Continuity Plan for The Harris County Sheriff’s Office
Introduction
The continuity plan for the Harris County Sheriff’s Office outlines the essential functions, resource requirements, and strategies to ensure the agency can effectively respond to large-scale terrorist events or homeland security matters. It covers critical areas such as essential records and IT functions, human resources, communications, alternate locations, reconstitution, and devolution. This comprehensive plan ensures the agency can maintain its mission and provide vital services during times of crisis.
Essential Functions
The continuity plan for the Harris County Sheriff’s Office includes a list of the organization’s time-critical and essential functions (EFs). These EFs are crucial to the agency’s mission and must be maintained during a large-scale terrorist event or homeland security matter (Allen et al., 2017). The plan identifies the resources, space requirements, costs, interdependencies, workflow processes, and support functions necessary for the continued performance of these functions.
Business Impact Analysis Summary
A summarized Business Impact Analysis (BIA) is shared and referenced in the continuity plan. The BIA assesses the impact of threats on the agency and addresses the requirements for a continuity facility and infrastructure, risks to essential records and IT equipment, and risk prevention and mitigation tactics.
Essential Functions and Resource Summary
The plan summarizes each essential function, including recovery time objectives, staffing requirements, necessary equipment, records, IT access, facility space, supporting activities, dependencies, and expected costs for continuity. Workflow processes are outlined, ensuring anyone with the required credentials can understand and complete the work.
Support Functions
Internal support activities include plans for pay and benefits, administrative support, and break schedules for Continuity Team members (Allen et al., 2017). These measures enhance the agency’s ability to support the essential functions during the continuity event.
Interdependencies
The plan addresses how interdependencies will be managed. It identifies organizations the agency relies on to complete essential functions, their needs, access methods during continuity operations, and recovery time objectives (Allen et al., 2017). It also considers entities that depend on the agency, potentially creating additional essential functions.
Mutual Aid. Relevant agreements, such as memoranda of understanding, contracts, or service-level agreements, are included to augment resources for essential function continuity. These agreements ensure coordination with external entities during the event.
Expected Costs
The plan outlines the costs of implementing the supporting activities for essential function continuity. These costs are distinct from the overall continuity program budget and help allocate resources effectively.
Essential Records and IT Functions
The Essential Records and IT Functions section of the continuity plan for the Harris County Sheriff’s Office focuses on the identification, storage, backup, protection, and recovery of essential records and IT systems during a continuity event.
Identification and Storage
Essential records are thoroughly identified and documented, including documents, data, software programs, and other information. Responsible personnel and record locations are identified. A systematic naming and storage system is established for easy retrieval. Collaboration with the IT division and staff training ensure effective implementation.
Backup and Protection
Essential records are formally designated and backed up outside the sheriff’s office servers. Data storage contracts, offsite servers, cloud storage, and portable media are used for backup based on security and cost considerations. Hard copy records can be stored offsite or in duplicate at alternate locations. Backup processes and protection measures for electronic and hard copy records are described. The responsible party or process for recovery is identified.
Recovery
Recovery procedures for damaged records are outlined. Identifying recovery experts and establishing contracts in advance expedite salvage efforts. Prevention strategies are emphasized to minimize damage. The responsible party or process for conducting recovery is specified. The costs of recovery are accounted for in the budgeting and acquisition section of the plan.
Human Resources
Roles and Responsibilities
Senior Leadership: Senior leadership plays a crucial role in the activation of the continuity plan in the Harris County Sheriff’s Office. They are responsible for initiating the plan in response to disruption to normal operations. They evaluate the situation and its potential impact on agency operations, deciding to activate the plan. They also inform all employees of the situation and the necessary actions to be taken.
All Personnel: Every Harris County Sheriff’s Office member receives training and preparation to act quickly during a continuity event. They are required to develop a Family Support Plan to enhance personal and family preparedness. Accountability for personnel is maintained through designated processes, such as call trees or automated systems, with regular reporting intervals.
Continuity Personnel: Specific positions are identified as essential for conducting essential functions and authorizing work. These positions include the Continuity Coordinator, Continuity Team members, senior leadership, and their successors. A roster is maintained by the responsible office/title, ensuring personnel is correctly matched to required positions.
Succession and Delegations of Authority
Lines of succession are established for the organization head and key positions responsible for authorizing essential functions and maintaining financial and legal responsibilities. Delegations of authority documents are created to enable successors to assume responsibilities, outlining the legal authority and transfer process. Orders of succession are regularly reviewed and maintained as essential records.
Additional Human Resources Considerations
The continuity program coordinates with the organization’s human resources department/division regarding pay, benefits, employee schedules, and assistance. Applicable laws and regulations are adhered to, and guidance is provided for additional staffing, work schedules, employee assistance programs, benefits, and more.
Personal Recovery Assistance: The organization recognizes the importance of personal recovery for personnel and their families. Provisions and procedures are established to assist personnel, especially those affected by a catastrophic disaster. Well-being and recovery monitoring, access to support services, and resources such as Workers’ Comp claims and Employee Assistance Programs are provided.
Replacing Staff: Guidelines are established for replacing or augmenting staff in the event of a continuity event. These guidelines ensure a seamless transition and maintain critical operations by identifying alternative personnel and their roles.
Communications
Resilient Systems
The Harris County Sheriff’s Office has implemented multiple resilient communication systems to ensure connectivity during emergencies. These systems are located at primary and alternate locations and telework or virtual office setups. Resilient communications and IT systems support connectivity among internal personnel, organization leaders, other organizations, customers, and the public during crises (Ovenden, 2019). These systems also aid in social distancing efforts during a pandemic. Equipment for employees with disabilities and hearing impairment is available.
Senior Leadership Communications
The Harris County Sheriff’s Office maintains robust communication capabilities for senior leadership. According to Ovenden, 2019, these capabilities remain operational during transitions to alternate locations, at remote sites, or in case of communication failure at the primary facility. Detailed documentation is available through the designated office.
Alert and Notification
In the event of an incident, various methods are employed to issue initial notifications to staff, including mass notification systems, alarms, public address systems, emails, phone calls, press releases, agency website banners, and more (Blackburn et al., 2020). The Continuity Plan activation involves notification steps, utilizing multiple methods, and requiring personnel responses. Family members, next of kin, and external stakeholders are also notified.
Continuity Event Communications
During continuity operations, ongoing communication is essential for personnel to remain informed about workplace recovery status and potential role transitions (Blackburn et al., 2020). Regular updates facilitate efficient workforce utilization. Communication responsibility ensures two-way communication for message receipt confirmation.
Contact Rosters
Contact rosters for internal personnel, external stakeholders, and service providers are maintained in the Communications Annex. These rosters are regularly updated and stored in the essential records database.
Tracking the Threat
Senior management continuously monitors the incident’s development through various sources, including news and weather reports, emergency services updates, and guidance from higher authorities (Romero, 2022). The evaluation considers personnel health and safety, execution of Essential Functions (EFs), potential effects on communications and IT systems, facilities, equipment, and the expected duration of the emergency.
Alternate Locations and Telework
The Harris County Sheriff’s Office recognizes the need for alternate locations and telework options during large-scale events or homeland security matters. These measures ensure the continuity of operations and provide flexibility and resilience.
Alternate Locations
The Sheriff’s Office maintains at least one alternate location for key leaders and staff. This location is chosen to mitigate vulnerabilities and guarantee access within an agreed-upon time frame.
Space and Infrastructure Summary
The alternate location is carefully selected, considering space and infrastructure requirements. This includes backup generators, necessary equipment, adequate facilities such as bathrooms and break areas, residential accommodations, transportation, and more.
Access to Communications, Internet, and Remote Servers
The alternate location provides the necessary infrastructure for accessing primary servers, backup storage, and essential records. Interoperable communications and connections are ensured, along with the capability to access and use essential records. IT support is available, and internet and phone access provisions are made.
Contracts
Contracts are obtained in advance to secure occupancy of the alternate location. These contracts outline usage parameters and are classified as essential records.
Maps, Directions, Security, and Access
Clear instructions are provided for personnel regarding security, site access, and maps with primary and secondary routes.
Telework
Telework options are established, ensuring access to servers, backup storage, and essential records. Personnel contact their managers, log in to the appropriate systems, and begin performing essential functions remotely.
Activation/Relocation
In the event of plan activation, advanced and Continuity Team members are deployed using pre-designated transportation methods (Blackburn et al., 2020). Non-continuity personnel receive instructions and may be directed to return home or await further instructions. The advance team prepares the alternate location and assists continuity and non-continuity staff.
Reconstitution
The Reconstitution phase is crucial for Harris County Sheriff’s Office to return to normal operations once it is determined that the disaster or emergency no longer poses a threat. To ensure a focused approach, separate individuals should be assigned to the Reconstitution and Continuity teams. If a separate Reconstitution Plan is used, it should be referenced and summarized within the Continuity Plan, with the Reconstitution Plan designated as an essential record.
Procedures
Within the specified period following an emergency relocation and upon approval from the appropriate state and local authorities, the Reconstitution Team will initiate and coordinate operations to salvage, restore, and recover the primary operating facility and resources.
Reconstitution Team
Individuals should not serve on the Continuity and Reconstitution Teams due to the significant time and effort required and overlapping responsibilities (Romero, 2022). The roster of Reconstitution Team members should be included in the Communications Annex. Expectations for team members may include:
- Establishing communication channels between senior leadership and building managers or repair crews.
- Organizing the recovery of resources from the damaged building, if deemed safe, to do so.
- Coordinating repairs necessary for re-occupying the damaged facility.
- Searching for a new permanent or semi-permanent facility.
- Procuring resources, setting up, installing, and testing the permanent facility for operability.
Devolution
Devolution planning within the Harris County Sheriff’s Office supports continuity planning. It addresses emergencies that may impede the leadership or staff from executing essential functions (EFs) at the primary or alternate location (Weaver et al., 2020). If a separate Devolution Plan exists within the Harris County Sheriff’s Office, it should be included as an essential record, incorporating relevant information.
Contracts
In the Harris County Sheriff’s Office context, the contract section should encompass any agreements associated with devolution involving another organization. The Harris County Sheriff’s Office must be prepared to transfer EFs and associated responsibilities to personnel within an alternate division or organization if the leadership or staff becomes unavailable (Baker, 2018). The designated office holds the responsibility for maintaining an updated Devolution Plan, which encompasses program plans, procedures, budgeting, orders of succession, essential records management, and other pertinent aspects.
Transfer of Essential Functions
Within the Harris County Sheriff’s Office’s continuity plan, clear procedures for transferring the implementation of EFs to another organization or division should be outlined. This entails defining specific steps, roles, and responsibilities while ensuring seamless communication, comprehensive documentation, and established handover protocols. According to Baker, 2018, the Harris County Sheriff’s Office must ensure that the receiving entity possesses the requisite capabilities to execute the transferred EFs effectively. Ongoing coordination and collaboration between the Harris County Sheriff’s Office and the receiving entity are essential for maintaining situational awareness and fostering effective communication throughout the transfer process.
Conclusion
The continuity plan for the Harris County Sheriff’s Office is a vital framework for ensuring the agency’s operational resilience and preparedness in the face of disruptive events. By identifying essential functions, addressing resource needs, safeguarding essential records and IT systems, establishing clear roles and responsibilities, maintaining robust communication systems, and planning for alternate locations and reconstitution, the agency can effectively navigate and recover from emergencies, ensuring the safety and security of the community it serves.
References
Allen, J., Ellis, T., Fisher, S., Hunt, L., Janusaitis, R., Jones, M. W., … & Upright, R. (2017). Harris County Office of Homeland Security & Emergency Management (HCOHSEM) Information Management Analysis.
Baker, K. (2018). Reflection on lessons learned: an analysis of the adverse outcomes observed during the Hurricane Rita evacuation. Disaster medicine and public health preparedness, 12(1), 115-120.
Blackburn, A. G., Brusman-Lovins, L. L., Goltz, H. H., & Smith, D. S. (2020). Process Evaluation of the Harris County Sheriff’s Office Tele-Health/CORE Pilot Program.
Ovenden, A. (2019). Developing a Crisis and Emergency Risk Communications Plan: A Formative Evaluation of the Durham County, North Carolina Emergency Communications Program.
Romero, M. A. (2022). Improving Disaster Planning in North Texas through Emergency Manager Development: A Qualitative Study (Doctoral dissertation, Colorado Technical University).
Weaver, A., Delgado, B., Mohr, C., Aranda, G., Ott, K., Patterson, K., … & Elahi, T. (2020). Preparing for Threats in Harris County: Utilizing a Community Approach.
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