks here]

As continuity personnel arrive, the [insert office/title] will conduct in-processing to ensure

accountability. In-processing procedures are conducted at [insert exact location of in-

processing] and will include: [insert steps to in-process continuity personnel here,

including how to obtain the roster of continuity personnel and how the District will

reach individuals who have not in-processed for accountability, etc.]. In addition, the

office will identify all District leadership available at the continuity facility.

Upon arrival at the continuity facility, the [School District] continuity personnel will:

 Report immediately to [insert location] for check-in and in-processing

 Receive all applicable instructions and equipment

 Report to their respective workspace as identified in [insert location] or as

otherwise notified during the activation process

 Retrieve pre-positioned information and activate specialized systems or equipment

 Monitor the status of [School District]’s personnel and resources

 Continue [School District]’s essential functions

 Prepare and disseminate instructions and reports, as required

 Comply with any additional continuity reporting requirements with the [School

District]

 Notify family members, next of kin, and emergency contacts of preferred contact

methods and information

 [Insert additional tasks here]

A requirement of continuity personnel is to account for all [School District] personnel.

The [School District] will use the following processes to account for all personnel:

 [Insert processes here, such as using call down telephone trees, a 1-800 number,

an alert and notification system, a pre-populated dark web site, etc. Include

what office/title is responsible and how they will communicate with personnel

who are unaccounted for.]

During continuity operations, the [School District] may need to acquire necessary

personnel, equipment, and supplies on an emergency basis to sustain operations for up to

30 days or until normal operations can be resumed. The [Insert office/title/authority]

maintains the authority for emergency acquisition. Instructions for these actions are

found [insert instructions below or insert location of instructions if found in another

document].

D. PHASE IV: RECONSTITUTION OPERATIONS

District should identify and outline an Annex to return to normal operations once District administration or

successors determine that reconstitution operations for resuming normal business operations can be

initiated. Sample text for this section is provided below.

Within [insert time period] of an emergency relocation, the following individuals will

initiate and coordinate operations to salvage, restore, and recover the [School District]

primary operating facility after receiving approval from the appropriate State and local law

enforcement and emergency services:

 [Insert title] will serve as the Reconstitution Manager for all phases of the

reconstitution process

 Each [School District] subcomponent will designate a reconstitution point-of-

contact (POC) to work with the Reconstitution Team and to update office

personnel on developments regarding reconstitution and provide names of

reconstitution POCs to [insert title/office] within [insert number] hours of the

Continuity Annex activation

During continuity operations, [insert office/title] must determine the status of the

primary operating facility affected by the event by [insert methods here]. Upon obtaining

the status of the facility, [School District] will determine how much time is needed to

repair the primary operating facility and/or acquire a new facility. This determination is

made in conjunction with [insert offices and District here]. Should [School District]

decide to repair the facility, [insert office/title] has the responsibility of supervising the

repair process and must notify [insert office/title] of the status of repairs, including

estimates of when the repairs will be completed.

Reconstitution will commence when the [District Superintendent] or other authorized

person ascertains that the emergency situation has ended and is unlikely to reoccur.

These reconstitution plans are viable regardless of the level of disruption that originally

prompted implementation of the COOP Annex. Once the appropriate [School District]

authority has made this determination in coordination with other State, local and/or other

applicable authorities, one or a combination of the following options may be

implemented, depending on the situation:

 Continue to operate from the continuity facility

 Reconstitute the [School District] primary operating facility and begin an orderly

return to the facility

 Begin to establish a reconstituted [School District] in another facility or at another

designated location

 [Insert any additional District options here]

Before relocating to the primary operating facility or another facility, the [insert

office/title] will conduct appropriate security, safety, and health assessments to

determine building suitability. In addition, the [insert office/title] will verify that all

systems, communications, and other required capabilities are available and operational

and that the [School District] is fully capable of accomplishing all essential functions and

operations at the new or restored primary operating facility.

Upon a decision by the [District Superintendent] or other authorized person that the

[School District] primary operating facility can be reoccupied or that [School District] will

be reestablished in a different facility:

 The [School District] Continuity Coordinator or other authorized individual must

notify the [insert offices and District and contact information here] when

available, and other applicable operations centers with information regarding

continuity activation and relocation status, the [School District] continuity facility,

operational and communication status, and anticipated duration of relocation. The

[School District] shall submit a Continuity Status Reporting Form, only if it contains

more information beyond what has been reported, to [insert contact information

for appropriate status reporting procedures here] using the form and procedures

provided by the [School District] or other specified continuity POC.

 The [Insert office/title] will develop space allocation and facility requirements.

 The [Insert office/title] will notify all personnel that the emergency or threat of

emergency has passed and actions required of personnel in the reconstitution

process using [insert method of communication here].

 The [Insert office/title] will coordinate with the [School District] and/or other

applicable facility management group to obtain office space for reconstitution, if

the primary operating facility is uninhabitable.

 The [Insert office/title] will develop procedures, as necessary, for restructuring

staff.

 The [Insert any additional activities associated with Planning for reconstitution

here].

Upon verification that the required capabilities are available and operational and that the

[School District] is fully capable of accomplishing all essential functions and operations at

the new or restored facility, the [insert office/title] will begin supervising a return of

personnel, equipment, and documents to the primary operating facility or a move to a

temporary or new permanent primary operating facility. The phase-down and return of

personnel, functions, and equipment will follow the priority-based plan and schedule

outlined below; the [School District] will develop return plans based on the incident and

facility within [insert number] hours of plan activation.

 [Insert priority-based phase-down and return plan here]

The [School District] will continue to operate at its continuity facility until ordered to

cease operations by the [insert authority] using [insert method of notification here]. At

that time, essential functions will transfer to the primary operating facility. The [School

District] has developed plans to instruct personnel on how to resume normal operations

as outlined below; the [School District] will develop resumption plan based on the

incident and facility within [insert number] hours of plan activation.

 [Insert normal operations resumption plan here]

The [Insert office/title] will identify any records affected by the incident by [insert

identification processes or contacts here]. In addition, the [insert office/title] will

effectively transition or recover vital records and databases, as well as other records that

had not been designated as vital records, using the Annex outlined below; the [School

District] will develop vital records transition and recovery plan based on the incident and

facility within [insert number] hours of plan activation.

 [Insert vital records transition and recovery plan here].

When the continuity personnel, equipment, and documents are in place at the new or

restored primary operating facility, the remaining [School District] staff at the continuity

facility or devolution site will transfer essential functions, cease operations, and deploy to

the new or restored primary operating facility. The [Insert title or titles] will oversee the

orderly transition from the continuity facility of all [School District] functions, personnel,

equipment, and records to a new or restored primary operating facility. The [Insert

office/title] will develop a process for receiving and processing employee claims during

the continuity event, including processing human capital claims (such as, Workers’

Compensation, compensation for injuries, overtime pay, etc.) and replacing lost or broken

equipment.

The [School District] will conduct an After Action Review (AAR) once back in the primary

operating facility or in a new primary operating facility. The [Insert office/title] is

responsible for initiating and completing the AAR and all offices within [School District]

will have the opportunity to provide input to the report. The AAR will address the

effectiveness of the COOP Annex and procedures, identify areas for improvement,

document these in the [School District] Corrective Action Program (CAP), and then

develop a remedial action Annex as soon as possible after the reconstitution. The [Insert

office/title] is responsible for documenting areas for improvement in the CAP and

developing a remedial action plan. In addition, the AAR will identify which, if any, records

were affected by the incident, and will work with the [insert office] to ensure an effective

transition or recovery of vital records and databases and other records that had not been

designated as vital records. AAR and CAP documentation are maintained by the [insert

office] and are found at [insert location].

E. DEVOLUTION OF CONTROL AND DIRECTION

Devolution Planning should support overall continuity Planning and addresses the full spectrum of all-

hazard/threat emergency events that may render District’s leadership or staff unavailable to support, or

incapable of supporting the execution of the District’s essential functions from either its primary operating

facility or continuity facility. Sample text for this section is provided below.

The [School District] is prepared to transfer all of its essential functions and

responsibilities to personnel at a different location should emergency events render

leadership or staff unavailable to support the execution of [School District]’s essential

functions. If deployment of continuity personnel is not feasible due to the unavailability of

personnel, temporary leadership of the [School District] will devolve to [insert office

name and location].

The [Insert office/title] maintains responsibility for ensuring the currency of the [School

District] devolution plan. The [School District] devolution plan:

(1) Includes the elements of a viable continuity capability: program Annexes and

procedures, budgeting and acquisitions, essential functions, orders of succession

and delegations of authority specific to the devolution site, interoperable

communications, vital records management, staff, TT&E, and reconstitution. The

[School District] devolution plan is located at [insert location, insert devolution

plan below, or insert the applicable plan, appendix, attachment, etc. for

devolution].

(2) Identifies prioritized essential functions, defines tasks that support those essential

functions, and determines the necessary resources to facilitate those functions.

The list of prioritized essential functions for devolution is found at [insert location].

(3) Includes a roster that identifies fully equipped and trained personnel who will be

stationed at the designated devolution site and have the authority to perform

essential functions and activities when the devolution option of the COOP Annex is

activated. The devolution personnel roster is found at [insert location].

(4) Identifies what would likely activate or “trigger” the devolution option and

specifies how and when control and direction of the [School District] operations

will be transferred to and from the devolution site. Devolution activation protocols

or “triggers” are found at [insert location or insert below].

(5) Lists or references the necessary resources (i.e., equipment and materials) to

facilitate the immediate and seamless transfer of and performance of essential

functions at the devolution site. The list of necessary resources for devolution is

found at [insert location].

(6) Establishes and maintains reliable processes and procedures for acquiring the

resources necessary to continue essential functions and to sustain those

operations for extended periods. The [insert office/title] is responsible for

acquiring resources during a devolution situation. Acquisition processes and

procedures are found [insert location].

(7) Establishes and maintains a capability to restore or reconstitute the [School

District] authorities to their pre-event status upon termination of devolution.

[School District] conducts and documents annual training of devolution staff and a

biennial exercise to ensure essential functions are capable of being performed during

devolution. This documentation includes the dates of all TT&E events and names and

titles of participating staff. The [School District] devolution TT&E documentation is

maintained by [insert office/title] and is found at [insert location]. Further, the [School

District] CAP supports the devolution program. The [School District] CAP is maintained by

[insert office/title] and CAP documentation is found at [insert location].

III. DISTRICT AND ASSIGNMENT OF RESPONSIBILITIES

This section should include additional delineation of continuity responsibilities of each key staff position.

Sample text for this section is provided below.

Key staff positions within the [School District], to include individual continuity members,

those identified in the orders of succession and delegation of authority, the [School

District] Continuity Coordinator, continuity managers, and others possess additional

continuity responsibilities. The responsibilities of these key continuity personnel are

delineated [insert location].

SAMPLE The following table shows examples of some continuity responsibilities.

Position

Responsibilities

Superintendent/Principal, etc.

 Provide strategic leadership and overarching policy

direction for the continuity program

 Implement the COOP Annex when necessary, or when

directed by a higher authority

 Update and promulgate orders of succession and

delegations of authority

 Ensure adequate funding is available for emergency

operations

 Ensure all District components participate in continuity

exercises

 Update COOP Annex annually – delegated to whom

Communications Manager

 Update telephone rosters monthly

 Conduct alert and notification tests

Records Manager

 Review status of vital records, files, and databases

Training Manager

 Develop and lead Continuity training

 Annex Continuity exercises

Continuity Personnel

 Be prepared to deploy and support District essential

functions in the event of Continuity Annex

implementation

 Provide current contact information to manager

 Be familiar with continuity Planning and know individual

roles and responsibilities in the event of Continuity Annex

activation

 Participate in continuity training and exercises as directed

 Have a telework agreement for this position, if applicable

IV. DIRECTION, CONTROL, AND COORDINATION

This section should describe the framework for all devolution of control, direction, and coordination activities.

Sample text for this section is provided below.

During activation of the COOP Annex, the [District Superintendent] maintains

responsibility for control and direction of the [School District]. Should the [District

Superintendent] become unavailable or incapacitated; the District will follow the

directions laid out in [Annex reference, Orders of Succession] and [Annex reference,

Delegations of Authority].

The contents and procedures laid forth in this COOP Annex are consistent with the

direction found in Continuity Guidance Circular 1 and the annex is reviewed and vetted

annually by [insert internal District, school and other appropriate personnel] to ensure

vertical integration within the [School District].

V. DISASTER INTELLIGENCE

This section should describe the required critical or essential information common to all continuity events. In

general terms, it should identify the type of information needed, where it will come from, who will use it, how

it will be shared, the format it will be provided in, and when (time) the information will be needed. Sample

text for this section is provided below.

During a continuity event, the [School District] will require the collection and

dissemination of critical information. While specific incidents may create additional or

specialized reporting requirements, the following table lists examples of the information

that would be collected and reported regardless of incident type.

SAMPLE

The following table shows examples of some disaster intelligence collection requirements.

Information

Element

Specific

Requirement

Responsible

Element

Deliverables

When

Needed

Distribution

Personnel

Accountability

Account for

all ERG and

non-ERG

employees

Account for

all contract

personnel

Human

Resources

Division

Reports

Briefings

Status

updates

hourly

following

Annex

activation

[District

Superintendent]

Operational

Status

Percent of

ERG

personnel

arrived at site

Ability to

conduct each

essential

function

Continuity

Manager

Division

Representatives

Situation

briefings

Situation

reports

No later

than 6

hours

after

Annex

activation,

then

hourly

[District

Superintendent]

Hazard

Information

Threat details

specific to the

continuity

facility

Response

coordination

center or

emergency

operations

center

Situation

briefings

Situation

reports

Two times

per day at

shift

change

[All District

component/sub-

component

heads]

VI. COMMUNICATIONS

This section should address communications systems needed to ensure connectivity during crisis and disaster

conditions. The ability of a District to execute its essential functions at its continuity facility(ies) depends on

the identification, availability, and redundancy of critical communications and information technology (IT)

systems to support connectivity among key District leadership personnel, internal District and school

elements, other critical partners, and the public, during crisis and disaster conditions. Sample text for this

section is provided below.

The [School District] has identified available and redundant critical communications

systems that are located at the primary operating facility and continuity facility. Further,

the [School District] maintains fully capable continuity communications that support

District needs during all hazards/threats, to include pandemic and other related

emergencies, and give full consideration to supporting social distancing operations

including telework and other virtual offices. In addition, the [School District] maintains

communications equipment for use by employees with disabilities and hearing

impairment.

All [School District]’s necessary and required communications and IT capabilities should

be operational within (12 hours) of continuity activation.

Additional detailed information on the [School District]’s communications systems and

requirements is found in [Annex, Appendix, or Attach reference, Continuity

Communications].

VII. BUDGETING AND ACQUISITION OF RESOURCES

The Budgeting and Acquisition section should identify the people, communications, facilities, infrastructure,

and transportation requirements necessary to the successful implementation and management of a District’s

continuity program. In addition, the District must identify and provide funding and specific budgetary

guidance and requirements for the District, including subordinate components. This section aligns with the

Administration, Finance, and Logistics section of the Comprehensive Preparedness Guide 101. Sample text

for this section is provided below.

The [School District] budgets for and acquires those resources and capabilities essential to

continuity operations. A copy of the continuity budget is found at [insert location, office].

Within this budget, the [School District] budgets for continuity resources and capabilities

in accordance with the [District policy title(s)] and other applicable directives and

provides for the acquisition of those resources necessary for continuity operations on an

emergency basis for up to 30 days or until normal operations can be resumed.

As part of the budget process, the [School District] uses a risk management methodology

to identify, prioritize, and justify the allocation of budgetary resources. The risk

management methodology used is [insert methodology here] and a copy of the risk

management documents can be found [insert location, office].

The [School District] integrates the continuity budget with its long-term strategic plan and

links the budget directly to objectives and metrics set forth in that plan. A copy of the

strategic plan is found at [insert location].

For those contracts vital to the support of District essential functions, the [School District]

has ensured contractor statements of work include the provision to provide staffing,

services, and resources during emergency conditions. A list of vital contracts is found at

[insert location] and maintained by the [insert office/title]. During an emergency

situation, the [insert office/title] is responsible for oversight and handling of emergency

work by contractors.

For additional information on budgeting and acquisition of resources, see CGC 1, Annex C.

VIII. ANNEX DEVELOPMENT AND MAINTENANCE

This section should describe the process the District uses to maintain the currency of the COOP Annex. It

identifies who is responsible for annex currency, how often the annex will be reviewed and updated, and

describes the coordination process. Sample text for this section is provided below.

The [District Name, office, title] is responsible for maintaining the [School District]

Continuity Annex.

The Continuity Annex, [School District] essential functions, and supporting activities, will

be reviewed by the [insert office name] and updated annually from the date of

publication as part of the maintenance of continuity plans and procedures. The [Office

Name] is responsible for the annual Annex review and update. In addition, the Annex will

be updated or modified when there are significant District, procedural changes, or other

events that impact continuity processes or procedures. Comments or suggestions for

improving this annex may be provided to the [Office Name].

IX. AUTHORITIES AND REFERENCES

The key authorities and references on which the District’s COOP Annex is based should be listed here. An

example of typical authorities and references are listed below.

AUTHORITIES and REFERENCES:

 [Enter title of District policy or directive here].

1) [Enter RCW / WAC here].

2) Directive 51/Homeland Security Presidential Directive 20, National Continuity

Policy, dated May 9, 2007.

3) Continuity Guidance Circular 1, Continuity Guidance for Non-Federal Entities

(States, Territories, Tribal, and Local Government Jurisdictions and Private Sector

Districts), dated January 21, 2009.

4) Continuity Guidance Circular 2, Continuity Guidance for Non-Federal Entities:

Mission Essential Functions Identification Process (States, Territories, Tribes, and

Local Government Jurisdictions), dated July 22, 2010.

5) FEMA Continuity of Operations Annex Template Instructions.

6) FEMA Continuity of Operations Annex Template.

7) FEMA Devolution Annex Template.

8) FEMA Comprehensive Preparedness Guide 101 v.2, Developing and Maintaining

State, Territorial, Tribal, and Local Government Emergency Annex, dated March

2009.

9) [Enter title of District Annex, guidance, etc.].

10) [Enter title of District Annex, guidance, etc.].

X. Test, Training, and Exercises Program (TT&E)

This section should focus on the District’s TT&E program. All Districts should develop and maintain a

continuity TT&E program for conducting and documenting TT&E activities and identifying the components,

processes, and requirements for the identification, training, and preparedness of personnel needed to

support the continued performance of their MEFs. Sample text for this section is provided below.

The [School District] has established an effective TT&E program to support the District’s

preparedness and validate the continuity capabilities, program, and ability to perform

essential functions during any emergency. The testing, training, and exercising of

continuity capabilities is essential to demonstrating, assessing, and improving the [School

District]’s ability to execute the continuity program, plans, and procedures.

 Training familiarizes continuity personnel with their roles and responsibilities in

support of the performance of a District’s essential functions during a continuity

event.

 Tests and exercises serve to assess, validate, or identify for subsequent correction,

all components of continuity plans, policies, procedures, systems, and facilities

used in response to a continuity event. Periodic testing also ensures that

equipment and procedures are kept in a constant state of readiness.

In accordance with NIMS, the [School District] performs TT&E events at regular intervals,

as shown in the table below:

Training & Exercise Checklist

Continuity Training &Exercise Requirements

Monthly

Quarterly

Annually

Required

Test and validate equipment to ensure internal and

external interoperability and viability of

communications systems



Test alert, notification, and activation procedures for

all continuity personnel



Test primary and back-up infrastructure systems and

services at continuity facilities



Test capabilities to perform essential functions



Test Annexs for recovering vital records, critical

information systems, services, and data



Test and exercise of required physical security

capabilities at continuity facilities



Test internal and external interdependencies with

respect to performance of essential functions



Train continuity personnel on roles and responsibilities



Conduct continuity awareness briefings or orientation

for the entire workforce



Train District’s leadership on essential functions



Train personnel on all reconstitution Annexs and

procedures



Allow opportunity for continuity personnel to

demonstrate familiarity with continuity Annexs and

procedures and demonstrate District’s capability to

continue essential functions



Conduct exercise that incorporates the deliberate and

pre-Annexed movement of continuity personnel to

continuity facilities



Conduct assessment of District’s continuity TT&E

programs and continuity Annexs and programs



Report findings of all annual assessments to the [insert

office/position title]



Conduct successor training for all District personnel

who assume the authority and responsibility of the

District’s leadership if that leadership is incapacitated

or becomes otherwise unavailable during a continuity

situation



Train on the identification, protection, and ready

availability of electronic and hardcopy documents,

references, records, information systems, and data

management software and equipment needed to

support essential functions during a continuity

situation for all staff involved in the vital records

program



Continuity Training &Exercise Requirements

Monthly

Quarterly

Annually

Required

Test capabilities for protecting classified and

unclassified vital records and for providing access to

them from the continuity facility



Train on an District’s devolution option for continuity,

addressing how the District will identify and conduct its

essential functions during an increased threat situation

or in the aftermath of a catastrophic emergency



Conduct personnel briefings on continuity plans that

involve using or relocating to continuity facilities,

existing facilities, or virtual offices



Allow opportunity to demonstrate intra- and

interagency continuity communications capability



Allow opportunity to demonstrate back-up data and

records required for supporting essential functions at

continuity facilities are sufficient, complete, and

current



Allow opportunity for continuity personnel to

demonstrate their familiarity with the reconstitution

procedures to transition from a continuity environment

to normal activities



Allow opportunity for continuity personnel to

demonstrate their familiarity with agency devolution

procedures



The [School District] formally documents and reports all conducted continuity TT&E

events, including the event date, type, and participants. Documentation also includes test

results, feedback forms, participant questionnaires, and other documents resulting from

the event. Continuity TT&E documentation for the [School District] is managed by the

[insert office/title] and is found at [insert location]. Further, the [School District]

conducts a comprehensive debriefing after each exercise, which allows participants to

identify systemic weaknesses in plans and procedures and recommend revisions to the

District’s continuity Annex. Documentation from TT&E debriefings are found [insert

location].

SAMPLE: TT&E Documentation

The following table shows possible documentation for a TT&E event.

Event

Event Type

and Purpose

Date

Confirmation

Initials or

Signature

Continuity Facility

Communications

Check

Test and validate equipment

to ensure internal and

external interoperability and

viability of communications

August 1, 2013

[insert

signature]

Event

Event Type

and Purpose

Date

Confirmation

Initials or

Signature

systems

Participants

Office

Phone/Email

Jane Doe

Office of the

Superintendent/Principal

222-222-2222

[email protected]v

/s/ Jane Doe

Jon Smith

Human Resources

111-111-1111

[email protected]ov

/s/ John Smith

The [School District] has developed a Corrective Action Plan (CAP) to assist in

documenting, prioritizing, and resourcing continuity issues identified during TT&E

activities, assessments, and emergency operations. The [School District] CAP incorporates

evaluations, AARs, and lessons learned from a cycle of events into the development and

implementation of its CAP. The [School District] CAP is maintained by the [insert

office/title] and documentation is found at [insert location].

SAMPLE: Corrective Action Program

The following

table shows p

Capabilityossible

docmentation for

a CAP entry for a

TT&E

Observation

Recommendation

Corrective

Action

Capability

Element

Primary

Responsible

Office

School

POC

Start

Date

End

Date

Planning

District did

not conduct

a hotwash

following

March 20xx

exercise.

District should

conduct

hotwashes in

order to allow

participants to

provide

suggestions on

areas of strengths

and weaknesses.

Exercise

director

will Annex

and

execute

hotwash

after

December

20xx

exercise

and

incorporate

comments

into AAR.

Planning

[School

District]

Exercise

Director,

Jon Doe,

(111)

111-

1111

Mar.

20xx

Dec.

20xx

For information on the Homeland Security Exercise and Evaluation Program (HSEEP), see

https://hseep.dhs.gov.

RECORD OF CHANGES

Track and record the changes using a record of changes table when changes are made to

the COOP Annex outside the official cycle of Annex review, coordination, and update. The

record of changes should contain, at a minimum, a change number, the date of the

change, the name of the person who made the change, and a description of the change.

Document Change Table

The following table is used to track Annex changes.

Change Number

Section

Date of

Change

Individual Making

Change

Description of Change

RECORD OF DISTRIBUTION

The record of distribution, usually in table format, should indicate the title and the name of

the person receiving the Annex, the agency to which the receiver belongs, the date of

delivery, the method of delivery, and the number of copies delivered. The record of

distribution can be used to verify that tasked individuals and District have acknowledged

their receipt, review, and/or acceptance of the Annex.

Document Transmittal Record

The following table provides a record of distribution.

Date of

Delivery

Number of Copies

Delivered

Method of Delivery

Name, Title, and District of Receiver

Continuity Plan Template and Instructions for Non-Federal Entities February 25, 2011

GLOSSARY

The glossary should list key words and phrases used in the Continuity Annex that require

explanation or definition. An example of some key words and phrases that would be

used in the Continuity Annex area listed below. Include any necessary district-specific

terms.

Activation – Once a continuity of operations Annex has been implemented, whether in

whole or in part, it is considered “activated.”

District Head – The highest-ranking official of the primary occupant District, or a

successor or designee who has been selected by that official.

All-Hazards – The spectrum of all types of hazards including accidents, technological

events, natural disasters, terrorist attacks, warfare, and chemical, biological including

pandemic influenza, radiological, nuclear, or explosive events.

Alternate Facilities – Locations, other than the primary facility, used to carry out

essential functions, particularly in a continuity event. “Alternate facilities” refers to not

only other locations, but also nontraditional options such as working at home

(teleworking), telecommuting, and mobile-office concepts.

Business Impact Analysis (BIA) – A method of identifying the effects of failing to

perform a function or requirement.

Business Process analysis (BPA) – A method of examining, identifying, and mapping the

functional processes, workflows, activities, personnel expertise, systems, data, and

facilities inherent in the execution of a function or requirement.

Communications – Voice, video, and data capabilities that enable the leadership and

staff to conduct the mission essential functions of the District. Robust communications

help ensure that the leadership receives coordinated, integrated policy and operational

advice and recommendations and will provide the ability for governments and the

private sector to communicate internally and with other entities (including with other

Federal agencies, State, territorial, tribal, and local governments, and the private sector)

as necessary to perform their Mission Essential Functions (MEFs).

Continuity – An uninterrupted ability to provide services and support, while maintaining

District viability, before, during, and after an event.

Continuity Facilities – Locations, other than the primary facility, used to carry out

essential functions, particularly in a continuity situation. “Continuity facilities” refers to

not only other locations, but also nontraditional options such as working at home

(teleworking), telecommuting, and mobile-office concepts.

Continuity of Operations – An effort within individual agencies to ensure they can

continue to perform their Mission Essential Functions and Primary Mission Essential

Continuity Plan Template and Instructions for Non-Federal Entities February 25, 2011

Functions during a wide range of emergencies, including localized acts of nature,

accidents, and technological or attack-related emergencies.

Continuity Event – Any event that causes an agency to relocate its operations to an

alternate or other continuity site to assure continuance of its essential functions.

Continuity Personnel – Those personnel, both senior and core, who provide the

leadership advice, recommendations, and functional support necessary to continue

essential operations

Corrective Action Program – An organized method to document and track improvement

actions for a program. The Corrective Action Program (CAP) system is a web-based tool

that enables Federal, State, and local emergency response and homeland security

officials to develop, prioritize, track, and analyze corrective actions following exercises

or real world incidents. Users may enter data from a finalized After Action

Report/Improvement Annex, track the progress of corrective action implementation,

and analyze and report on trends in improvement Annexs.

Delegation of Authority – Identification, by position, of the authorities for making policy

determinations and decisions at headquarters, field levels, and all other District

locations. Generally, pre-determined delegations of authority 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 operating staff and facilities to other

agency employees and facilities, and to sustain that operational capability for an

extended period.

Essential Functions – The critical activities performed by Districts, especially after a

disruption of normal activities. There are three categories of essential functions:

National Essential Functions, Primary Mission Essential Functions, and Mission Essential

Functions.

Facilities – Locations where a District’s leadership and staff operate. Leadership and

staff may be co-located in one facility or dispersed across many locations and connected

by communications systems. Facilities must be able to provide staff with survivable

protection and must enable continued and endurable operations.

Interoperable Communications – Communications that provide the capability to

perform essential functions, in conjunction with other Districts/entities, under all

conditions.

Leadership – The senior decision makers who have been elected (e.g., the President,

State governors) or designated to head a branch of government or other District.

Continuity Plan Template and Instructions for Non-Federal Entities February 25, 2011

Memorandum of Agreement/Memorandum of Understanding – Written agreement

between departments/agencies that require specific goods or services to be furnished

or tasks to be accomplished by one District in support of the other.

Mission Essential Functions – The limited set of agency-level government functions that

must be continued throughout, or resumed rapidly after, a disruption of normal

activities.

Orders of Succession – Provisions for the assumption by individuals of District senior

leadership positions during an emergency in the event that any of those officials are

unavailable to execute their legal duties.

Primary Operating Facility – The site of a District’s normal, day-to-day operations; the

location where the employee usually goes to work.

Reconstitution – The process by which surviving and/or replacement District personnel

resume normal operations from the original or replacement primary operating facility.

Risk Analysis – The process by which risks are identified and evaluated.

Risk Assessment – The identification and assessment of hazards.

Risk Management – The process of identifying, controlling, and minimizing the impact

of events whose consequences are or may be unknown, or events that are fraught with

uncertainty.

Telework – The ability to work at a location other than the official duty station to

perform work or emergency duties. This may include, but is not limited to, using

portable computers, personal computers, high-speed telecommunications links, and

mobile communications devices.

Testing, Training, and Exercises – Measures to ensure that an agency’s continuity Annex

is capable of supporting the continued execution of the agency’s essential functions

throughout the duration of a continuity situation.

Virtual Offices – An environment where employees are not collocated and rely

exclusively on information technologies to interact and conduct their work across

distance from multiple geographic locations.

Vital Records – Electronic and hardcopy documents, references, and records that are

needed to support essential functions during a continuity situation. The two basic

categories of vital records are (1) emergency operating records and (2) rights and

interests records.

Continuity Plan Template and Instructions for Non-Federal Entities February 25, 2011

ACRONYMNS

AAR After Action Report

BIA Business Impact Analysis

BPA Business Process Analysis

CAP Corrective Action Program

CGC Continuity Guidance Circular

COOP Continuity of Operations Plan

DOE Department of Education

EOP Emergency Operations (Safety) Plan

EMD Emergency Management Department

ERG Emergency Relocation Group

IP Improvement Plan

IT Information Technology

LEA Local Education Agency (School District)

Law Enforcement Agency

MEF Mission Essential Function

MOA Memorandum of Agreement

MOU Memorandum of Understanding

OSPI Office of Superintendent of Public Instruction

SEA State Education Agency (OSPI)

STTEF State, Territorial, and Tribal Essential Function

TT&E Test, Training, and Exercise

Continuity Plan Template and Instructions for Non-Federal Entities February 25, 2011

AUTHORITIES AND REFERENCES

Identify and list federal, state and local statutes, regulations, district policies or other

documents used in the development of the continuity of operations plan.

ATTACHMENTS

IMPLEMENTING INSTRUCTIONS

Implementing instructions should be included as attachments or referenced. Implementing Instructions serve

to provide additional information on sections presented in the COOP Annex. Sample text for this section is

provided below.

 Operational Checklists: A checklist is a simple tool that ensures all required tasks are accomplished

so that the District can continue operations at an alternate location. Checklists may be designed to

list the responsibilities of a specific position or the steps required to complete a specific task.

 Emergency Calling Directory

 Emergency Relocation Team Checklist and Essential Functions Checklist

 Continuity Site Acquisition Checklist

 Emergency Operating Records and IT Checklist

 Emergency Equipment Checklist

 Delegations of Authority

 Orders of Succession

 Maps and directions to the continuity facility and seating chart of the facility

I. Essential Functions

The essential functions section should include a list of the District’s prioritized Mission Essential Functions

(MEFs). The COOP Annex should identify the components, processes, and requirements that ensure the

continued performance of the District’s essential functions.

A. IDENTIFICATION OF MISSION ESSENTIAL FUNCTIONS (MEF)

The [School District] has completed the MEF process to identify those functions that the

[School District] must continue.

The [School District]’s MEFs are based on its mission and role in support of the

continued to ensure the well-being of their school communities.

Mission Essential Functions (MEF)

Each District should identify and prioritize their District MEFs and ensure the continued performance of

those MEFs. In general, the process for identifying MEFs at every level of government is the same and is

described in detail in CGC 2. Sample text for this section is provided below.

District MEFs are a limited set of their District functions that must be continued

throughout, or resumed rapidly after, a disruption of normal activities. Using CGC 2

guidance, the [School District] implemented the MEF identification process to identify

and prioritize their District MEFs. The [School District]’s MEFs, as validated and

approved by the [enter District approving official title], are listed below in priority

order.

1. [Insert District MEF here].

2. [Insert District MEF here].

3. [Insert District MEF here].

4. [Insert District MEF here].

5. [Insert District MEF here].

6. [Insert District MEF here].

B. IDENTIFICATION OF CONTINUITY PERSONNEL

Once MEFs are identified, the District should determine the personnel positions that are fully equipped and

authorized to perform these functions. Position titles should be used rather than names since personnel

change, but titles generally do not. Once these positions are identified, the District should establish and

maintain a POC roster of trained continuity personnel attached to the applicable positions. Rosters, at a

minimum, should include names and home, work, and cellular telephone numbers, as applicable. In

addition, District should identify replacement personnel as necessary. District should consider maintaining

this roster separate from the Continuity Annex or as an annex due to the need for constant revision and for

privacy concerns. Sample text for this section is provided below.

In order to continue its essential functions, the [School District] has determined the

staff positions necessary to relocate under Continuity Annex activation. A copy of the

current roster is found at [insert location]. The [Insert office/title] is responsible for

maintaining roster currency and ensuring personnel are matched against needed

positions.

Each continuity member is selected by the [insert office/title] based upon:

 The predetermined essential functions that must be performed, regardless of

the operational status of the [School District]’s primary operating facility

 The member’s knowledge and expertise in performing these essential functions

 The member’s ability to rapidly deploy to the relocation site in an emergency

situation

SAMPLE

The following table shows an example of a partial continuity personnel roster.

Function

Title/ Position

Name

Telephone

Numbers

Additional Information

Function #1:

Approve and

oversee cleanup

contaminated

sites.

Division Head,

Enforcement

and

Remediation

Division

John

Smith

Home:

Work:

Cell:

Insert other District-required

information, i.e. duty station

and addresses

Alternate:

Jane Doe

Home:

Work:

Cell:

Insert other District-required

information, i.e. duty station

and addresses

Chief,

Enforcement

Branch

Sally Dune

Home:

Work

Cell:

Insert other District-required

information, i.e. duty station

and addresses

Alternate:

Jim Rich

Home:

Work:

Cell:

Insert other District-required

information, i.e. duty station

and addresses

II. Vital Records Management

This section should address the vital records management requirements needed to support MEFs during a

continuity event. The identification, protection, and ready availability of vital records, databases, and hard

copy documents needed to support MEFs under the full spectrum of all-hazard/threat emergencies are

critical elements of a successful continuity Annex and program. Sample text for this section is provided

below.

“Vital records” refers to information systems and applications, electronic and hard copy

documents, references, and records, to include classified or sensitive data, needed to

support MEFs during a continuity event. [School District] has incorporated its vital

records program into the overall continuity program, Annexes, and procedures.

The [School District]’s vital records

program incorporates into the overall

continuity Annex with a clear

authority to include:

 Policies

 Authorities

 Procedures

 The written designation of the

[School District] vital records

manager

Within 12 hours of activation, continuity personnel at the continuity facility for the

[School District] should have access to the appropriate media for accessing vital records,

including:

 A local area network

 Electronic versions of vital records

 Supporting information systems and data

 Internal and external email and email archives

 Paper copies of vital records

 [Insert any other media here]

Identifying Vital Records

The [School District] has identified the following as vital to its operations, and has

assigned responsibility for those records to the [insert personnel or office here], which

includes a combination of continuity personnel, personnel in the [insert division/office

title here], and records management personnel.

[School District] maintains a complete inventory of vital records, along with the

locations of and instructions on accessing those records. These records are located at

[insert location/ office]. This inventory will be maintained at a back-up/offsite location

The [School District]’s official vital records

program:

 Identifies and protects those records

that specify how the District will

operate in an emergency or disaster

 Identifies those records necessary to

the District’s continuing operations

 Identifies those records needed to

protect the legal and financial rights of

the District

located at [insert location(s) here] by [insert office] to ensure continuity if the primary

operating facility is damaged, destroyed, or unavailable.

The [Insert office] developed and maintains a vital records Annex packet or collection

located at [insert location/office]. The packet or collection includes:

 A paper copy or electronic list of the [School District] key District personnel and

continuity personnel with up-to-date telephone numbers

 A vital records inventory with the precise locations of vital records prepared by

the [insert office]

 Updates to the vital records

 Necessary keys or access codes

 Listing of the access requirements and sources of equipment necessary to access

the records

 The [School District] continuity facility locations

 Lists of records recovery experts and vendors provided by the [insert office] and

located at [insert location]

 A copy of the [School District] continuity annex

 [Insert any other documents included in the packet here]

For the above items, the [insert office] is responsible for providing access requirements

and lists of sources of equipment necessary to access the records (this may include

hardware and software, microfilm readers, Internet access, and/or dedicated telephone

lines). These requirements and lists are found at the [insert location/office].

This packet will be reviewed annually by the [insert office] with the date and names of

the personnel conducting the review documented in writing to ensure that the

information is current. A copy will be securely maintained at the [School District]

continuity facilities and [insert any other locations here], so it is easily accessible to

appropriate personnel when needed.

Protecting Vital Records

The protection of vital records is essential to ensuring the records are available during a

continuity event, thus enabling a District to perform their MEFs. The [School District]

has conducted a vital records and database risk assessment to:

 Identify the risks involved if vital records are retained in their current locations

and media, and the difficulty of reconstituting those records if they are

destroyed

 Identify offsite storage locations and requirements

 Determine if alternative storage media are available

 Determine requirements to duplicate records and provide alternate storage

locations to provide readily available vital records under all conditions

The vital records and database risk assessment was performed by the [insert office] and

is located at [insert location].

Appropriate protections for vital records will be provided by the [insert office] and will

include dispersing those records to other District locations or storing those records

offsite. Other protections include [insert additional protections here, including

multiple redundant media for storage].

When determining and selecting protection methods, the [School District] takes into

account the specific protections needed by different kinds of storage media.

Microforms, paper photographs, computer disks, tapes, and drives all require different

methods of protection. Some of these media also may require equipment to facilitate

access.

Training and Maintenance

The [School District] vital records program includes a training program conducted by

the [insert office] for all staff, to include periodic briefings to managers about the vital

records program and its relationship to their vital records and business needs. The

[School District] staff training focuses on identifying, inventorying, protecting, storing,

accessing, and updating the vital records. Training records for vital records are

maintained by the [insert office] and are found at [insert location].

The [School District] vital records program includes an annual review of the program to

address new security issues, identify problem areas, update information, and

incorporate any additional vital records generated by new agency programs or functions

or by District changes to existing programs or functions. The review is conducted by the

[insert office]. The review provides an opportunity to familiarize staff with all aspects of

the vital records program. It is appropriate to conduct a review of the vital records

program in conjunction with the [School District] continuity exercises. Documents

confirming review of the vital records program are maintained by the [insert office] and

are found at [insert location]. At a minimum, [School District] vital records are annually

reviewed, rotated, or cycled so that the latest versions will be available.

The [School District] conducts annual testing, documented in the [School District]

testing records, of the capabilities for protecting classified and unclassified vital records

and for providing access to them from the alternate facility. Testing records for vital

records are maintained by the [insert office] and are found at [insert location].

SAMPLE

The following table shows examples of vital records, files, and databases.

Vital Record, File,

or Database

Support to

Essential

Function

Form of

Record

(e.g.,

hardcopy,

electronic)

Pre-

positioned

Continuity

Facility

Hand

Carried to

Continuity

Facility

Multiple

Storage

Location(s)

Y/N

Maintenance

Frequency

Mapping Database

Function #1

Electronic

Monthly

Licensed Spill

Cleanup

Contractors List

Function #1

& 3

Hardcopy

Quarterly

Regional Dams List

Function #2

Hardcopy

Annually

Pollution/Chemical

Incident Database

Function #3

& 4

Electronic

Monthly

Public and Private

Sewage System

Records

Function

#3, 4, & 5

Electronic

Quarterly

For additional information on vital records management, see CGC 1, Annex I.

III. Continuity Facilities

All Districts should identify and maintain at least one continuity facility, which could include alternate uses

of existing facilities or virtual office options, for the relocation of a limited number of the District’s key

leadership and staff, located where the potential disruption of the District’s ability to initiate and sustain

operations is minimized. This section should explain the significance of identifying a continuity facility, the

requirements for determining a continuity facility, and the advantages and disadvantages of each

location. Sample text for this section is provided below.

Continuity Facility Information

The [School District] has designated continuity facility(ies) as part of its Continuity

Annex and has prepared continuity personnel for the possibility of unannounced

relocation to the site(s) to continue performance of essential functions

The [School District] [does/does not] maintain MOAs/MOUs and reviews the

MOAs/MOUs annually, as applicable.

If MOAs/MOUs are necessary, include the following in your annex: An MOA/MOU is

necessary because the [School District] is [list reasons, e.g. co-located with another

agency]. A copy of the MOA/MOU is found at [insert location] and maintained by the

[insert office name].

The [School District] continuity facility is located at [facility name and address]. A map of the

surrounding area, including directions and route from the primary operating facility, is located at

[below/list location]. Additional facility details are as follows:

(1) This facility is [rented/owned] by the [School District].

(2) [Important contact information for the site, including security, medical, and on-site

personnel]

(3) [Security and access requirements]

(4) [Medical support at or near the site]

(5) [Other amenities available at or near the site, including restaurants, stores, banks, and

gas stations]

The [School District] continuity facility(ies) provide the following in sufficient quantities

to sustain operations for up to 30 days or until normal business activities can be

resumed:

(1) Space and equipment, including computer equipment and software. The

continuity facility is able to accommodate [insert number] personnel. Facility

floor Annexs, equipment inventory, and [insert other applicable documents] are

found at [insert location].

(2) Capability to perform MEFs within 12 hours of Annex activation for up to 30 days

or until normal operations can be resumed.

(3) Reliable logistical support, services, and infrastructure systems. Details on these

infrastructure systems are available at [insert location] from the [insert office or

personnel name].

(4) Consideration for health, safety, security, and emotional well-being of personnel.

Considerations available at the continuity facility include [insert considerations,

such as physical security, fitness activities, access to the Employee Assistance

Program, and presence of security].

(5) Interoperable communications for effective interaction. Additional information

on continuity communications is found [insert location] in this Annex.

(6) Capabilities to access and use vital records. Additional information on accessing

vital records is found at [insert location] in this annex.

(7) Systems and configurations that are used in daily activities. IT support at the

continuity facility is [insert access to IT support]. Details on the systems and

configurations are available at [insert location] from the [insert office or

personnel name].

(8) Emergency/back-up power capability. Details on the power capability are

available at [insert location] from the [insert office or personnel name].

Repeat this information for each continuity facility used by your District.

Continuity Facility Logistics

The [School District]’s continuity facilities maintain pre-positioned or detailed site

preparation and activation plans in order to achieve full operational capability within 12

hours of notification. These site preparation and activation plans are [detailed below or

insert document name and location].

The [School District] maintains a transportation support Annex that describes

procedures for no-warning and with-warning events.

 During a no-warning event, advance team and continuity personnel are

transported to the continuity facility via [enter means of transportation, rally

points, means of notification, back-up transportation methods and any other

necessary information].

 During a with-warning event, advance team and continuity personnel are

transported to the continuity facility via [enter means of transportation, rally

points, means of notification, back-up transportation methods and any other

necessary information].

The [School District] has addressed the need for housing to support continuity

personnel at or near the continuity facility by [insert housing options, such as on-site

housing, a list of nearby hotels, and MOA/MOUs with nearby lodging].

Continuity Facility Orientation

The [School District] regularly familiarizes its continuity personnel with its continuity

facilities. The [School District] accomplishes this orientation through [insert means of

orientation, such as deployment exercises, orientation sessions at the site, and

briefings]. This familiarization training is reflected in District training records located at

[insert location].

Further, the [School District] annually trains and prepares its ERG personnel for the

possibility of an unannounced relocation to all continuity facilities. This training is

reflected in District training records located at [insert location].

IV. Continuity Communications

This section should address communications systems needed to ensure connectivity during crisis and

disaster conditions. The ability of a District to execute its essential functions at its continuity facility

depends on the identification, availability, and redundancy of critical communications and IT systems to

support connectivity among key State, territorial, tribal, and local leadership personnel, internal District

elements, other Districts, critical customers, and the public during crisis and disaster conditions. Sample

text for this section is provided below.

The [School District] has identified available and redundant critical communication

systems at the continuity facility. Further, the [School District] maintains fully capable

continuity communications that could support District needs during all hazards/threats,

to include pandemic and other related emergencies, and give full consideration to

supporting social distancing operations including telework and other virtual offices.

These systems provide the ability to communicate within and outside the District and

are found at [insert location].

SAMPLE

The following table shows an example of tracking modes of communication systems that

support a District’s essential functions.

Communication

System

Support to

Essential

Function

Current

Provider

Specification

Alternate

Provider

Special

Notes

Non-secure Phones

Secure Phones

Fax Lines

Cellular Phones

Satellite

Pagers

E-mail

Internet Access

Data Lines

Two-way Radios

GETS Cards

[Insert other options

here]

All [School District]’s necessary and required communications and IT capabilities should

be operational within 12 hours of activation.

The [School District] possesses communications capabilities to support the District’s

senior leadership while they are in transit to continuity facilities. These capabilities are

maintained by the [insert office/title] and documentation regarding these

communications capabilities is found at [insert location or list capabilities below].

V. Leadership and Staff

This section should outline the Annexes, procedures, and policies to safeguard and protect leadership and

staff, including orders of succession, delegations of authority, and human capital. The National Continuity

Policy Implementation Annex lists leadership and staff as two of the four key pillars that enable District to

perform its essential functions.

A. ORDERS OF SUCCESSION

This section should identify current orders of succession to the District head and key positions, such as

administrators, directors, and key managers. Revisions should be distributed to agency personnel as

changes occur. Sample text for this section is provided below.

Pre-identifying orders of succession is critical to ensuring effective leadership during an

emergency. In the event an incumbent is incapable or unavailable to fulfill essential

duties, successors have been identified to ensure there is no lapse in essential decision-

making authority. The [School District] has identified successors for the positions of

[insert leadership positions requiring orders of succession, including the District head

and other key positions]. A copy of these orders of succession is found at [insert

location]. The [Insert office/title] is responsible for ensuring orders of succession are

up-to-date. When changes occur, the [insert office/title] distributes the changes to

[insert offices/groups] by [insert method of distribution].

The [School District]’s orders of succession are:

 At least three positions deep, where possible, ensuring sufficient depth to

ensure the [School District]’s ability to manage and direct its essential functions

and operations

 Include devolution counterparts, where applicable

 Geographically dispersed, where feasible

 Described by positions or titles, rather than by names of individuals holding

those offices

 Reviewed by the District’s legal department as changes occur

 Included as a vital record, with copies accessible and/or available at both the

primary operating facility and continuity facilities at [insert locations]

SAMPLE

The following table shows the order of succession for the (School Name) Principal

Position

Designated Successors

Principal

1. District Superintendent

2. District Assistant Superintendent

3. Assistant Principal

In addition, each order of succession identifies the rules and procedures designated

officials must follow when facing issues of succession to office during continuity events

and reference applicable laws and District policies.

 [List any temporal, geographical, and/or District limitations to the authorities

in the orders of succession here]

In the event of a change in leadership status, the [School District] must notify the

successors, as well as internal and external stakeholders. In the event the [School

District] leadership becomes unreachable or incapable of performing their authorized

legal duties, roles, and responsibilities, the [insert office/title] will initiate a notification

of the next successor in line. [Insert additional methods and procedures of notification

here]. The [Insert office/title] will use the following procedures to notify internal and

external stakeholders of the change in leadership: [Insert notification procedures here].

The [School District] training records document the annual successor training for all

personnel who assume the authority and responsibility of the District’s leadership to

include briefing successors to the position of the [District Superintendent] on their

responsibilities and duties as a successor. Methods of successor training include [insert

training methods here]. This training is reflected in the [School District] training records

located at [insert location].

B. DELEGATIONS OF AUTHORITY

This section should identify, by position, the legal authority for individuals to make key policy decisions

during a continuity event. A District delegation of authority should describe explicitly the authority of an

official so designated to exercise District direction. Sample text for this section is provided below.

Generally, the [School District] pre-determined delegations of authority will take effect

when normal channels of direction are disrupted and terminate when these channels

have resumed. Pre-determined delegations of authority may be particularly important

in a devolution scenario.

The [School District] has identified the following delegations of authority:

 Orderly succession of officials to the position of [District Superintendent] in the

case of the [District Superintendent]’s absence, a vacancy at that office, or the

inability of the [District Superintendent] to act during an emergency or national

security emergency. The delegation of authority for the [District

Superintendent] is found in the Hazard Specific Appendices.

 [Insert additional delegations of authority here]

The [School District]’s delegations of authorities are found at the continuity facility and

at [insert location] and:

(1) Are included as vital records

(2) Are written in accordance with applicable laws and District policy ensuring that

the District’s MEFs are performed

(3) Outline explicitly in a statement the authority of an official to re-delegate

functions and activities, as appropriate

(4) Delineate the limits of and any exceptions to the authority and accountability for

officials

(5) Define the circumstances, to include a devolution situation if applicable, under

which delegations of authorities would take effect and would be terminated

The [School District] has informed those officials who might be expected to assume

authorities during a continuity situation. Documentation that this has occurred is found

at [insert location] and at the continuity facility. Further, the [School District] has

trained those officials who might be expected to assume authorities during a continuity

situation at least annually for all pre-delegated authorities for making policy

determinations and all levels using [insert training methods here]. This training is

reflected in agency training records located at [insert location].

C. HUMAN CAPITAL

This section should focus on the District’s continuity personnel and all other special categories of

employees who have not been designated as continuity personnel. This section should concentrate on

three areas: Continuity Personnel, All Staff, and Human Capital Considerations. Sample text for this

section is provided below.

Continuity Personnel

People are critical to the operations of any District. Selecting the right people for a

District’s staff is vitally important, and this is especially true in a crisis situation. Leaders

are needed to set priorities and keep focus. During a continuity event, emergency

employees and other special categories of employees will be activated by the [School

District] to perform assigned response duties. One of these categories is continuity

personnel. In respect to continuity personnel, the [School District] has:

 Identified and designated those positions and personnel they judge to be critical

to District operations in any given emergency situation as continuity personnel.

A roster of continuity positions is maintained by the [insert office/title] and is

found at [insert location]

 Identified and documented its continuity personnel. Continuity personnel

possess the skills necessary to perform essential functions and supporting tasks.

A roster of continuity personnel is maintained by [insert office/title] and is

found at [insert location]

 Officially informed all continuity personnel of their roles or designations by

providing documentation in the form of [insert type of documentation here] to

ensure that continuity personnel know and accept their roles and

responsibilities. Copies of this documentation is maintained by the [insert

office/title] and found at [insert location]

 Ensured continuity personnel participate in the District’s continuity TT&E

program, as reflected in training records. Training records are maintained by the

[insert office/title] and found at [insert location]

 Provided guidance to continuity personnel on individual preparedness measures

they should take to ensure response to a continuity event using [insert methods

of providing guidance here]. Copies of this guidance is maintained by the [insert

office/title] and found at [insert location]

All Staff

It is important that the [School District] keeps all staff, especially individuals not

identified as continuity personnel, informed and accounted for during a continuity

event. The [School District] has established procedures for contacting and accounting

for employees in the event of an emergency, including operating status.

 The [School District]’s employees are expected to remain in contact with the

[insert office/title, such as supervisors] during any facility closure or relocation

situation. [Insert procedures to communicate how, and the extent to which,

employees are expected to remain in contact with the agency during any

closure or relocation situation]

 The [School District] ensures staff are aware of and familiar with Human Capital

guidance in order to continue essential functions during an emergency. The

[School District] uses the following methods to increase awareness: [Insert

methods here, such as utilizing an intranet website or employee orientation

briefing].

Accounting for all personnel during a continuity event is of utmost importance. In order

to account for all staff, the [School District] will [insert accountability process here,

such as call trees, an automated system, a 1-800 number, etc.]. Accountability

information is reported to the [insert office/title] at [insert number] hour increments.

The [Insert office] has the responsibility of attempting contact with those individuals

who are unaccounted for.

An event that requires the activation of the Continuity Annex may personally affect the

[School District] staff. Therefore, the [insert office] has the responsibility to create

provisions and procedures to assist all staff, especially those who are disaster victims,

with special human capital concerns following a catastrophic disaster. These provisions

and procedures are found at [insert location].

Human Capital Considerations

The [School District] continuity program, Annexes, and procedures incorporate existing

District-specific guidance and direction for human capital management, including

guidance on pay, leave/time off, work scheduling, benefits, telework, hiring, authorities,

and flexibilities. The [insert office] has the responsibility for the [School District]

Human Capital issues. A copy of these policies and guidance is found [insert location].

The [School District] Continuity Coordinator and Continuity Manager work closely with

the [insert appropriate human capital office/title here] to resolve Human Capital issues

related to a continuity event. The [Insert office/title] serves as the [School District]

Human Capital liaison to work with the Continuity Coordinator or Continuity Manager

when developing or updating the District’s emergency Annexs.

The [School District] has developed District-specific guidance and direction for

continuity personnel on Human Capital issues. This guidance is integrated with Human

Capital procedures for its facility, geographic region, and the Office of Personnel

Management or similar District. This guidance is maintained by the [insert office/title]

and found at [insert location]. The [School District] has issued continuity guidance for

human capital on the following issues:

 Additional Staffing: [Insert guidance here or location of guidance]

 Work Schedules and Leave/Time Off: [Insert guidance here or location of

guidance]

 Employee Assistance Program: [Insert guidance here or location of guidance]

 Special Needs Employees: [Insert guidance here or location of guidance]

 Telework: [Insert guidance here or location of guidance]

 Benefits: [Insert guidance here or location of guidance]

 Premium and Annual Pay Limitations: [Insert guidance here or location of

guidance]

 [Insert additional topics here]

Further, the [insert office/title] communicates Human Capital guidance for emergencies

(pay, leave/time off, staffing, work scheduling, benefits, telework, hiring authorities and

other human resources flexibilities) to managers in an effort to help continue essential

functions during an emergency.

DELEGATION OF AUTHORITY

[School District]

Delegation Number: [Insert number]

Issue Date: [Insert date]

DELEGATION OF AUTHORITY

AND SUCCESSION FOR THE

[Insert title of District head]

PURPOSE

This is a delegation of authority for the continuity of essential functions through the

orderly succession of officials at the [School District] to the Office of the [insert title of

District head] in case of the [District Superintendent]’s absence, a vacancy at that

office, or the inability of the [District Superintendent] to act during a disaster or

national security emergency.

DELEGATION DECLARATION

I hereby delegate authority to the following officials, in the order listed below, to

exercise the powers and perform the duties of the [insert title of District head], in case

of my absence, inability to perform, or vacancy of the office, and until that condition

ceases.

1. [Insert order of succession here]

If this position is vacant, the next designated official in the order of succession may

exercise all the powers, duties, authorities, rights, and functions of the Office of the

[insert title of District head], but may not perform any function or duty required to be

performed exclusively by the office holder.

Eligibility for succession to the Office of the [insert title of District head] shall be limited

to officially assigned incumbents of the positions listed in the order of succession,

above. Only officials specifically designated in the approved order of succession are

eligible. Persons appointed on an acting basis, or on some other temporary basis, are

ineligible to serve as a successor; therefore, the order of succession would fall to the

next designated official in the approved order of succession.

AUTHORITIES

[Insert title of District policy or directive]

OFFICE OF PRIMARY INTEREST

The Office of the [insert title of District head] is the office of primary interest in this

delegation.

CANCELLATION OF DELEGATION

[Insert previous delegation of authority] to Office of the [insert title of District head] is

hereby rescinded.

[District Head signs here]

[Enter District Head’s name here]

[Enter District Head’s title here]

[Enter District Name here]

[Enter date here]

[Legal Counsel signs here]

[Enter Legal Counsel’s name here]

[Enter Legal Counsel’s title here]

[Enter District Name here]

[Enter date here]