Continuity of Operations Plan

Contents

• Background
• Scope
• Planning Assumptions
• Objectives
• Phases
• Annex A - Critical Functions
• Annex B - Continuity Implementation Group
• Annex C - Test, Training and Exercise (TT&E) Plan
• Annex E - Individual Business Unit Plans
• Annex F - External Partners

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Background

Montana State University and the City of Bozeman, having recognized the need for Continuity of Operations Planning (COOP), entered into a joint effort to establish a practical plan. While each entity fully recognizes their unique individual planning requirements, it was determined that there are ample opportunities to collaborate and support each other’s plan, thus ultimately increasing the resiliency of the combined communities.

Continuity of Operations Planning is the process of how to continue identified critical functions under a broad range of circumstances. A COOP plan addresses emergencies from an all-hazards approach. A Continuity of Operations Plan establishes policy and guidance ensuring that critical functions continue, and personnel and resources are relocated to an alternate facility. COOP
planning also addresses how an entity will conduct reconstitution and a return to normal operations post incident.

A risk assessment was conducted in 2018 using Occupancy Vulnerability Assessment Profile (OVAP) scoring criteria to determine and categorize overall risk for all MSU and City facilities. This information along with a review of local hazards formed the basis of conducting a formal COOP analysis. Beginning in 2019, MSU and the City of Bozeman identified critical functions, orders of succession, delegations of authority, and dependencies. Considerable effort was made to collaborate between agencies in developing a plan that recognizes shared opportunities along with needed improvements.

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Scope

The purpose of this continuity effort is to provide for the enhanced public safety of the citizens, students, faculty and staff of the City of Bozeman and Montana State University. The complexity of this joint project recognizes the unique business units and departments of each entity. Therefore, the best approach to provide effective planning is to develop specific plans for each entity while pre-identifying areas for mutual cooperation.

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Planning Assumptions

This continuity plan provides guidance for each entity to continue the identified critical functions of their respective business units within a prescribed timeline.

It is important to recognize that this plan provides guidance and is just one piece of the overall emergency management program of each community. No one plan is sufficient to cover every event that may occur within a campus or jurisdiction, but by identifying critical functions in advance, we can then identify what is needed to function should our normal operating facilities be unavailable.

It should be recognized there may be situations that require deviation from this planning effort based upon unique situational demands.

The success of this effort relies upon each business unit to incorporate continuity efforts into their day to day operations. Cross training employees, redundancy of systems, alternate providers of supplies, etc., is the responsibility of and should be implemented by each business unit in order to be more resilient.

In many COOP plans, alternate facilities that are geographically separated from the main business sites are established in advance and an emergency relocation group is established to respond to the alternate facility to initiate the agency’s critical functions. Due to the nature of business at the University and the City itself, a widespread relocation to a geographically dispersed area is impractical. Instead, this plan focuses upon the critical functions of each respective business unit and how the University and City can better support each other in the event of a business disruption.

Focusing on each business unit allows those units to identify their critical functions, their interdependencies and what personnel, systems and equipment are necessary to carry on their critical functions in support of the overall business of the University and the City.

It is also highly likely that due to the unique structure of both the City of Bozeman and Montana State University that a COOP activation may lead to an EOC activation. Certain personnel from both entities will most likely have responsibilities to both the EOC and their respective business units as a part of the Continuity Implementation Group.

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Objectives

The shared community objectives are as follows:

1. Reducing the loss of life and minimizing impacts to property and the environment.
2. Ensuring that an organization can perform its critical functions under all conditions.
3. Ensure that each business unit has identified and trained successors in the event key leaders are unavailable.
4. Reducing or mitigating disruption to operations.
5. Ensuring that each business unit has taken efforts to identify personnel, facilities and equipment necessary to continue their critical functions.
6. Achieving the organization’s timely and orderly recovery and reconstitution from an emergency.
7. Ensuring the validity of planning efforts through a coordinated test, training and exercise program.

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Phases

I. Readiness and Preparedness

The City of Bozeman and Montana State University recognizes the importance of individual and business unit preparedness in order to serve the citizens, students, faculty and staff of the combined communities. The overall community readiness is enhanced through mutual cooperation and planning efforts that will ensure an increased preparedness posture for all.

The training, testing and exercising of emergency plans, including the continuity of operations plan are essential to the readiness and preparedness phase of the plan.

All personnel should have a Family Support Plan to prepare their family members in the event of an emergency. Information and guidance for employees on creating a Family Support Plan is available online from several open sources.

II. Activation

The decision to activate the COOP will be based upon the type and severity of the emergency situation. The continuity plan activation is a scenario driven process that allows for flexible and scalable responses to the full spectrum of all hazards/threats that could disrupt operations with or without warning and during work and non-work hours. The continuity of operations plan activation will not be required for all emergencies or disruptions since other actions may be deemed more appropriate.

In determining the need to activate the COOP, the activating official should consider the following factors:

1. What facility or operation is affected?
2. What personnel are affected? (number, type, mission)
3. Have affected personnel been evacuated or displaced?
4. What recommendations are first responders or emergency managers suggesting?
5. How soon must the business unit be operational?

Once the decision is made to activate the COOP, senior leadership will be notified, and all other appropriate notification procedures will be implemented. It is important that all personnel be notified of a COOP activation, including those that are not deemed COOP responders. Notifications should be updated as conditions warrant.

A. City of Bozeman Activation and Notification Procedures

The following positions are authorized to activate the City of Bozeman COOP in part or full, determine operational priorities and personnel assignments required to facilitate COOP operations.

• City Manager or Assistant City Managers
• Fire Chief or Police Chief
• Strategic Services Director
• Transportation and Engineering Director
• Utilities Director
• Information Technologies Director
• Finance Director

A COOP event may arise with or without warning and may occur during or outside of standard working hours. Regardless of when a COOP event may occur, the same communication procedures should be followed. Once the decision has been made to activate the COOP (or activation is imminent) communication of the situation should be made to all key personnel, City leadership, and stakeholders.

Communication of the current situation to key personnel, City leadership, and stakeholders will be made by the Bozeman Continuity Implementation Group (CIG) or other appointed designee.

The Bozeman CIG or other appointed designee will notify the community of the COOP event and provide information on immediate actions. This notification may be made through Everbridge system or other means, depending on the situation. The Bozeman CIG will work in coordination with the City Communications Coordinator to develop a standardized message to the community, unless an immediate life safety situation is occurring.

The Bozeman CIG shall also make notification to the MSU Emergency Manager of the Bozeman COOP activation.

B. Montana State University Activation and Notification Procedures

The following positions are authorized to activate the MSU COOP in part of full, determine operational priorities, and personnel assignments required to facilitate COOP operations.

• The University President (or representative)
• The University Chief of Police (or representative)
• The University Emergency Manager
• The AVP of University Services
• The VP of Information Technology

A COOP event may arise with or without warning and may occur during or outside of standard working hours. Regardless of when a COOP event may occur, the same communication procedures should be followed. Once the decision has been made to activate the COOP (or activation is imminent) communication of the situation should be made to all key personnel, university leadership, and stakeholders.

Communication of the current situation to key personnel and stakeholders will be made by the University Emergency Manager or other appointed designee.

The University Emergency Manager or other appointed designee will notify the community of the COOP event and provide information on immediate actions. This notification may be made through MSU Alert System or other means, depending on the situation. The University Emergency Manager will often work in coordination with University Communications to develop a standardized message to the community, unless an immediate life safety situation is occurring.

The University Emergency Manager shall also make notification to the City of Bozeman of the MSU COOP activation.

III. Continuity Operations

Upon activation of the COOP plan the respective Continuity Implementation Group (CIG) will report to their assigned locations. A CIG Manager/Leader will be appointed as appropriate. The concept of operations is as follows:

As CIG personnel arrive at their assigned physical location or virtual platform, they will report to their CIG Manager/Leader who will maintain a roster to ensure accountability of personnel. The status of all CIG personnel will be reported to senior leadership as needed.

Accountability of all affected personnel must be conducted. Each business unit should have a roster of assigned personnel as well as their contact information. Employees should be trained on accountability procedures and the importance of checking in, should they be out of the area when the COOP plan is activated.

Each affected business unit will account for personnel using their established Communications Plan. Accountability information will be reported to the EOC, CIG, or other designee at intervals established by agency policies and plans. The process will continue until all personnel have been accounted for.

A. City of Bozeman Personnel Accountability Procedures

City of Bozeman procedures are still under development.

B. Montana State University Personnel Accountability Procedures

Each affected business unit will account for employees using office/department level call trees. In the instance where a call tree is not practical (i.e. individuals are unable to make or receive phone calls) the Red Cross Safe and Well program would be used as a secondary accountability method. Accountability updates may be passed from business units to the Emergency Operations Center or other designee once every 2 hours.

The Office of the Registrar will account for students making contact through phone, email, or text. In instances where this is not practical the Red Cross Safe and Well Program would be used as a secondary accountability method. Accountability updates may be passed from business units to the Emergency Operations Center or other designee once every 2 hours.

Call trees are a telephone procedure which can be used to contact employees during an emergency. The concept of a call tree is for one person to call a small group of individuals to make contact and share a message, then those individuals will phone the group they are assigned.

The Red Cross Safe and Well program is best used during large scale incidents. The program allows employees to check in and provide information regarding their status to anyone who may be attempting to locate them. Additionally, the program allows family, friends, and employers to search for registrants. To register as Safe and Well, please visit: https://safeandwell.communityos.org/cms/index.php.

A current situation report will be generated and relayed to senior leadership as well as community partners. This report may be in the “CAN” format which is an acronym for Conditions, Actions and Needs. This relays what the current conditions are at the scene of the incident, what are the current actions taking place as a result of the incident and what gaps or needs exist that need to be filled in order to carry out the pre-identified critical functions of each affected business unit.

Preparations for multiple operational periods should be established from the beginning of the COOP activation to ensure that responding personnel have adequate rest between shifts. Both MSU and the City of Bozeman should plan for 12 hour operational periods, after transition from the first operational period (activation).

After the transition from the first operational period (activation), an Incident Action Plan (IAP) will be developed for all future operational periods throughout the COOP activation. This will be the preferred method to provide updates to responding personnel and senior leadership.

The communications plan should be activated and stakeholders, as well as the community, should be notified of appropriate information as early as practical.

As the needs are established, if it becomes necessary to relocate employees, citizens or students, those relocation plans should be implemented in an orderly fashion.

If necessary, business units may be relocated. It is important to realize that some business functions can be carried out remotely by personnel accessing various systems away from their normal offices. Each business unit should pre-identify those functions and personnel should be trained on how to work remotely should the situation arise.

Should injuries or death occur to students or employees, the family notification plan must be implemented. How these notifications are handled will have lasting effects to all parties and the method of notifications should be pre-established in case of need.

Should a reunification center be deemed necessary, that plan should be implemented at this time.

Any needs that cannot be filled with existing resources should be identified and relayed to the appropriate officials for action. It is important that existing purchasing requirements and legal requirements be followed.

Other plans or documentation should be used to support COOP activation. Below are items that exist or should be developed.

A. City of Bozeman

• Acting City Manager – Admin order 2017-04
• Delegation of Authority
• Communications Plan
• IT Disaster Recovery Plan – Needs Development
• Purchasing Policy – Admin order 2013-06
• Water Service Disruption Plan – Needs development
• Relocation Plan – Needs development
• Public Safety Communications Plan – Needs development
• Reunification / Family Assistance Plan – Needs development
• Notification / Accountability Plan – Needs development
• Gallatin County Emergency Plan
• City of Bozeman Drought Management Plan

B. Montana State University

• IT Disaster Recovery Plan – Needs Development
• Family Support Plan – Needs Development
• Purchasing Procedures
• Family Assistance Center/ Reunification – Needs Development
• Personnel Accountability
• Notification of Student Death
• Notification of Employee Death – Needs Development
• Communications Plan – Needs Development
• Student/Employee Relocation Plan – Needs Development
• Montana State University Emergency Operations Plan

IV. Reconstitution

Reconstitution is the process by which organizations return to normal operations after a COOP event. Separate individuals should staff the Reconstitution Team and the Continuity Implementation Group. The Reconstitution Team will be headed by the designated Reconstitution Team Manager. The Reconstitution Team Manager should be identified and appointed as soon as possible during a COOP event.

Based on the organizational structure of the City of Bozeman and Montana State University, both acknowledge that a member of the initial CIG may be assigned as the reconstitution team manager. Additionally, both entities acknowledge that members of the EOC and the CIG may transition to the reconstitution team due to their technical expertise in certain areas.

The reconstitution team manager will coordinate all efforts during the reconstitution process. This may include returning the business unit to its original location after it has been deemed safe for use or the locating of an alternate facility if the original facility has been deemed unsafe. Reconstitution may also take place in temporary facilities if the original location is going to remain unavailable for an extended time frame.

The reconstitution team may need to be supplemented by technical experts. These potential experts may be external to the organization (structural engineers, commercial real estate firms, etc.) and should be pre-identified and contact information will be maintained by each individual Business Unit.

Once it is deemed safe to reoccupy a business unit’s facility the reconstitution manager should implement an orderly return to the facility. At the reconstitution manager’s discretion, a phased approach may be utilized where all employees do not return at once but in several phases over a set time period.

It may be necessary for business units to share space if their primary facility will not be habitable for an extended period. The reconstitution manager will work with agency leaders to facilitate this action should it be deemed necessary.

It is important that senior leadership be consulted throughout the reconstitution process.

An after-action report should be initiated as soon as it is practical to do so covering all aspects of the activation process and phases of the COOP plan.

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Annex A - Critical Functions

Critical functions are defined as those that must continue uninterrupted or be operational within 12 hours. Based upon information received from their respective Business Units, the City of Bozeman and Montana State University have identified the following Business Unit Functions as Critical.

A. City of Bozeman

Information Technology

• Ensure IT infrastructure is functional or restored to support operations of the city.
• Maintain hardware to support remote work capabilities.

Police

• Make immediate notifications to city administration regarding incident.
• Serve as Incident Commander of the incident, if necessary.
• Provide oversight to police operations.
• Support the EOC with management and operational needs.

Fire

• Make immediate notifications to city administration regarding incident.
• Serve as Incident Commander of the incident, if necessary.
• Provide oversight to fire operations.
• Support the EOC with management and operational needs.

Street and Vehicle Maintenance

• Ensure support is provided to all affected city department’s fleet
• Assist city departments with cordoning off the scene and providing traffic control support.

Water Treatment Plant

• Ensure support is provided to plant and affected systems.

Water Reclamation

• Ensure support is provided to plant and affected systems.

Water and Sewer

• Ensure support is provided to impacted distribution and collecting systems.

Strategic Services

• Provide floor, building and utility plans.
• Provide infrastructure and utilities mapping.
• Provide oversight for facility management.

Communications

• Coordinate press briefing times and locations with media.
• Coordinate with city administration and the EOC to determine information for release.
• Provide assistance with emergency communications (Everbridge), if necessary.
• Provide support to the EOC and/or JIC, if activated.

These have been pre-identified by business units and are maintained in the Fire Chief’s office. These should be reviewed by the business unit annually or when a critical function changes.

B. Montana State University

Registrar- Classes, Accountability

• Assist with accountability by providing enrollment reports of students and faculty who may teach or attend class in affected locations.
• Provide communication to faculty and students regarding class changes and cancellations.

Police- LE Operations, Dispatch

• Make immediate notifications to university leadership regarding incident.
• Serve as Incident Commander of the incident, if necessary.
• Provide oversight to police operations.
• Support the EOC with management and operational needs.

Emergency Management- Emergency Operations, Emergency Notifications

• Initiate emergency notifications through the MSU Alert System when an incident could result in immediate harm to health and safety of students, faculty, and staff.
• Activate and initiate recall of the EOC, as needed.
• Provide management to the EOC.

University Services- Utilities, Safety and Risk Management

• Ensure support is provided to all affected campus utilities (heat, power, water).
• Ensure data support systems can remain or become operational.
• Assist police with cordoning off the scene and providing traffic control support.
• Provide floor, building and utility plans.
• Provide EOC management as the reconstitution manager.

Safety and Risk Management

• Provide needed support to the EOC to include insurance claims processing, chemical safety support, hazardous waste management, and occupational health and safety support.

Research and Compliance- Radiation Safety, Animal Care

• Ensure biosafety, radiation safety, laser safety, and animal care programs continue to meet safety rules and regulations through a COOP event.

Culinary Services- Meals

• Provide meals for students, faculty, and staff through the duration of a COOP incident.

Communications-PIO

• Coordinate press briefing times and locations with media.
• Coordinate with university leadership and the EOC to determine information for release.
• Provide assistance with emergency communications (MSU Alert System), if necessary.
• Provide support to the EOC and/or JIC, if activated.

University Health- Counseling and Psychological Services

• Provide counseling, mental health, and basic medical services during and after a COOP incident.

Sports Facilities- Logistical Support

• Provide logistical resources to support the continuity event (labor, equipment).

University Information Technology- Phones, Computers, Internet

• Ensure IT infrastructure is functional or restored to support operations of the university.

Housing- Housing Operations

• Provide safe and managed housing facilities for the campus community.
• Relocate students, faculty, and staff who may be displaced from campus housing due to a COOP incident.

Dean of Students

• Provide support and management to student crisis situations and the CARE Program.
• Respond to illegal activities by students.
• Provide communication to parents and students.

These have been pre-identified by business units and are maintained in the Emergency Management Office. These should be reviewed by the business unit annually or when a critical function changes.

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Annex B - Continuity Implementation Group

People are critical to the operations of any organization. Choosing the right people for an organization’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 to perform assigned response duties. One of these Categories is continuity personnel, referred to in this plan as Continuity Implementation Group (CIG) members.

With respect to CIG members, each Business Unit has designated key positions and personnel that have the necessary authority and skill sets to execute the Critical Functions of their respective Business Units during any given emergency situation.

It has been determined by both organizations that they would likely activate their Emergency Operations Center (EOC) if there was an incident that triggered a COOP response and deployment of CIG personnel. It is important to recognize the difference between the functions of an EOC and a COOP response. The EOC is responsible for the overall incident management of an event, and a COOP response ensures that the critical Functions of an organization can continue during an emergency.

Due to the unique structure, responsibilities, and size of both the City of Bozeman and Montana State University, this Plan recognizes that there will most likely be certain individuals who will have dual responsibilities to both the EOC and a CIG during a COOP event. Senior Leadership and the Incident Commander will determine the best physical location for those personnel to respond. COOP personnel will continually update their status to the EOC to aid the decision making process.

A. City of Bozeman

Assigned City staff may transition between the EOC and CIG based on situational need and technical expertise.

B. Montana State University

Assigned University personnel may transition between the EOC and CIG based on situational need and technical expertise.

These personnel have been pre-identified by business units and are maintained within each Business Unit and in the Emergency Management Office for Montana State University and with the Clerk for the City of Bozeman. These should be reviewed by the business unit annually or when there are personnel changes.

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Annex C - Test, Training and Exercise (TT&E) Plan

A vital element of any continuity plan is a vigorous test, training and exercise plan. In order to effectively implement the City of Bozeman and Montana State University joint Continuity of Operations Plan, both organizations must have a coordinated and aligned TT&E plan.

1. Training

In an effort to coordinate training, three levels of training have been identified based upon employee’s roles and best practices. These levels, their target audiences and required training are articulated below:

Level 1: COOP Awareness Training

• Target Audience – All Employees
• Source – FEMA Independent Study Program
• Course – IS 1300 Introduction to Continuity Operations (1 hour) complete w/in 6 months

Level 2: COOP Responder/Coop Implementation Group (CIG) Member

• Target Audience – All employees listed as a responder or CIG Member of the COOP Plan.
• Source – FEMA Independent Study Program
• Course – IS 1300 Introduction to Continuity Operations (1 hour) complete w/in 6 months
• Course – IS 100c Introduction to the Incident Command System (2 hours) complete w/in 6 months
• Course – IS 700b NIMS, An Introduction (3.5 hours) complete w/in 6 months
• Courses IS-100c and IS-700b will provide a base of knowledge for CIG members to be able to understand the basic principles of NIMS/ICS and how the Emergency Operations Center operates.

Level 3: COOP Planner/Program Manager

• Target Audience – City of Bozeman and MSU COOP Program Managers
• Source – FEMA Independent Study Program
• Course – IS 1300 Introduction to Continuity Operations (1hour) complete w/in 6 months
• Source – Emergency Management Institute
• Course 1 Required – E/L/G 548 Continuity Managers Course (3 days) complete w/in 1 year
• Course 2 Recommended – E/L/G 550 Continuity Planners Course (3 days) complete by end of year two

2. Testing

A coordinated testing program will be implemented between the two organizations. These tests will be performed at least quarterly and will be designed to test various elements of the COOP plan to include, but not limited to:

• Alerts
• Communications
• Notifications
• Telework Capabilities
• Power Outages

3. Exercise

The Homeland Security Exercise and Evaluation Program (HSEEP) breaks down exercises into two types: Discussion Based and Operations Based. HSEEP definitions for each type of exercise are as follows:

Discussion Based

• Seminar: A discussion-based exercise that orients participants to or provides an overview of authorities, strategies, plans, policies, procedures, protocols, resources, concepts, and ideas.
• Workshop: A discussion-based exercise often employed to develop policy, plans, or procedures.
• Tabletop Exercise: A discussion-based exercise in response to a scenario intended to generate a dialogue of various issues to facilitate a conceptual understanding, identify strengths and areas for improvement, and/or achieve changes in perceptions about plans, policies, or procedures.
• Game: A discussion-based exercise that is a structured form of play designed for individuals or teams in a competitive or noncompetitive environment. It is an event experienced by the players and guided by clear rules, data, and procedures for its execution. Games are designed to depict an actual or hypothetical situation to ensure that the participants make decisions and take actions that would be plausible. Games can be used to reinforce training, stimulate team building, or enhance operational and tactical capabilities.

Operations Based

• Drill: An operations-based exercise often employed to validate a single operation or function.
• Functional Exercise: An operations-based exercise designed to assess and evaluate capabilities and functions while in a realistic, real-time environment; however, movement of resources is usually simulated.
• Full-Scale Exercise: An operations-based exercise that is typically the most complex and resource-intensive of the exercise types and often involves multiple agencies, jurisdictions/organizations, and real-time movement of resources.

Sample Two Year TT&E Plan

A sample two-year TT&E plan is graphically depicted below.

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Annex E - Individual Business Unit Plans

Montana State University and the City of Bozeman have independently identified their respective individual business units and have developed specific Business Unit Plans for each of those. These plans will be activated if an incident or event occurs that affects one or more of these business units and requires a COOP activation. Each Individual Business Unit Plan contains the following information:

• Unit Identification
• Primary Mission
• Critical Functions
• Roster of personnel assigned to the Unit’s Continuity Implementation Group
• Number of employees in each business unit
• Process for personnel accountability during a COOP event
• Orders of Succession
• Delegations of Authority
• Essential Records/Information Technology
  • How Records are stored and accessed
  • Hard copy and/or electronic
• Dependencies
  • Internal
  • External
• List of additional resources that are required to carry out Unit Critical Functions
• Pre-identified technical experts and contact information

These have been pre-identified by business units and are maintained in the Emergency Management Office for Montana State University, and with the Fire Chief for the City of Bozeman. Each plan is stored in hard copy and electronically. These should be reviewed by the business unit annually.

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Annex F - External Partners

The purpose of Annex F is to illustrate the responsibilities and the areas of expertise of potential key external partners that may assist the City of Bozeman and Montana State University during an emergency or disaster. External partners may have authorities, expertise, capabilities or resources that may be required to support emergency operations for an emergency that affects the City of Bozeman and/or Montana State University.

Law Enforcement

Local Agencies

State Agencies

Federal Agencies

Voluntary Organizations

Private Sector

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