Is Your Department in the Coop?
With the recent worldwide pandemic, many law enforcement agencies are putting into practice policies and procedures they hoped would never be required. Many agencies are prepared for issues relating to homeland security and terrorist events with organizational and family emergency preparedness plans. However, in light of today’s circumstances, many agencies have to find ways to continue providing required public services while dealing with the possibility of a significantly limited workforce.
One of the ways departments can prepare for events like a pandemic, fire, terrorist attack or other major crisis is to have a Continuity of Operations Plan (COOP). A COOP is a federal initiative to encourage organizations and government entities to plan how they will maintain critical operations under a broad range of circumstances. Agencies can find information about how to set up a continuity of operations plan at FEMA.gov.
However, for the plan to be a successful, the agency policy and procedures need to be updated internally to meet these requirements.
First, Kentucky law enforcement agencies need to determine their “essential functions.” Although we think everything we do is essential, these functions are what must be maintained during a continuity crisis event like the current national and state emergency. Some agency operations are nice to have but are not critical. In determining essential functions, the agency needs to identify any federal, state or local statutes or regulations they are required to perform. Simply put, the agency needs to ask the question “If we don’t do (blank) will we violate any statutorily required function?” If the answer is no, then whatever is done is likely not a requirement.
Next, the agency needs to identify its order of succession and delegation of authority. We are all familiar with the chain of command but in a continuity crisis event, we may lose key people within the command structure. The order of succession needs to be clearly identified as to who will take over key command structure roles if someone or multiple staff become incapacitated. Also, command or other staff may be required to perform specific functions within the agency’s COOP. Any delegation of duties assigned to these roles and responsibilities needs to be clearly defined.
We next need to look at our continuity of facilities and equipment. In the current situation, facilities may not be an issue. However, for the COOP, the agency needs to identify how to meet essential functions if the facilities currently being used are destroyed or unusable. Do you have another location that you can move operations to during a major emergency? Agencies cannot afford to hope that something will become available. Part of the COOP is to identify alternate facilities and locations and set up memorandums of agreements to allow the use of these facilities (and possibly their equipment) during a continuity of crisis event.
“The agency needs to have a reconstitution plan as part of its COOP. This reconstitution outlines the personnel required to get the agency back up to operational status along with the plan for running operations until the agency is back and fully functioning within its facilities.”
In regards to equipment, the agency needs to be equally proactive in their planning. Systems and databases must be maintained or quickly recovered. Back up servers at off-site locations are necessary. The agency should identify what equipment must be removed to any alternate locations within the COOP. Do you have computers available for key personnel required to work during the COOP event? Are they able to operate at remote locations? Do you have an agreement with another agency to provide essential equipment (e.g., cruisers, weapons, telephones) and services if your agency has lost its key equipment? These are all questions that need to be answered within your agency’s COOP.
Continuity of communications is another key aspect of your agency’s COOP. There will be a lot of disarray during a continuity crisis event. The agency should expect media and community requests for information, employees needing clarity of roles and responsibilities, as well as Federal update requests. The agency should prepare for these with a clearly defined communications plan. In this part of the plan the person(s) responsible for various communications roles needs to be identified, along with the ways information will be communicated. Who will relay information to your employees during the emergency? Who will be the communication liaison to the media and outside requests for information? Remember from your order of succession, what will you do if these people have become indisposed? Furthermore, will information be sent using cell phones, social media, emails, etc.? And one big consideration, what if the internet is down during the event?
Next, vital records management needs to be included in the COOP. All law enforcement agencies have records they are responsible for that need to be backed up and retrievable during a continuity crisis. Records management may be taken care of if the agency has invested in the backup servers and technology infrastructure previously identified. However, if the agency has a large number of paper copies for critical records, they need to make arrangements for relocation, storage and retrieval at an alternate facility.
The agency also needs to account for its human capital. Employees will want to know how they will be paid and what benefits will be afforded if the agency initiates its COOP. Some employees may be deemed “unessential.” Others may be reassigned to other roles and responsibilities within the COOP. Your plan should identify these issues for employees.
In addition to these recommendations, the agency needs to plan for a “devolution of control and direction.” In extreme cases, the agency may not be able to function at all. In Kentucky, law enforcement agencies should work with surrounding agencies or the Kentucky State Police to establish protocols and memorandums of understanding for other agencies to take over essential functions for the agency in these circumstances.
Other areas the agency needs to address within its COOP include training, tests and exercises to assure that everyone involved is aware of procedures before implementation. Finally, the agency needs to have a reconstitution plan as part of its COOP. This reconstitution outlines the personnel required to get the agency back up to operational status along with the plan for running operations until the agency is back and fully functioning within its facilities.
FEMA has created a Continuity of Operations Plan template for non-federal agencies that Kentucky law enforcement agencies can use. FEMA is also a great source of information, training and templates for many aspects within the COOP itself.
As we in law enforcement know all too well, luck favors the prepared. In cases of a continuity crisis event luck has nothing to do with it, but preparedness can make the difference in an agency’s success.
