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Departmental Continuity of Operations Plans (COOP) From Departments not Presenting
Copyrighted April 22, 2020 City of Dubuque Work Session - Bottom # 11. ITEM TITLE: SUMMARY: SUGGESTED DISPOSITION: Departmental Continuity of Operations Plans (COOP) Updates for Departments Not Presenting • Building Services • CityAttorney's Office • City Clerk's Office • Economic Development Department • Engineering Department • Planning Services • Public Information Office ATTACHMENTS: Description Building Services COOP Plan City Attorney's Office COOP Plan City Clerk's Office COOP Plan Economic Development Department COOP Plan Engineering Department COOP Plan Planning Services Department COOP Plan Public Information Office COOP Plan Type Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation Supporting Documentation 2012 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Building Services Department Date 4.1.20 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Building Services Dept provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time - with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the Building Services Manager and City Manager. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department ■ Prioritize the Essential Functions as measured by time criticality. Page 1 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations • Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for Building Services Department Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Code Compliance Life safety- related inspections (electrical, mechanical, plumbing) AAA Inspectors. Sievers and Zasada as backup for specific skill inspectors. ECIA and IEEB may be contracted if needed for electrical inspections Vehicle or other mode of transportation, Cell phone, tablet, printer, mail service Code Compliance Permit processing AA Noel/Zasada Computer/tablet, email, phone Administrative Payroll AAA Noel/payroll clerk from other dept Computer/tablet, email, access to finance system Facility Management Cleaning City facilities as long as they are operational AA Liphart + 4 custodians. Back-up mgt: Bldg Sery Mgr or Zasada. Contract with guidance from Purchasing Coordinator if needed Custodial supplies located in each building Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Administration Purchasing, payment processing & other finance functions B Noel/payroll clerk from other dept Computer/tablet, access to network & finance system, Pcard Administration Citizen complaint /response B Noel/inspectors via cell Computer/tablet, phone Code Compliance Non -life safety related B Inspectors Vehicle or other mode of transportation, Cell Page 2 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations inspections phone, tablet, printer, mail (mechanical, service electrical, plumbing) Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Code Compliance Site plan review C Zasada/Sievers Computer/tablet Code Compliance Outreach & education C Inspectors Phone Code Compliance All other inspections (ADA, nuisance), Notice of Violation processing, Court C Inspectors Vehicle or other mode of transportation, Cell phone, tablet, printer, mail service ❖ Identify Resource Requirements ■ Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. ■ Identify key personnel and backups. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc to complete essential functions. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Page 3 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Conditions Building Services Manager Assistant City Manager Housing & Community Development Director Successor will be notified via phone by predecessor unless not humanly possible. Successor will notify City Manager. All inspectors Sievers is able to perform all residential inspections. Zasada is able to perform all commercial Changes in inspector responsibilities will be approved by the Bldg Services Manager. ❖ Establish succession procedures • Conditions under which succession will take place ■ Method of notification • Terminating conditions Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Signature of contracts Financial Bldg Services Manager Department head has authority as delegated by the City Manager Administrative policies govern in the absence of additional emergency declaration direction Approval of permits Operational Inspectors hold authority. Inspectors may give verbal approval to Permit Clerk to approve certain types of routine inspections virtually until written permit can be issued. Bldg Services Manager must approve any changes to process after inspectors make recommendatio n Custodial standards & scheduling Operational Bldg Services Manager, Bldg Services Mgr may delegate daily Any overtime must be Page 4 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations Maintenance mgt of custodial to approved in Supervisor Maint Supervisor, including schedule changes and changes to service levels advance by BSM Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities > Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats • Identify sufficient space and equipment to sustain the relocating organization • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) • Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) • Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees • Address physical security and access controls Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: None identified at this time Required: Structure / Facilities Weather proof. Ideally at least 2 networked work stations Utilities Water, sewage, electricity Communications (Including Voice and Data Transmission Voice and data transmission lines are essential. Office phones can be forwarded to City and personal cells. Access to City Hall mail can be suspended temporarily but should be available Equipment and/or systems City vehicles. Personal vehicles may be used if City unavailable. High speed internet access or wireless/hotspot capability Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points Alternative Facilities: 1. City Hall 2. Historic Federal Building Page 5 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations 3. Inspectors will operate remotely from their vehicles. ❖ Alternate Service Delivery ➢ Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. ■ Address tools or services needed from other county or government organizations to achieve social distancing ■ Identify the department's technology needs related to large-scale telecommuting. ■ Address considerations for flex shifting. A. All code enforcement employees have the ability to telework. B. All employees are able to work flex schedule hours with the approval of their supervisor. C. Non -essential activities (B and C above) may be suspended at the direction of the Building Services Manager, or alternative means such as live video inspections based on the directives of public health officials or ability to safety travel in the community. C. Most permits and site plans are submitted electronically. This transition will continue in the near future to achieve 100%. Site plans can be shared electronically with other City staff. C. Social distancing achieved through: Telecommuting and teleconferencing via computer, webcast, phones, e-mail, social media Inspectors operating from their vehicles with basic supplies. Vehicles kept at home to avoid City Hall commute. See Appendix A for directive re: social distancing on construction sites. Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. Phone, Office365, internet, network access to access Novus, FinPlus, Accela. ❖ Address method of transferring/replicating critical communications at the alternate site Phones transferred to other extensions/cell phones, Microsoft Teams & Sharepoint used for other communications. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. GoToMeetings for organized meetings, including weekly staff meetings if staff are not working in same space. Microsoft Teams chats & video calls for additional communication ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public With public: City website, social media, press releases, webqa, mail if needed. With customers: inspectors' cell phones, webqa. Building Services Manager will determine which standard permits may be issued with photo documentation only (no onsite inspection), and which permits may be issued with alternative video inspection. ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. Gotomypc to get to Novus, Accela, Laserfiche, network files & software WebQA to process citizen requests Page 6 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations Section V.Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ❖ Include provisions for classified or sensitive data ❖ Identify location and accessibility to vital records ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) Payroll Electronic Laserfische NO City Server Accounts Payable/Receivable Electronic Laserfische NO City Server Building permits, inspection records Electronic Accela, Laserfiche NO City Server Site plans Electronic City server/ Laserfische NO City Server City facility records (operations manuals, inspection reports) Hard copy in BSM and Zasada offices No YES Will be scanned in 2020 Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • Building Services Manager will make determination for relocation, response, and recovery based on directives received from the City Manager. Page 7 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations ■ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • Building Services Manager will text all staff as primary notification if relocation or emergency action is required, with confirmation of receipt required. Phone call and email notification are secondary notification options. Maintenance Supervisor will notify custodians of changes in regular work circumstances. ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • Building Services Manager will notify staff via text (emergency) or email (non - emergency) of changes in arrival procedures and operational procedures. Changes in individual staffing schedules will be approved by the BSM. Updated staffing schedules will be collectively communicated to all staff by the BSM. • Inspectors will have the ability to bring City vehicles home and start their schedule from there to avoid interaction with other staff as approved by the BSM. "Find My Friend" or other similar technology will be enabled to locate City vehicles and staff during the work day to ensure safety and accountability. Minimally, weekly staff meetings will occur in - person or virtually. • Staff will utilize Office365 products through the duration of the event for communication, and will be available by cell phone (voice and text) and e-mail. • If a staff member will be working telecommuting, they will make arrangements to forward their calls from their desk phone to their cell phone. • If the event is anticipated to require extended day and weekend staffing, staggered schedules will be arranged. ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. When situation is determined to be ready for normal operations, BSM will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. • Address notification procedures for all employees returning to work. When situation is determined to be ready for normal operations, BSM will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: Page 8 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations • Annual review of department COOP, and inclusion of COOP overview in orientation of all new CMO staff members • Annual department testing and exercising of COOP plans and procedures ■ Annual testing of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff Page 9 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations Appendix 1. COVID 19 Response (Available at www.cityofdubuque.org/buildingservices) In an effort to prevent the spread of COVID-19, City Hall is closed until at least May 3, 2020. This includes the Building Services office. Building Services has outlined the following guidance to assist builders and developers in continuing construction as much as feasible while limiting interactions in the field during this time. PERMITS All permit applications are available online and applications are able to be submitted electronically. This can be done via the website or by emailing building@cityofdubuque.org. Credit card payment can be made via phone, or a check can be mailed to the Building Services Department. Please call Building Services at 563.589.4150 for assistance with permit submittal or payment. Emergency repairs that require immediate attention will be exempt from this payment policy, including such repairs that may happen during normal business hours. Payment of these permits should be made as soon as possible after the emergency repair has been completed. BUILDING INSPECTION SERVICES Building Inspection services will continue, with some restrictions in place to protect the safety of the public, our builder and contractor partners, and our employees. General guidelines for all inspections: 1. When scheduling any inspection, you will be asked basic health screening question(s) about the people on the job site. 2. Our building inspectors are now working remotely from their vehicles and are not physically in contact with other City staff. 3. We will limit exposure to as few individuals on site as possible. We request that only the Subcontractor or General Contractor interact with the inspector at the time of inspection. 4. Building Services staff may evaluate the risk before proceeding with any scheduled inspection. In order to follow State direction on social distancing, no more than 10 people in a group, with 6- 8 feet of distance between people. 5. Interior inspections will be done for essential or emergency inspections only. Inspections will be evaluated on a case -by -case basis to determine the best course of action depending on life safety issues. Alternate types of documentation such as photos, videos, or live video sessions may be permissible depending on circumstances. Please contact the relevant inspector to discuss alternatives. Building Inspections with No Modifications: Inspections that will occur as normal: 6. Exterior footings, foundations, decks, accessory structures. 1. Residential and commercial projects where structure is unoccupied. 2. In general, any new unoccupied construction project or outside project where exposure can be limited. 3. Exterior groundwork 4. Accessory structures 5. Electrical service 6. Temp electrical service Page 10 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations Modifications: Inspections that will be adjusted for public safety: 7. Interior residential/ commercial where occupants are present will be determined on a case -by - case basis when inspection is requested. We will evaluate the life safety issues and determine the best course of action. Depending on the project, photos, videos, or live video of the area may be considered to determine compliance. 8. Inspections of appliance replacements such as furnaces and water heaters will be evaluated on a case -by -case basis. Depending on the project, photos, videos, or live video of the area submitted by a qualified contractor may be considered to determine compliance 9. High risk facilities such as hospitals, care centers, day cares, schools will be determined on a case -by -case basis. We will evaluate the life safety issues and determine the best course of action. Depending on the project, photos, videos, or live video of the area may be considered to determine compliance. All other projects that pose a hazard from exposure to more than 10 individual or individuals who pose a risk will be determined on a case -by -case basis. Depending on the project, photos, videos, or live video of the area may be considered to determine compliance. Mechanical / Plumbing / Electrical Life safety issues including no heat, no water, no electrical will be evaluated and prioritized. We will work with subcontractors on limiting risk during inspections. BUILDING & SITE PLAN REVIEW Click here to submit Building & Site Plans electronically. Page 11 of 11 Posted Health Alert Network —Document Library—Documents—Grants—GrantsFY07-08—CDC—FY07-08 CDC BT Tools & Templates —Continuity of Operations City of Dubuque City Attorney's Office 2020 COVID-19 CONTINUITY OF OPERATIONS PLAN (COOP) April 15, 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque City Attorney's Office provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and City Attorney. Page 1 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Section I. Essential Functions/Services City Attorney's Office Organizational Chart CITY ATT • jfll ] lj y YVS LL 7 CRE�Il'1 b A UMWBRELL BARRY 1 NDAH L CITY ATTORNTY SENIOR COUNSIP1. PEKE MAUREEN Q.IJANN LSSISII'AN IF CI II Y A II'1 OITNIFY JENNY MESSERICH PARALLIGAL TRACEY STECKT UN T°ATeAIIG ST TANTE TST'ON Livia, RIGHTS S FNV1FSTIIGA TOR Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Prioritized Listing of Essential Functions for City Attorney's Office. Critical Functions Division/Activity/ Program Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/ Data/Office Supplies Emergency • Code review & AAA • City Attorney • Phone Review / interpretation • Senior • Internet Guidance • Contract review, emergent Counsel • Assistant City • iPad/comp uter • Guidance and review Attorney • Email for/to Mayor & city • Ahlers & • Possibly staff on emergent issues, upcoming council meetings Cooney* access to city network City Council • Review items for AAA • City Attorney • iPad/comp Meetings/Docume Mayor/Council • Senior uter ntation • Review items for Counsel • Email City Manager Page 2 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Review items for Dept/Div Managers • Draft documents • Assistant City Attorney • Paralegal • Paralegal • Access to city network • Internet access • Phone Administrative Payroll/Purchasing AA • Paralegal with longer tenure • Purchasin g forms • Paralegal with less tenure** • Payroll clerk from another department • Access to city network & programs • Timesheet information • Administrative Resource & Referral AA • Paralegal • Phone for public • Paralegal* • Internet • City Attorney • Assistant City • iPad/comp uter Attorney • Email • Civil Rights Specialist • Possibly access to city network *Ahlers & Cooney law firm has been confirmed as backup for City Attorney's Office in event all internal attorneys are unavailable. **In absence of junior paralegal the staff/back-up will be: Paralegal with longer tenure, City Attorney, payroll clerk from another department. Important Functions Division / Unit / Program Essential Function Priority B Staff / Back- up Equipment / Data / Office Supplies Litigation*** Tax appeals Tort cases Civil Litigation B • City Attorney • Senior Counsel • Outside counsel (Kane, Norby, Reddick or Ahlers & Cooney • Phone • Internet access • iPad / computer • Email • Case files • City network access Page 3 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations depending on type) • Court / Enforcement Prosecution B • Assistant City Attorney • Paralegal • City Attorney • Access to city network & programs • Phone • Internet • iPad/computer • Email • Access to courthouse virtually or physically Civil Rights Human Rights Investigations B • Civil Rights Specialist • City Attorney • Paralegal • Access to physical & electronic files • Phone • Internet access • iPad/computer • Email • Access to city network Claims • Process incoming claims • Assist ICAP with investigative needs • City Council correspondence • Assist in disposal of claims, denials, settlement, City Council appeal • Processing payment requests B • Paralegal • Paralegal • City Attorney • City Clerk's Office • Access to physical & electronic files on city system • Phone • Internet • iPad/computer • Email Administrative Document Review — non -emergent B • City Attorney • Senior Counsel • Phone • Internet • iPad/computer • Email Page 4 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Assistant City Attorney • Paralegal • Paralegal • Possibly: access to city network Administrative Account payable / Accounts receivable B • Paralegal • Paralegal • City Attorney • City network access • Access to forms • iPad/computer • Internet connection WebQA Respond to citizen inquiries B • City Attorney • Senior Counsel • Assistant City Attorney • Paralegal • Civil Rights Specialist • Paralegal • iPad/computer • Internet Connection • Access to WebQA • Email • Access to records possibly associated with inquiry ***Priority depends on orders issued by the Iowa Judicial Branch. Some cases are ordered deferred while others are not and must proceed as scheduled. Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back- up Equipment/Data/Office Supplies Organizational Development Training C • Civil Rights Specialist • City Attorney • Assistant City Attorney • Human Resources Department • Human Rights Department • Presentation materials • Phone • Internet • iPad • Email Page 5 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Section II. Lines of Succession / Delegations of Authority**** Key Positions & Lines of Succession Position Successor 1 Successor 2 Method of Communication City Attorney***** Senior Counsel Assistant City Attorney • Successor notified by phone by predecessor unless impossible • City Council informed by predecessor unless impossible. If impossible for predecessor to inform City Council the successor will notify City Council. Civil Rights Specialist Paralegal City Attorney • Successor notified by phone by predecessor unless impossible • City Manager informed by predecessor unless impossible. If impossible, successor notifies City Manager. Paralegal Paralegal Civil Rights Specialist • Successor notified by phone by predecessor unless impossible • City Manager informed by predecessor unless impossible. If impossible, successor notifies City Manager. ****Succession for City Attorney is outlined in City Code §1-11-3 Page 6 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations *****In the event the City Attorney, Senior Counsel, and Assistant City Attorney are unavailable the law firm of Ahlers & Cooney is available to act in a City Attorney capacity for the organization until such time as an attorney from the office is available to return to work or in the event that is impossible, until such time as the City Council appoints a new City Attorney pursuant to City Code §1-11-3. Confirmed via email with Ahlers law firm. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Terminating Conditions Closing Office or Moving Office Emergency authority • City Attorney • Senior Counsel • Assistant City Attorney • Public emergency declaration • Unsafe conditions for physical presence in office Life threatening situations • Situation has resolved • Emergency declaration expires Purchase of Supplies and Services / Signing Purchase Orders Operational • City Attorney • Senior Counsel • Assistant City Attorney • Paralegal Public emergency declaration Delegation limited to a cap of $10,000 • Situation resolved • Emergency declaration expires Signing Contracts Financial • City Attorney • Senior Counsel • Assistant City Attorney Public emergency declaration Authority designated by City Council, City Manager, Director of Budget and Finance Emergency declaration expires Section III. Alternate Operating Facilities & Service Delivery Alternative locations for City Attorney's Office identified, and confirmed as follows: 1) Midtown, confirmed with attorney Todd Stevenson. Page 7 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Kane, Norby, & Reddick 2100 Asbury Rd, #2 Dubuque, IA 52001 2) West End, confirmed with Kelley Deutmeyer. ECIA 7600 Commerce Park #9673 Dubuque, IA 52002 Facility Requirements if Relocated Requirements if Telecommuting Workspace for 6 people with high speed internet access Home office space with wired or wireless internet Desk phones and/or cell phones Home phones and/or cell phones Desktop or laptop computers connected to City network Laptop computers or tablets Accessible for people with disabilities Go to My PC for payroll and access to City network Water, sewer, electricity, heating, fire suppression Phone Tree / Call forwarding Secure space for protection of confidential information Section IV. Interoperable Communications Critical communication systems that support the department essential functions: • Desktop phone line — 589-4381 and 589-4113; set this up as transferable to cell phones, if necessary. • Language Line tools and access to interpretation/translation resources and phone lists • Internet access with functioning e-mail, GovQA, Microsoft Office online through computer, tablet, or phone • Communication with public through website/NotifyMe, media releases, social media, phone and e-mail networks with community leaders • Access to City network for payroll, purchasing. Alternatively, access to payroll clerk from another department that is operational and can assist with processing. Section V. Safeguarding Vital Records and Databases Vital Records and Databases Vital Records and Databases Vital file, record, or Form of record Location (relocated Back-up location database (hard copy, electronic) if building at risk) Page 8 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Case files e Hard copy and lectronic Multiple office file Laserfiche backup, cabinets, conference Outlook backup room c s f loset; basement torage, Laserfiche, :/ drive, Outlook Financial records Electronic and hard copy Office file cabinets, Outlook, Laserfiche Laserfiche backup, Outlook backup Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented Phase 1: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. o General emergency directives come from City Manager and EOC operation o City Attorney evaluates and determines necessity of changes in operations and procedures — office closure, office relocation, telecommuting, prioritization of activities o In City Attorney's absence, responsibility for decision -making lies with Senior Counsel, Senior Counsel Lindahl • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • City Attorney will notify staff by group e-mail requesting immediate response, following up with text or phone call as needed. • Initial e-mail or phone contact will include instructions for reporting to work physically or remotely. Phase 2: Alternate Facility Operations/Teleservice • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternate facility or through telecommuting. o Initial e-mail or phone contact will include instructions for reporting to work, including whether there will be staggered schedules, telecommuting, or special assignments based upon the nature of the emergency. o Staff will notify City Attorney by e-mail or phone upon arriving at work or signing in remotely. o Staff will have Microsoft Teams open for communication through the duration of the event, unless the staff member is deployed in the field in which case the person will be available by cell phone. Page 9 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations o If the desk phone at 563-589-4381 or 563-589-4113 is staffed, calls or messages will be sent to applicable staff members. o If the desk phone cannot be staffed, calls to that line will be forwarded to the City Attorney's cell phone. o If the office is closed and main desk phones are not staffed, each staff member working remotely, whether telecommuting or in the field, will have the option to forward their calls from their desk phone to their cell phone. o If the event is anticipated to require extended day and weekend staffing, staggered schedules will be arranged. Phase 3: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations, including returning to facility and notification process for employees to return to work. • When situation is determined to be ready for normal operations, City Attorney will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. • Annual review of department COOP • Inclusion of COOP in orientation for any new CAO staff members • Annual department testing of emergency alert and notification procedures and systems Page 10 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APPENDIX A PANDEMIC RESPONSE DETAIL • Evaluate essential functions and minimize operations as needed to ensure essential functions are completed during pandemic. • Evaluate calendars and schedules. o Cancel in -person events, including staff training, meetings, and travel o Re -design as virtual events where possible or reschedule for post - pandemic. • Evaluate office safety, determine whether office closes to public, closes to staff, or an alternative. o If remotely working isn't an option, maintain proper distancing, provide PPE, or both • Establish ability for employees to work from alternative locations. • Evaluate/provide, as needed employee technology needs to work from alternative locations. o Phones o Computers/Laptops/iPads o Internet/hotspot o Gotomypc • Establish Gotomypc for remote access to office computers/city network, if feasible o Test ability of staff to work from alternative locations with technology they possess or that is provided. o Ensure employees understand rules for acceptable usage of city technology • Implement phone trees, if all staff working remotely so calls are responded to in a timely fashion. • Set up weekly staff meetings virtually to check -in with staff. • Ensure staff calendars are shared for everyone in department to see. • Direct staff to comply with applicable proclamations, disaster declarations, and guidance from Public Health Officials. • Place staff members on quarantine as needed, based on federal, state, and local guidelines. • Participate in EOC, as needed. • Participate in employee and department manager meetings • Participate in City Council meetings and work sessions, virtually Page 11 of 11 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations 2012 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque City Clerk's Office Department Date April 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque City Clerk's Office Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and City Clerk's Office Department Manager. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department • Prioritize the Essential Functions as measured by time criticality. • Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for City Clerk's Office Department Page 1 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies City Council Agenda creation, posting; post -meeting processing; publication of legal notices; recording of documents Meeting conduction AAA City Clerk Asst. Clerk Permit Clerk NovusAgenda Multifunction Machine Lasefiche Computer 0365 Granicus Internet Telephones / City info Main phone bank AAA All staff Telephones, Shortel Manager Payroll Processing AAA Asst. Clerk Permit Clerk Computer Payroll software US Mail Incoming distribution AA All Staff Determine pick up routine, distribution location Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Boards & Commissions Agenda Postings Application processing Oaths of Office B Asst. Clerk Permit Clerk Multifunction Machine Computer Internet bulletin board Civil Service Commission Agenda creation & posting, meeting conduction B Permit Clerk Assistant Clerk Computer 0365 CivicPlus Multifunction Machine Internet Tobacco & Alcohol Applications B Asst. Clerk Permit Clerk Outlook Multifunction Machine Internet Business licenses/permits Solicitor, Taxi B Permit Clerk Asst. Clerk 0365 Multifunction Machine Billing and purchasing PO's / Invoicing / daily receipts B Permit Clerk Asst. Clerk Multifunction Machine FinancePlus US Mail computer Email / WebQA Response B All staff City Elections (if required) Receipt of candidacy papers B All staff Time/date stamp, multifunction Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Special events Permit approval C Permit Clerk Asst. Clerk PermitsPlus 0365 Pet impounds Retrieval of pet by owners C CCO Staff /Animal Control Forms daily receipts cash Bicycle licenses Issuance of tags C Permit Clerk Asst. Clerk Daily receipts cash ❖ Identify Resource Requirements • Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. Page 2 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc • Establish staffing requirements needed to carry out essential functions. ■ Identify key personnel and backups. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments, etc., to complete essential functions. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 City Clerk Asst. City Clerk Permit Clerk Asst. City Clerk City Clerk Permit Clerk Permit Clerk Asst. City Clerk City Clerk *If all unavailable Paralegal (confirmed) CMO Office Manager ❖ Establish succession procedures • Conditions under which succession will take place • Method of notification • Terminating conditions Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department manager or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Close/Move office Emergency City Clerk Asst. City Clerk Permit clerk Unsafe conditions barring physical presence in office Life -threatening conditions; or as ordered by local, state, federal Page 3 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc Official document Legal compliance City Clerk Absence and/or In compliance processing Asst. City Clerk incapacitation of with state and Permit clerk City Clerk; Declared public emergency city code, and/or disaster declaration City Council Legal compliance City Clerk Absence and/or In compliance agenda processing Asst. City Clerk incapacitation of with state and and meeting Permit clerk City Clerk; city code, and/or conduction Declared public emergency disaster declaration Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats • Identify sufficient space and equipment to sustain the relocating organization • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) • Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) • Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees • Address physical security and access controls EXAMPLE — Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: None identified at this time Required: Location Requirements Historic Federal Building (chambers or office room) Workspace for 3 staff (together or separate), Shortel or phone connection to cell phones including TDD/TTY; computers with network/internet/WiFi connection, access to multifunction machine; incoming/outgoing mail provisions; 0365 Leisure Services Bunker Hill Office (confirmed) Workspace for 3 staff (together or separate), Shortel or phone connection to cell phones including TDD/TTY; computers with network/internet/WiFi connection, access to multifunction machine; incoming/outgoing mail provisions; 0365 Remote / telework (if alternates 1 & 2 are unavailable or during a health emergency) Shortel or phone connection to cell phones including TDD/TTY; got -to -my -pc on issued computers if no personal devices available; incoming/outgoing mail provisions; access to multifunction machine Page 4 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc ❖ Alternate Service Delivery ➢ Identify alternate service delivery methods of essential functions if necessary, in order to prevent spread of disease. • Address tools or services needed from other county or government organizations to achieve social distancing • Identify the department's technology needs related to large-scale telecommuting. • Address considerations for flex shifting. Section IV. Interoperable Communications • City main line, 589-4100; set this up as transferable to alternative and/or cell phones • Create alternative for TTY/TDD • Language Line tools and access to interpretation/translation resources and phone lists • Internet access with functioning 0365, GovQA, establish go -to -my -PC through computers. • Communication with public through website/NotifyMe, media releases, social media, phone and e- mail networks. • Access to City network for payroll, purchasing. Alternatively, access to payroll clerk from another department that is operational and can assist with processing. • Establish process or alternatives for conducting City Council meetings. If the Chambers is unavailable, tele-meeting would be enacted with options for public input and based on any adjustments allowed through emergency declarations. • Establish process for obtaining required signatures in person or by approved proxy Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) City Council records (including agendas, resolutions, ordinances, contracts, agreements, et. al.) Hardcopy & electronic Novus agenda & Laserfiche 2011- present) Proceedings in Laserfiche 1907- present) Microfilms in Laserfiche 1835 Electronic access n/a Laserfiche IS backups Loras College Library City Attorney Alcohol Licenses Hardcopy/electronic Electronic access Active accounts only State ABD Special events Hardcopy & electronic Electronic access Active accounts only PermitsPlus Financial Records Electronic Electronic access Active accounts only FinancePlus Page 5 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop and executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. o General emergency directives come from Governor, Mayor, EOC operations, City Manager o City Clerk assesses necessity of changes in procedures — work in person at another location, telecommuting, prioritization of activities o Practice tests with City Council for conducting remote meetings or tour of alternative facility o Activate delegation of authority as situation demands. • Develop alert and notification procedures. o City Clerk will inform the Mayor and Council of changes in conducting City Council meetings. The City Clerk and Information Services will provide test runs with M/CC and departments for remote participation in Council meetings with input from Public Information for public input based on emergency directives. o City Clerk will notify staff by group e-mail requesting immediate response, following up with text, phone or Teams as needed. o Initial e-mail or phone contact will include instructions for reporting to work physically or remotely. ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternate facility or through telecommuting. o Direction to and from the Mayor and City Council regarding continuity of City Council agenda postings and meeting conduction. o Initial e-mail or phone contact will include instructions for reporting to work, including whether there will be staggered schedules, telecommuting, or special assignments based upon the nature of the emergency. o Staff will have Microsoft Teams open for communication through the duration of the event unless the staff member is deployed in the field in which case the person will be available by cell phone. o If a staff member will be working remotely, calls are to be forwarded from their desk phone to their cell phone or alternative location. o If the City's main line at 589-4100 cannot be staffed, calls to that line will be forwarded to the City Clerk's cell phone in the short term and forwarded to alternative location phones and/or issued cell phones for teleworking during the long term ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations, including returning to facility and notification process for employees to return to work. o When situation is determined to be ready for normal operations, City Clerk will notify staff through e-mail and/or Teams requesting response, following up with text or phone call as needed, regarding when and where to return to work. o Establish procedures and timeline for restoring/cleaning original workplace. Page 6 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Annual review of department COOP through staff meetings and/or other trainings • Annual adjustments and updates based on changing conditions and new staff • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff Page 7 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc APPENDIX A DETAIL FOR PANDEMIC Section 1: Essential Functions and Services • Refocus essential functions based on likely impact of a pandemic on internal/external clients: o Establish lines of communication with Mayor and City Council o Establish and assist City Council and boards and commissions with public meeting criteria for no in -person contact to include GoToMeeting options and posting of notices. o Establish payroll procedures with staff o Establish procedures for incoming/outgoing mail Section 2: Lines of Succession/Delegations of Authority • Close physical office location based on recommendations of Public Health Emergency Operations. • Initiate established lines of succession based on the demands of the emergency. Section 3: Alternate Operating Facilities & Service Delivery • Establish virtual meeting criteria or alternate location for City Council meetings as mandated by the emergency situation. • Set up telework conditions: o Test staff ability to use work -issued and personal cell phones, tablets, and laptops or computers to get to the Office 365 Portal online from home. o Ensure staff are provided computers for use at home as needed. o Establish teleservice protocol and ensure access to necessary documents, including updated phone lists for department staff, Leadership team, Human Rights Commission, Dubuque Community Police Relations Committee; staff timesheets and FEMA tracking information; instructions for GoToMeeting and GoToMyPC and accessing voice mail remotely; instructions for obtaining translations. o virtual check -in with all staff. o Set up GoToMeeting for City Council meetings and Civil Service Commission meetings with appropriate protocol. • Follow social distancing and quarantine guidance: o Place individual employees on quarantine as needed based on guidance from Public Health Specialist or personal health care representatives. Section 4: Interoperable Communications • Obtain cell phones for staff that do not have them and forward desk phones to cell phones; set up revised call tree as needed. • Ensure staff has access the City Network for payroll, purchasing, and other critical software systems are set up with GoToMyPC • Ensure all staff are able to access GoToMeeting to set up and attend virtual meetings and webinars. • Ensure staff without internet at home are provided a hotspot. Section 5: Safeguarding Vital Records and Databases • Continue as identified in general plan, maintaining hard copies at home as needed until office reopens. Section 6: COOP Implementation • Activate COOP procedures in compliance with official declarations and EOC/EMS guidelines. Page 8 of 8 https://cityofdubuque.sharepoint.com/Shared Documents/COVID-19/Departmental COOPs/City Clerk's Office COOP April 14, 2020.doc 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Economic Development Department April 13, 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Economic Development Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time - with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Economic Development Director. Page 1 of 9 Economic Development Department COOP — Updated 04/13/2020 Section I. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Director* Asst Director Arts Coordinator Asst Director* Director Arts Coordinator Arts Coordinator* Director Asst Director Account Clerk* Director Asst Director *Position information listed in Appendix 1 ❖ Establish succession procedures ■ Conditions under which succession will take place • Incapacitation (ill, injured, dead) during COOP emergency or for more than 14 days • Unavailable (distance/travel/communications) during disaster event ■ Method of notification • Phone, email, and/or memo as appropriate for timeliness. ■ Terminating conditions • All staff are available to conduct regular duties Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Director's normal financial approvals Approval of payroll, P-card, payments to vendors, TIF rebate payments Asst Director(1), Arts Coordinator (2) Need for approvals on a timely basis Only applies to approvals needed to maintain contractual commitments Director's normal schedule change approvals Approval of sick leave, vacation, modified work schedule Asst Director Need for approvals on a timely basis Only applies when modified schedule precedes return of Director Page 2 of 9 Economic Development Department COOP — Updated 04/13/2020 Section II. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department ■ Prioritize the Essential Functions as measured by time criticality. ♦ Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for Economic Development Department Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up* Equipment/Data/Office Supplies TIF Rebate Activity Job certs & Semi-annual payments on schedule _ AAA Clerk/Director/Asst. Director Internet, access to files, City network, computer Purchase of Services Activity Monthly payments on schedule AAA Clerk/Director/Asst. Director Internet, access to files, City network, computer Development/Contract Agreement Activity Draft agreements in timely manner AAA Director/Asst. Director Internet, access to files, City network, computer Development/Contract Agreement Activity HMD Master Plan refresh AAA Director/Asst. Director Internet, access to files, City network, computer, remote meeting channels Arts Activity Timely payout of grants AAA Arts Coordinator/ Clerk/Director Internet, access to files, City network, computer Administrative Activity Semi -weekly payroll processing AAA Clerk/Director/Asst. Director Internet, access to files, City network, computer Dubuque Initiatives Activity Administrative work AAA Asst Director/ Director/Finance staff Internet, access to files, City network, computer *Position information listed in Appendix 1 Page 3 of 9 Economic Development Department COOP — Updated 04/13/2020 Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up* Equipment/Data/Office Supplies Arts Activity Draft and forward agreements B Arts Coordinator/ Clerk/Director Internet, access to files, City network, computer Arts Activity Staff commission meetings B Arts Coordinator/ Director Internet, access to files, City network, computer, remote meeting channels Arts Activity Art on the River coordination B Arts Coordinator/ Director/Clerk Internet, access to files, City network, computer, remote meeting channels Development/Contract Agreement Activity Coordinate with project developer to gather details B Director/Asst. Director Internet, access to files, City network, computer Central Avenue Activity Coordinate development activities with owners/businesses B Director/Asst. Director Internet, access to files, City network, computer, remote meeting channels Small Business Activity Coordinate development activities with owners/businesses B Director/Asst. Director Internet, access to files, City network, computer, remote meeting channels Lease Activity Management of current leases B Director/Asst. Director/Clerk Internet, access to files, City network, computer *Position information listed in Appendix 1 Non -critical Functions (may be suspended or reduced Division/Unit/Program Essential Function Priority - C Staff/Back-up* Equipment/Data/Office Supplies Administrative Activity Update webpage C Asst Director/ Arts Coordinator Internet, computer Administrative Activity Update grant applications C Asst Director/ Arts Coordinator Internet, access to files, City network, computer Arts Activity Master Plan working group staff support C Arts Coordinator/ Director Internet, access to files, City network, computer, remote meeting channels Schmitt Island Activity Task Force representation C Director/Asst Director Internet, access to files, City network, computer, remote meeting channels *Position information listed in Appendix 1 ❖ Identify Resource Requirements ■ Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. • Identify key personnel and backups. • In absence of Director, Assistant Director will delegate responsibility for identified activities as noted above. Page 4 of 9 Economic Development Department COOP — Updated 04/13/2020 ■ Identify staff from non -essential areas that can be cross trained to backfill essential functions. • All Economic Development staff shall be cross trained in a variety of tasks needed to carry out the department's activities as noted above. ■ Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc. to complete essential functions. • Account clerks from other departments could be called upon to assist with payroll and other financial transaction processing. • Former/retired City Economic Development Directors still living in the Dubuque area could be called upon, if needed. ♦ Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ■ Hardcopies: PO's generated before paperless AP system. ■ Data/records: files on City network ■ Office supplies: laptop/tablet/hot spot as needed, if remote work required ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. ■ All non -critical functions as noted above, can be delayed, with modifications made by Director or Acting Director based on particular circumstances of any emergency. Page 5 of 9 Economic Development Department COOP — Updated 04/13/2020 Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Potential locations: Federal Building, City Hall • Should provide sufficient space, supplies, and equipment to sustain the relocation of 4 staff, ideally another City facility with City network capabilities. • Consider stable services (access, security, heat/cooling, electricity and communications). • Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees, including the possibility of employees working from their homes — self -quarantining shall be at the guidance of the Public Health Specialist and the City Manager EXAMPLE — Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: i.e. City Hall or Federal Building Required: Structure / Facilities Weatherproof, capacity for minimum of 4 employees and their work stations Utilities Water, sewage, electricity Communications (Including Voice and Data Transmission Voice and data transmission lines Equipment and/or systems High speed internet access, office desks Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points ❖ Alternate Service Delivery > Identify alternate service delivery methods of essential functions if necessary, in order to prevent spread of disease. • Address tools or services needed from other county or government organizations to achieve social distancing • Work location will be closed to the public • Identify the department's technology needs related to large-scale telecommuting. • Current technology availability accommodates remote working for all staff (phones, City network access, internet access, communication tools • Address considerations for flex shifting. • Staff will use shared calendars to indicate any non-standard hours. If flex hours are required, the Director will assign the shifts. Page 6 of 9 Economic Development Department COOP — Updated 04/13/2020 Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department's essential functions. ■ Access to internet, phone, City network ❖ Address method of transferring/replicating critical communications at the alternate site ■ Set up call transfer from desk phone to work cell phone, if desk phone still operable • Set an out -of -office message indicating to email contacts of the new location and available channels of communication ■ Modify email signature line to remind email recipients of new location and available channels of communication ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ■ If phone systems are available, continue use as normal with forwarding or use of cell numbers. ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public • If phone systems are available, continue use as normal with forwarding or use of cell numbers. • Public contact by social media and city website if available. ■ Set an out -of -office message indicating to email contacts of the new location and available channels of communication • Modify email signature line to remind email recipients of new location and available channels of communication • Establish & communicate to public the usage of electronic tools to hold public meetings (commission) ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. • Use of City network and data, if available. • Use of personal data, if necessary, to communicate via phone, text, email. Page 7 of 9 Economic Development Department COOP — Updated 04/13/2020 Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records • Emergency Plans Stored on City F:/drive folders • Individual storage such as OneDrive, Portable electronic storage, and paper copies. ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records • Laserfische ■ Finance Plus ■ Most records kept with Human Resources, or Finance • City network F:/ drive ❖ Include provisions for classified or sensitive data ■ Classified records kept with Human Resources or Finance ❖ Identify location and accessibility to vital records • Laserfische • Finance Plus • Most records kept with Human Resources, or Finance ■ City network F:/ drive ❖ Include procedures for date back-up and restoration ■ City network backs up daily Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) COOP Hardcopy & electronic NO YES City server Payroll Electronic Finance Dept. NO City server Accounts Payable Electronic Finance Dept. NO City server Employee Records Electronic Human Resources NO City server Page 8 of 9 Economic Development Department COOP — Updated 04/13/2020 Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • Trigger event -> if loss of ability to conduct business as usual, staff alerts Director while undertaking any lifesaving measures • Director assesses scope of event and contacts EOC for direction, as needed • Proceed through sections of this COOP to identify and implement necessary changes to authority, functions, location, communications, and records as provided herein • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. • Staff contact information located here: F:\Users\Econ Dev\COOP • Director will call each staff on their landline and/or cell number(s) ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. • Confirmation that building access, security, utilities, network, internet are in place • If above not available, staff will be directed to work remotely from home, assuming those locations meet the criteria of access, security, utilities, internet • If short term anticipated, staff would bring equipment normally used for remote work (laptop, cell phone, tablet, hot spot) • If long term anticipated, staff would bring equipment from office, as available ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Director will contact each staff member and alert them to the return to normal operations • Staff will move any equipment back to original location, if available Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire City. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Annual review of department COOP & initial review of COOP with new staff • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff Page 9 of 9 Economic Development Department COOP — Updated 04/13/2020 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Engineering Department Date 3-30-20 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Engineering Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City must maintain a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time -with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and City Engineer. Page 1 Page 1 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Section I. Essential Functions/Services Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. Departmental functions are prioritized based on their time criticality, the amount of time that a function/ process can be suspended before it adversely affects the department's core mission. All departmental functions are performed under the general guidance and direction of the City Engineer who is a registered professional engineer in the State of Iowa. Prioritized Listing of Essential Functions for Engineering Department Critical Functions for the Enaineerina Department Division/ Activity/ Prog Essential Function Priority (AAA, AA, A) Staff/ Back-up Equipment/ Data/ Office Supplies Utility Locating Locating City utilities within 48- hours per Iowa One -Call AAA Justin Smith/George Nauman, Luke Steger, Adam Decker, & Phil Grommet Vehicle, locator/tracing unit, iPad, paint, access to city utility records. Traffic Control Maintain traffic control systems AAA Dave Ness/ Duane Richter Vehicle, iPad, iPhone, and/or laptop with internet access. Traffic Control Maintain traffic cameras AA Dave Ness/ Duane Richter Vehicle, iPad, iPhone, and/or laptop with internet access. ROW Permitting Issue permits for private construction work within the public right-of-way AA Phil Grommet/Adam Decker Vehicle Construction Staking Provide construction staking for City construction projects (i.e. street, stormwater, sanitary sewer, etc.) AA Chuck Nicolas/Jay Gonzales, Troy Kress Vehicle, Total Station & GPS instruments, data collector, radios, maps, plats, construction plans, lath, flagging, hubs NPDES MS4 Permit Compliance Program Inspect City construction sites once per week and private construction sites once per calendar quarter per City NPDES MS4 Permit. A Deron Muehring/ Dennis Ploessl iPad with internet access. Inspections documented electronically on web - based, 3rd party system. Stormwater Flood Management Response Respond on a 24-7 basis to significant rainfall or river flooding events. Coordinate emergency management response to ensure all existing aspects of the flood control systems remain functional during the event. Conduct after action damage assessments and coordinate timely repairs AA Deron Muehring/Steve Sampson Brown, Bob Schiesl, Tom Freund, Chris Lyons, Todd Irwin Mobile internet connected devices, GIS, SCADA connectivity, Engr Dept F Drive, direct access to civil contractors Page 2 Page 2 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Payroll processes Ensure compliance with AA Meggan City network access/ and procedures local, state, and federal Bennett/Anita GoToMyPC and mobile payroll requirements. Gonyier/Kerry Bradley internet connection devices if done remotely Important Functions for the Engineering Department Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/ Data/ Office Supplies Traffic Control Design, review, and approve temporary traffic control for road closures/detours. Civil Engineers Mobile internet connected devices (I.e. iPhone, iPad, etc.) Construction Project Financial Management Process contractor/vendor payments Meggan Bennett/Anita Gonyier, & Kerry Bradley Finance Plus, Laserfiche P.O. processing Construction Project Financial Management Process draw requests and prepare/submit reports associated with grants or loans associated with various projects. Anita Gonyier/Civil Engineers Computer, access to city finance software system Construction Project Planning and Design Services Provide tradition planning and design services including scope, schedule, and budget information. Advance a project through its final design and bidding phases to initiation of construction activities. B Various Civil Engineers or Consulting Engineers Workstations/CAD software Construction Project Administration Management Provide construction engineering services on City infrastructure projects (i.e. change orders, shop drawing review, contract interpretation, etc.) Various Civil Engineers on various City infrastructure projects/ Consulting Engineers Mobile internet connected devices (I.e. iPhone, iPad, etc.) Construction Project Management — Inspection and Materials Testing Perform construction project material testing & observe/ document daily progress Various Engineering Technicians on various City infrastructure projects/ Consulting Engineers Mobile internet connected devices (I.e. iPhone, iPad, etc.). Access to material testing lab at the MSC. HAZMAT and Brownfields site clean- up and management Provide technical services relating to discovery of contaminated or hazardous materials, coordination of engineering analysis of suspect materials, and proper handling and disposal B Steve Sampson Brown/Todd Irwin & Deron Muehring Access to GIS data, Sanborn Insurance Maps, Internet databases, technical data stored on Engr Dept F Drive NPDES MS4 Permit Compliance Program Review/Approve Stormwater Pollution Prevention Plans Deron Muehring iPad with internet access. Reviews are done electronically on web -based, 3rd party system. Page 3 Page 3 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Lease Invoicing Calculate upcoming lease B Anita Access to payment payments coming due and Gonyier/Meggan calculation submit to Finance Dept for Bennett & Steve spreadsheets on F processing Sampson Brown drive via GoToMyPC & MS Excel Accounts Process payments made and Meggan Computer, access Payable/Receivable payments received Bennett/Anita Gonyier, & Kerry to city finance software system Bradley Non -critical Functions for the Engineering Department Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/ Data/ Office Supplies Development Review Review Site Plans for impacts to public ROW. Nate Kieffer Access to GIS data, internet databases, Development Review Verify that proposed Site Plans adhere to the City's detention policy and NPDES Permit Deron Muehring/Civil Engineer Computer, access to internet, workstation/CAD software. Development Review Review subdivision plans to ensure they meet City design standards. Nate Kieffer Computer, access to internet, workstation/CAD software. Sanitary Sewer Projects Design of sanitary sewer replacement and extension projects Civil Engineer Workstations/CAD software Stormwater Management Projects Design of stormwater management facility replacement and extension projects Deron Muehring/Civil Engineer Workstations/CAD software Street Projects Design of street reconstruction/ maintenance projects Jon Dienst/Nate Steffen Workstations/CAD software Project Management Manage large public improvement projects for other City departments Steve Sampson- Brown Computer with access to internet or mobile internet connected devices (l.e. iPhone, iPad, etc.). Mobile phone. Lease Management Track leases (I.e. payments, deadlines, agreement terms, etc.) Steve Sampson- Brown/Anita Gonyier Communities Plus Section II. Lines of Succession / Delegation of Authority Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. Key Positions & Lines of Succession Page 4 Page 4 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Position Successor 1 Successor 2 City Engineer Assistant City Engineer Civil Engineer II Assistant City Engineer Project Manager Civil Engineer II Civil Engineer II (Traffic) Civil Engineer I Engineering Technician Civil Engineer II (Streets) Civil Engineer I Engineering Technician Civil Engineer II (Stm & San.) Engineering Technician Engineering Technician ➢ Conditions under which succession will take place • Incapacitation (ill, injured, dead) during COOP emergency or > 14 days • Unavailable (distance/ travel/ communications) during disaster event ➢ Method of notification Phone, email, memo as appropriate for timeliness. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Determination Hiring private Acting City When the delay of Only a licensed professional of Necessary contractors Engineer advertising and a engineer in the State of Emergency per Chapter public letting might Iowa can certify that holding Construction 384.103 of the cause serious loss a public hearing and Iowa Code or injury to the city advertising for bids, and the bidding provisions of Chapter 26 of the Iowa Code do not apply. Purchase of Purchase of Acting City Emergency need Only applies to items Services and items Engineer based on time necessary to maintain Supplies determined essential and time critical to response activities critical event, or essential supplies to maintain critical function critical function capability Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ Essential Functions All essential functions can be provided without the need for an alternate building as they are primarily done in the field, away from City Hall. The lone exception is the traffic camera fiberoptic network housed in City Hall. It can be accessed remotely, but only if City Hall has power. City Hall does have a backup generator. Page 5 Page 5 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 ➢ Non -Essential Functions While some non -essential functions are typically performed at City Hall, all departmental staff have the capability to perform their duties remotely using internet access. Working remotely does require that City Hall has power and desktop computers are turned on. City Hall does have a backup generator. ➢ Staff Relocation • Option 1. Relocation to another City facility with appropriate equipment and network access such as the Multicultural Family Center, City Hall Annex, Dubuque County Emergency Responder Training Facility, or rented office space with internet access. • Option 2. Relocation to homes to telework. Staff assigned with City vehicles would take the vehicle to their homes when off -duty. Summary of Facility and Telecommuting Requirements Facility Requirements if Relocated Requirements if Telecommuting Work stations with high speed internet access Home office space with wired or wireless internet Desk phone and/or mobile phone Home phone and/or mobile phone Desktop or laptop computer connected to City network Laptop computer or iPhone, iPad, or tablet. Office 365. Water, sewage, electricity, heating, fire suppression GotoMyPC for payroll, processing payments, and access to City network ❖ Alternate Service Delivery Alternate service delivery may include suspension of non -critical activities in order to refocus personnel on critical activities and/or assign them to essential functions elsewhere in the organization. ➢ Social Distancing ■ Department move to all electronic documents (i.e. permitting, inspection reporting, etc.) ■ Engineering Department Office will be closed to the public. ■ Besides Essential Staff, Engineering Department staff can performing their duties at home or alone in their work vehicle. Staff are able to perform their duties utilizing GotoMyPC, Office 365, and other web applications using their iPhones, iPads, or personal computers. Page 6 Page 6 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 ■ All meetings are done remotely (virtual meetings) using MS Teams, Skype, GotoMeeting, GotoWebinar, or Zoom. ■ When the performance of their duties requires interaction with others, all staff maintains at least six feet of separation from others. ■ Limit the use of the lab limited to a single person. has been reduced to a single employee. ➢ Flexible Hours ■ Flexible work schedules will be allowed upon notification of the employees' supervisor. Section IV. Interoperable Communications ❖ Critical communication systems that support the Engineering Department's essential functions: ➢ Phone, Email, Internet, and 800 mhz radios SEE APPENDIX A - DEPARTMENTAL CONTACT INFORMATION ❖ Transferring/Replicating Critical Communications ➢ Desk phones transferred to other extensions or mobile phones ➢ Use of iPads and iPhones to access emails ➢ Use of MS Teams and GoToMeeting to hold departmental meetings ➢ Use of MS Teams, GoToMeeting, Skype, or Zoom to hold necessary meetings with others outside the department ➢ Use of YouTube Live to make bid openings open to the public Use social media and NotifyMe to provide information to the public. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic, etc.) Pre -positioned at Alternate Facility Backed up at 3rd Location (at:) Traffic System Electronic server system (City Traffic Network) physically housed at City Hall Municipal Operations Center On location at individual traffic controllers Page 7 Page 7 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Camera System Electronic server system (City Traffic Network) physically housed at City Hall Municipal Operations Center 3rd Street Server Facility (building under water tower) Utility database Electronic (GIS) Construction Plans, staking points files Electronic (City Network) Lease Agreements Electronic (City Network) OneDrive Site Plans Electronic (City Network) Contractor Payments Electronic (City Network) Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. Phase 1: Activation and Relocation • Executive Decision Process • General emergency directives come from City Manager and EOC operation • City Engineer assesses necessity of changes in procedures — work in person at another location, telecommuting, prioritization of activities • Employee alert and Notification • City Engineer will notify staff by group e-mail requesting immediate response, following up with text or phone call as needed. • Initial email or phone contact will include instructions for reporting to work physically or remotely. Phase 2: Alternate Facility Operations/Teleservice • Initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternate facility or through telecommuting • Initial email or phone contact will include instructions for reporting to work, including whether there will be staggered schedules, telecommuting, or special assignments based upon the nature of the emergency. • Staff will notify the City Engineer by email or phone upon arriving at work or signing in remotely. • Staff will have Microsoft Teams open for communication through the duration of the event, unless the staff member is deployed in the field in which case the person will be available by mobile phone. • If a staff member will be working remotely, whether telecommuting or in the field, they will make arrangements to forward their calls from their desk phone to their mobile phone. • If the desk phone at 589-4270 cannot be staffed, calls to that line will be forwarded to the department secretary's mobile phone. • If the event is anticipated to require extended day and weekend staffing, staggered schedules will be arranged. Page 8 Page 8 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Phase 3: Reconstitution and Return to Normal Operations When situation is determined to be ready for normal operations, City Engineer will notify staff through email requesting response, following up with text or phone call as needed, regarding when and where to return to work. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. The Engineering Department must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department will utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: ■ Include department COOP in new employee orientation ■ Annual review of department COOP ■ Annual department testing and exercising of COOP plans and procedures ■ Annual testing of emergency alert and notification procedures and systems ■ Refresher orientation of COOP staff Page 9 Page 9 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 Title Staff Name Desk Phone APPENDIX A ENGINEERING DEPARTMENT CONTACT INFORMATION Work Cell *563 Prefex Home Personal Cell E-mail addess Access Home To Internet CPU/ Laptop iPhone iPad GoToMyPC Assistant City Engineer Schiesl, Bob 589-4273 599-4523 Bschiesl(a�cityofdubuque.orq Y Y Y Y Y City Engineer Psihoyos, Gus 589-4275 599-3989 563-582 7666 Gpsihoyo(a)cityofdubuque.org Y Y Y Y Y Civil Engineer I Steffen, Nate 589-1734 599-2309 563 599 6439 Nsteffen(a�cityofdubuque.orq Y Y Y Y Y Civil Engineer II Dienst, Jon 589-4104 599-4524 563 583 5079 Jdienst@cityofdubuque.org Y Y Y Y Civil Engineer II Muehring, Deron 589-4276 599-3117 563-210 7375 Dmuehrin(c�cityofdubuque.orq Y Y Y Y Y Civil Engineer II Ness, Dave 589-1722 599-3107 507 722 1792 Dness@cityofdubuque.org Y Y Y Y Y Confidential Account Clerk Bennett, Meggan 690-6270 563-590- 8816 Mbennett(a�cityofdubuque.org Y Y Y Confidential Account Clerk Odobasic- Gonyier, Anita 589-4271 563 581 4262 Agonyier©cityofdubuque.org Y Y Y Engineering Tech Decker, Adam 589-4119 590-1592 563 513 7048 Adecker@cityofdubuque.org Y Y Y Y Y Engineering Tech Freund, Tom 589-4201 590-8351 Tfreund©cityofdubuque.org Y Y Y Y Engineering Tech Gau, Charlie 589-4374 451-7952 563 599 5412 Cgau(a�cityofdubuque.orq Y Y Y Y Y Engineering Tech Grommet, Phil 589-1721 599-2265 Pgrommet@cityofdubuque.org Y Y Y Y Y Engineering Tech Irwin, Todd 589-4278 599-2041 563 599 8351 Tirwin(a�citvofdubuque.orq Y Y Y Y Y Engineering Tech Kress, Troy 589-1738 451-7951 563 543 8811 Tkress©cityofdubuque.orq Y Y N Y Y Engineering Tech Lyons, Chris 589-4158 599-2116 563-583 6369 Clyons©cityofdubuque.org Y Y Y Y Y Page 10 of 13 Page 10 ENGINEERING DEPARTMENT COOP, APRIL 2020 Engineering Tech McCarron, Hugh 589-4101 543-3548 Hmccarro(a�cityofdubuque.orq N N Y Y N Title Staff Name Desk Phone Work Cell *563 Prefex Home Personal Cell E-mail addess Home Internet Access To CPU/ Laptop iPhone iPad GoToMyPC Engineering Tech Steger, Luke 589-6035 451-2818 563 599 5024 Lsteger(a�cityofdubuque.orq Y Y Y Y Y I&I Inspector Nauman, George 690-6061 542-1557 563-513 1093 Gnauman@cityofdubuque.org N l&I Inspector Ploessl, Dennis 589-6554 543-8460 563-451- 0780 Dploessl©cityofdubuque.org Y ? Y Y ? Intern Hendrickson, Josh 589-6115 608-574 0598 enintjhe(a�cityofdubuque.orq Intern Hull, Justine 589-6511 262 210 4414 enintlhu(c�cityofdubuque.orq Y Y N Y Intern Schrick, Randle 589-6115 608 379 4072 Enintrsc(a�cityofdubuque.org Y Y N Y Intern Smith, Alayna 589-6115 608 206 9160 Enintasmcitvofdubuoue.orq Y Y N Y Land Surveyor Kieffer, Nate 589-4277 581-4877 563-583- 4280 563-513- 1436 Nkieffer©cityofdubuque.org Y Y Y Y Y Locator Smith, Justin NA 599-5239 563-564- 1139 Jsmith@cityofdubuque.org ? ? Y Y ? Project Mana er g Sampson - Brown, Steve 589-4272 599-9498 563-582- 2227 sbrown(a�cityofdubuque.orq Y Y Y Y Secretary Bradley, Kerry 589-4270 599-3108 563 663 7586 Kbradley@cityofdubuque.orq Y Y Y Y Survey Chief Nickolas, Chuck NA 599-3118 563-690- 8333 Cnickolas(a�cityofdubuque.orq Y Y Y Survey Crew Gonzales, Jay 589-6518 599-3118 563-582- 8098 Jgonzales@cityofdubuque.org Traffic Engineer Richter, Duane 589-6067 451-3496 563 582 9650 Drichter©cityofdubuque.org Y Y Y Y Page 11 of 13 Page 11 ENGINEERING DEPARTMENT COOP, APRIL 2020 Page 12 of 13 Page 12 ENGINEERING DEPARTMENT COOP, APRIL 2020 APPENDIX B COVID- 19 EVENT DETAIL Engineering Department Operations • Distancing to reduce spread of disease o All personnel shall practice social distancing while on duty and limit any close contact with other employees to the extent practicable. o The Engineering Department Office is closed to the public. o Besides Essential Staff, Engineering Department staff is performing their duties at home or alone in their work vehicle. Staff are able to perform their duties utilizing GotoMyPC, Office 365, and other web applications using their iPhones, iPads, or personal computers. o All meetings are done remotely (virtual meetings) using MS Teams, Skype, GotoMeeting, GotoWebinar, or Zoom. o When the performance of their duties requires interaction with others, all staff must maintain at least six feet of separation from others. o The use of the lab has been reduced to a single employee. • Working at a City Facility o When work requires staff to work at City Hall or any other City facility, staff confine themselves to only those areas necessary for them to perform their work. o Surface cleaning is done at least twice per day in areas frequented by staff. o Hand sanitizer and masks are utilized for personal protection. • Working in the Field o When working in the field, staff remain isolated in their vehicle when possible. o Only those assigned to a city vehicle are allowed to utilize the city vehicle. There is no sharing or alternating use of vehicles. o When equipment must be shared, it must be sanitized before and after each use. • Working at Home o Personnel should be practicing social distancing and if directed, self -isolation while at home. o As much as it is practicable, staff are to establish private space to perform work. o Staff are to continually communicate with their direct supervisor as to the work they are accomplishing. o Staff use their iPad, iPhone, or personal computer (using GotoMyPC) to both communicate and access information/documents to produce their work product. o When working remotely from home causes delays to normal work production, staff are to partake in a multitude of webinars and training videos available online. • Communication o An all staff virtual meeting is convened using MS Teams at least twice per week to address department -specific questions. MS Teams allows for both discussion and a chat window to ensure everyone has a chance to contribute. It also provides documentation of the meeting discussion points. o Department leadership hold daily virtual meetings to discuss department related issues, staffing, project coordination, and discuss the delivery of essential services. o Departmental staff have either set up their office desk phones to roll over to their mobile phones or they check their voicemails every day. Page 13 Page 13 of 13 ENGINEERING DEPARTMENT COOP, APRIL 2020 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque PLANNING SERVICES DEPARTMENT INCLUDES COVID-19 DETAIL April 14, 2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Planning Services Department provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual". The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked, and alternate business processes may be activated. • The City must maintain themselves at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time - with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Planning Services Manager. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department ■ Prioritize the Essential Functions as measured by time criticality. ♦ Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Page 1 of 13 ✓ The Planning Services Department has 3 Activities with critical functions: Development Services (DS), Historic Preservation (HP), and City Planning (CP). ✓ These Activities are carried out in accordance with local, state and federal laws by supporting 28 volunteers on the City's Zoning Board of Adjustment, Zoning Advisory Commission, Historic Preservation Commission, and Long Range Planning Advisory Commission for their public meetings. ✓ These Activities support development, redevelopment, and construction projects citywide and within 2 miles of the city limits. ✓ The Department also provides zoning enforcement services citywide. Planning Services Department — Organizational Chart as of 05/01/20 Associate Planner VACANT Planningservices Manager WallyWernimont Department Secretary Jan e Glennon DEVELOPMENT SERVICES Zoning Enforcement OfficerCharlie Miller �rtrission ` Zoning Board of 1 Adjustment 2 Assistant Planners Guy Hemenway Travis schrobilgen Chaplain Schmitt Island Design Review Committee PlanningTechnician Jason Duba Planning Intern (seasona10.18 FIE) VACANT CITY PLANNING Port of Dubuque Design Review Committee Chris Olson 1 Assistant Planner.; 5095 Jong Range Planning — - Advisory Commission HISTORIC PRESERVATION I - Chris Olson istant Planner Prioritized Listing of Essential Functions for Planning Services Department Critical Functions Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies Weekly Development Review Team meetings (site plans, subdivision plats, PUD conceptual plans) Ensure compliance with local regs to facilitate project AA Associate Planner / DS Assistant Planners City Network Access to GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, PC / laptop / tablet Review & Approval of Building, Sign & Demolition Permit Applications Ensure compliance with federal, state, & local regs to facilitate project AA Associate Planner / DS & HP Assistant Planners City Network Access to GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, PC / laptop / tablet Page 2 of 13 Historic Preservation staff design review & approval Ensure compliance with state & local regs & mitigate impact AA HP Assistant Planner/ Planning Tech City Network Access to GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, PC / laptop / tablet Federal Section 106 consultations & reports Ensure compliance with federal, state, & local regs and mitigate impacts AA HP Assistant Planner/ Planning Tech City Network Access to GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, PC / laptop / tablet Payroll processes and procedures Ensure compliance with City processes and procedures AA Secretary / DS Assistant Planner/ Planning Tech City Network Access to CODI, Finance Plus, Laserfiche Forms, Outlook, Office 365, Phone, PC / laptop / tablet Items for City Council meetings and work sessions Provide information by CMO deadlines to facilitate Council decision- making AA Dept Manager /Associate Planner City Network Access to WebQA, GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, Novus, Multi - function device, US Mail, PC / laptop / tablet Zoning Board of Adjustment cases and public meetings Ensure compliance with local regs to facilitate project A Associate Planner / DS Assistant Planners Access to Council Chambers, phone, Multi - function device, US Mail, PC / laptop / tablet Zoning Advisory Commission cases and public meetings Ensure compliance with local regs to facilitate project A Associate Planner / DS Assistant Planners Access to Council Chambers, phone, Multi - function device, US Mail, PC / laptop / tablet Historic Preservation Commission cases and public meetings Ensure compliance with local regs to facilitate project A HP Assistant Planner/ Planning Tech Access to Council Chambers, phone, Multi - function device, US Mail, PC / laptop / tablet Zoning Enforcement Officer (ZEO) inspections, follow-up, Mls, and court cases Ensure equitable compliance with local regulations A ZEO / DS Assistant Planners City Network Access to WebQA, GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela PC / laptop / tablet, Dept. car Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies Floodplain Review & Approval Ensure compliance with federal, state, & local regs & mitigate impacts B Associate Planner / DS Assistant Planners City Network Access to GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, PC / laptop / tablet Page 3 of 13 Port of Dubuque & Chaplain Schmitt Island Design Review Committees Ensure compliance with local regs to facilitate project B Dept Manager / DS Assistant Planners City Network Access to GIS, Pictometry, Outlook, Laserfiche, Office 365, Phone, Accela, PC / laptop / tablet Long Range Planning Advisory Commission public meetings Ensure compliance with state and local regs for new plans B CP Assistant Planner/ Planning Tech Access to Council Chambers, phone, Multi - function device, US Mail, PC / laptop / tablet Zoning Compliance letters Respond by requested deadline B DS Assistant Planners City Network Access to GIS, Accela, Pictometry, Outlook, Laserfiche, Office 365, Phone, PC / laptop / tablet Field inspections Inspections from public ROW unless owner gives permission to enter property B DS and HP Assistant Planners / Planning Tech City Network Access to GIS, Accela, Pictometry, Outlook, Laserfiche, Office 365, Phone, PC / laptop / tablet Respond to WebQA inquiries Respond by requested deadline if possible B ZEO / DS Assistant Planners City Network Access to WebQA, GIS, Accela, Laserfiche, Pictometry, Outlook, Office 365, Phone, PC / laptop / tablet Respond to Dept Email inquiries Respond by requested deadline if possible B Secretary / Dept Manager City Network Access to GIS, Accela, Laserfiche, Pictometry, Outlook, Office 365, Phone, PC / laptop / tablet Respond to CMO inquiries Respond by requested deadline if possible B Dept Manager /Associate Planner City Network Access to WebQA, GIS, Accela, Laserfiche, Pictometry, Outlook, Office 365, Phone, PC / laptop / tablet Monthly Staff meetings Distribute agenda 5-7 days prior to meeting B Dept Manager / Secretary Access to Outlook, Office 365, PC / laptop / tablet Monthly Project Review Team Meetings Distribute agenda 1-2 days prior to meeting B Planning Tech / Secretary Access to Outlook, Office 365, PC / laptop / tablet Grant Administration Submit grant reports and reimbursement requests B CP Assistant Planner / Planning Tech City Network Access to Laserfiche, Outlook, Office 365, PC / laptop / tablet Finance processes and procedures Ensure compliance with City processes and procedures B Secretary / Planning Tech City Network Access to CODI, Finance Plus, Laserfiche Forms, Outlook, Office 365, Phone, PC / laptop / tablet Page 4 of 13 Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back- up Equipment/Data/Office Supplies Census 2020 Carry out Complete Count Campaign C DS Assistant Planner/ Secretary City Network Access to GIS, Outlook, Office 365, Phone, PC / laptop / tablet Equitable Poverty Prevention Plan Develop plan for community input and City Council adoption C ICMA Fellow, CMO / Dept Manager City Network Access to Outlook, Office 365, videoconferencing, Phone, PC / laptop / tablet Imagine Dubuque Implementation Implement using Collective Impact model presented to City Council C CP Assistant Planner/ Planning Tech City Network Access to GIS, Laserfiche, Outlook, Office 365, videoconferencing, Phone, PC / laptop / tablet ❖ Identify Resource Requirements ■ Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. • Identify key personnel and backups. V Key personnel missing from the charts above is the Associate Planner position, which becomes vacant on May 1, 2020 and will remain vacant for an unknown time period. This position serves as an assistant department manager. ✓ The 3 Assistant Planners are being cross trained to provide services in all 3 Department Activities: Development Services, Historic Preservation, and City Planning. ✓ The Planning Technician will be cross trained to provide technical and administrative services in all 3 Department Activities. ✓ The Planning Technician will be training with the Department Secretary to serve as backup for administrative functions such as payroll, purchasing, and accounts payable. ✓ Payroll will be reviewed and signed by Planning Services Manager or Associate Planner; in absence of both leadership personnel, the Succession Procedure in Section II shall be followed. • Identify staff from non -essential areas that can be cross trained to backfill essential functions. V Planning Intern is only non -essential position; transient, part- time, seasonal employees; cannot rely on them for backfill. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments. etc. to complete essential functions. V Payroll and clerical support could be provided by clerical staff within City organization or by the retired Department Secretary as an institutional knowledge resource. ✓ Development Services support could be provided by retired Associate Planner as an institutional knowledge resource. Page 5 of 13 ✓ Administration, Development Services, City Planning, and Historic Preservation support could be provided by retired Planning Services Manager as an institutional knowledge resource. ✓ Admin activity could be provided by another department manager within City organization. Department supporting boards and commissions would be first choice. ♦ Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ✓ Employee payroll records (daily, etc.) ✓ Secretary payroll notes ✓ Invoices and bills (accounts payable) ✓ Standard office supplies ✓ City Network Access to GIS, Pictometry, Laserfiche, Outlook, Office 365, Phone, Accela, PC / laptop / tablet ✓ Department car (assigned to Zoning Enforcement Officer) ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. ✓ All non -critical Functions identified may be suspended during COOP operational period. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Planning Services Manager Wally Wernimont Associate Planner (vacant) DS Assistant Planner Guy Hemenway Associate Planner (vacant) DS Assistant Planner Guy Hemenway HP Assistant Planner Chris Olson DS Assistant Planner Guy Hemenway HP Assistant Planner Chris Olson DS Assistant Planner Travis Schrobilgen • Establish succession procedures • Succession Plan for Planning Services Manager's Incapacitation: ✓ If Planning Services Manager Carstens is incapacitated before retirement on April 30, 2020, then Associate Planner Wernimont shall serve as Acting Department Manager through April 30, 2020. Page 6 of 13 ✓ On May 1, 2020, Associate Planner Wernimont assumes the position of Planning Services Manager at which point the Associate Planner position will be vacant for an unknown time period. ✓ After April 30, if Planning Services Manager Wernimont is incapacitated, then Assistant Planner Hemenway shall serve as Acting Department Manager. ✓ If both Wernimont and Hemenway are incapacitated, then Assistant Planner Olson shall serve as Acting Department Manager. ■ Conditions under which succession will take place ✓ Incapacitation (ill, injured, dead) during COOP emergency or >14 days ✓ Unavailable (distance/travel/communications) during disaster event ■ Method of notification ✓ Phone, text, email, memo as appropriate for timeliness. ■ Terminating conditions ✓ Leadership personnel can resume functions Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Unified Development Code (UDC) interpretations Direct operational activity Acting Department Manager Succession procedure Within legal authority provided by UDC Purchase of services and supplies Purchase of items determined essential and time critical to response activities Acting Department Manager Succession procedure Within authority provided by City policy Payroll and Paid Time Off Requests Approval of time sheets and PTO Acting Department Manager Succession procedure Within authority provided by City policy ISection III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities Identify an alternate facility capable of supporting essential functions, positions, and personnel. ✓ An alternative facility could be needed in a long-term event (like City Hall was not available due to storm damage, flooding, etc. and it took 12 months to repair, rebuild, Page 7 of 13 clean, etc.) to continue to provide customer service. Coordination with other City Hall departments point to: 1) Multicultural Family Center (MFC), a nearby downtown facility, and/or 2) a location somewhere outside of downtown, such as a westside place of worship that has low weekday use. ✓ Planning Services Department will mobilize a temporary office for all staff, with support from the City organization for payroll, purchasing, supplies, information technology, human resources, mail, public safety, etc. ✓ Department car (assigned to Zoning Enforcement Officer) allowed to be taken home. ❖ Alternate Service Delivery ✓ Planning Services Department will mobilize a virtual telecommuting office with all staff working remotely from home, with support from the City organization for payroll, purchasing, supplies, information technology, human resources, mail, public safety, etc. ✓ Department car (assigned to Zoning Enforcement Officer) allowed to be taken home. r Identify alternate service delivery methods of essential functions if necessary, in order to prevent spread of disease. COVID-19 EVENT DETAIL: Planning is outlined below. See Appendix A for details. ✓ Plan for Technology and Communication Needs: • Telecommuting for eight (8) employees, encouraging use of City devices. • Staff shall adhere to Information Services (IS) guidance and protocol for procurement, setup, troubleshooting, etc., including use of WebQA, IS Help Line x4280, email, and phone calls. • City Network Access to GIS, Accela, Pictometry, Laserfiche, Outlook, Office 365, video-conferencing software, Laserfiche Forms, Finance Plus, etc. • Cellphones and phone service • Establish and maintain phone tree, with IS help, to accommodate telecommuting with rollover of City Hall extensions to work and personal cellphones. • High speed internet access. • PC tower, monitor, laptop, tablet, mouse, keyboard, power cords. • Multi -function device to print, copy, scan. ✓ Plan for Information Sharing: • Daily Department staff meetings be held via videoconferencing on Monday - Friday to check -in on employees' wellbeing and telecommuting connections. • Daily status reports of communication issues between employees and communication between the public and employees. • Daily COVID-19 updates via department emails and virtual employee webinar. • Daily Department Managers conference calls on COVID-19 shared with staff. • Periodic City Council virtual work sessions on COVID-19 shared with staff. V Flex shifts would be considered based on: • Staff support required for the public meetings of Zoning Board of Adjustment, Zoning Advisory Commission, Historic Preservation Commission, and Long Range Planning Advisory Commission), which are held at night. • Other work -related events beyond normal business hours (City Council meetings and work sessions, community engagement events, committee or task force meetings, etc.) Page 8 of 13 • Goal would be avoidance of overtime or comp time if possible. ✓ Plan for Protecting the Public and Employees: • Staff shall follow all City policies related to COVID-19 for protection of the public and employees that are posted on the City of Dubuque intranet (CODI) at https://www.cityofdubugue.org/982/Intranet • Staff conducting field inspections shall remain in their vehicles to the greatest extent possible and shall maintain social distancing of at least 6 feet from members of the public or other employees. • Staff shall minimize direct contact with the public and other employees by using email, phone, virtual meeting, and/or social distancing to the greatest extent possible when in City facilities or at board and commission meetings. • The Department shall utilize videoconferencing software for audio and video connections board and commission public meetings to maintain social distancing (>6 feet) and small groups (<10) while accommodating multiple public hearings at an accessible physical location, the City Council Chambers. • Dept. car (assigned to Zoning Enforcement Officer) allowed to be taken home. Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. ✓ See Plan for Technology and Communication Needs above. ❖ Address method of transferring/replicating critical communications at the alternate site ✓ Planning Services staff would assemble to relocate office equipment and technology if possible, and to set up temporary location in alternative facility; see Plan for Technology and Communication Needs. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ✓ Staff will have support from the City organization for payroll, purchasing, supplies, information technology, human resources, mail, public safety, etc. See Plan for Information Sharing above. ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ✓ See Plan for Protecting the Public and Employees above. ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. ✓ See Plan for Technology and Communication Needs above. Section V.Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records Page 9 of 13 ✓ The Planning Services Department's COOP provides all the above information. • Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ✓ Laserfiche ✓ Finance Plus ✓ Most records kept with Human Resources, or Finance ✓ Paper "personnel" file on each staff member in Department Manager's office; however, Human Resources has critical personal records. • Include provisions for classified or sensitive data ✓ Paper "personnel" file on each staff member in Department Manager's office shall be considered confidential, for release only by the Department Manager in accordance with City policy. ❖ Identify location and accessibility to vital records ✓ Most recent Development Services, Historic Preservation, and City Planning files are stored in Laserfiche in the Planning folder. Older files are stored in file cabinets in the Department offices, in the basement of City Hall in the Planning Services section, and in the basement of the Historic Federal Building. ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location Payroll & Finance Electronic / hardcopy n/a n/a n/a Development Services files Electronic / hardcopy n/a n/a n/a Historic Preservation files Electronic / hardcopy n/a n/a n/a City Planning files Electronic / hardcopy n/a n/a n/a Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation ■ Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. ✓ General emergency directives come from City Manager and EOC operation ✓ Department Manager assesses necessity of changes in procedures — work in person at another location, telecommuting, prioritization of activities ✓ In Department Manager's incapacitation or absence, responsibility for decision - making lies with the Acting Department Manager (see Section IL) Page 10 of 13 ■ Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. ✓ The Department Manager will notify staff by group e-mail requesting immediate response, following up with text or phone call as needed. ✓ Initial e-mail or phone contact will include instructions for reporting to work physically or remotely. Phase II: Alternate Facility Operations ■ Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. ✓ Initial e-mail or phone contact from the Department Manager will include instructions for reporting to work, including whether there will be staggered schedules, telecommuting, or special assignments based upon the nature of the emergency. Include instructions for use of Dept. car. ✓ Staff will notify the Department Manager by e-mail or phone upon arriving at work or signing in remotely. ✓ Staff will have Outlook open for communication through the duration of the event, unless the staff member is deployed in the field in which case the person will be available by cell phone. ✓ If a staff member will be working remotely, whether telecommuting or in the field, they will make arrangements to forward their calls from their desk phone to their cell phone. ✓ If the desk phone at 589-4210 cannot be staffed by the Secretary, calls to that line will be forwarded to the Department Manager's cell phone. ✓ Dept. car assigned to Zoning Enforcement Officer allowed to be taken home. ✓ If the event is anticipated to require extended day and weekend staffing, staggered schedules will be arranged. ❖ Phase III: Reconstitution and Return to Normal Operations ■ Develop procedures for returning to normal operations. ♦ Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. ♦ Address notification procedures for all employees returning to work. ✓ When situation is determined to be ready for normal operations, the Department Manager will notify staff through e-mail requesting response, following up with text or phone call as needed, regarding when and where to return to work. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ✓ Each department employee plays a role in the Planning Services Department's COOP readiness and must know how to execute their portion of the plan. Annual testing of phone notification process and teleservice in particular is essential for the Planning Services Department. Page 11 of 13 ❖ Develop Test, Training and Exercise plans that provide: ✓ The Planning Services Department shall undertake the following annual actions: • Annual review of department COOP • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff • COOP as part of new employee orientation Page 12 of 13 APPENDIX A COVID-19 EVENT DETAIL ACTIONS TO BE TAKEN Implement Plan for Protecting the Public and Employees outlined in COOP Section III. • Establish GoToMeeting protocol for necessary boards & commission meetings and execute. • Direct staff to self -quarantine according to guidance issued by Public Health Specialist. • Maintain employee data for labor pool to monitor availability for service. Execute Plan for Department Communication and Technology Needs outlined in COOP Section III. • Staff began preparing for relocation to temporary office, or to establish a virtual office for staff to telecommute (work from home). • Developed plan to access resources and supplies in Planning Services office. • Necessary documents uploaded: updated phone lists for department staff; staff timesheets and FEMA tracking information; instructions for accessing voice mail remotely; case files for boards and commissions, Development Review Team, etc. Implement Plan for Information Sharing outlined in COOP Section III. • Test ability to meet virtually as a full staff, then schedule regular staff meetings for purposes of checking in, information sharing and communication. • Affirm that all requests to Human Resources and Information Services for assistance are to be made to the Department Manager. Maintain contact with City Manager's Office and EOC. • At least one Department rep to attend all Dept. Managers meetings and all Employees meetings. • Submit ICS 201 weekly report for EOC and complete all EOC assignments. • Respond to requests for labor pool, estimated cost overruns, estimated lost revenues, estimated savings as directed. Maintain Continuity of Services • Consider essential and critical functions outlined in COOP Section I. • Implement lines of succession & delegate authority as per COOP Section II. • Designate staff member as US mail processor, employee with printer/scanner/copier at home for preparing notices to be mailed to neighbors, etc. Page 13 of 13 2020 CONTINUITY OF OPERATIONS PLAN (COOP) City of Dubuque Public Information Office 4.14.2020 Purpose: This Continuity of Operations Plan (COOP) for City of Dubuque Public Information Office provides guidance for personnel to ensure the department and City organization maintains the capability to fulfill its essential functions following a wide variety of emergencies. COOP planning is the effort to ensure the continued performance of essential government functions and services when normal, standard operations become overwhelmed, regardless of the emergency. Key Concepts: • During a COOP event, office operations and activities will not be "business as usual." The continuity of time -critical, "essential" functions is paramount. When the COOP plan is activated, leadership succession plans may be invoked and alternate business processes may be activated. • The City organization must maintain itself at a high level of readiness for a COOP event. • When a COOP event occurs, the department must be capable of implementation at any time, with or without warning, during duty or non -duty hours. • The department must implement the plan and attain operational capability within a specified time frame (depending on the event) and will provide for the ability to continue operations until given direction to resume normal operations. Planning Assumptions: • The type and magnitude of the effects of a diminished work environment cannot be predicted. Therefore, the scope of this plan is broad and is intended to encompass a variety of potential failures. • It is assumed that no department will direct the implementation of their respective COOP Plans with or without coordination with other City departments (depending on the event.) • Potential emergencies or threatened emergencies may adversely impact the department's ability to continue to support essential internal operations and to provide services to clients or support to external agencies. • Department and non -department personnel and resources located outside the affected area may be made available as necessary to continue essential functions. Authorities: The COOP planning authority is vested with the City Manager and Public Information Officer. Section I. Essential Functions/Services* Essential functions are the department's business functions and services that must be continued under all circumstances and cannot suffer a significant interruption. ❖ Identify the essential functions for your department • Prioritize the Essential Functions as measured by time criticality. • Time criticality is the amount of time that a function/process can be suspended before it adversely affects the department's core mission. Prioritized Listing of Essential Functions for the Public Information Office Critical Functions Page 1 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Division/Activity/Prog Essential Function Priority (AAA, AA, A) Staff/Back-up Equipment/Data/Office Supplies GIS Custom Data, Map, and Application Development AAA Rosemeyer/Scheidel Computer, City network access for GIS data GIS City GIS System Maintenance & Support AA Rosemeyer/Scheidel Computer, City network access for GIS data Public Information WebQA Support AAA Buchenau/Nordin(IS) Computer/tablet, internet access Public Information Crisis Communications AAA Gehl/Hill/Fannon Computer/tablet, internet access, phone Public Information Social Media Management AAA Gehl/Hill/Fannon Computer/tablet, internet access Public Information Website Management and Support AAA Buchenau/Hill/Fannon Computer, internet access Media Services Live/Streaming Video Broadcasts AAA VACANT/Moeller Video/audio equipment Media Services Video Production AAA VACANT/Moeller Video/audio equipment City Manager's Office Payroll AAA Schreyer/Valentine Computer, internet access Important Functions Division/Unit/Program Essential Function Priority - B Staff/Back-up Equipment/Data/Office Supplies GIS Provide data and maps to consultants/vendors B Rosemeyer/Scheidel Computer and access to City network for GIS data Public Information Media Relations B Gehl/Hill/Fannon Computer/tablet, internet access, phone Public Information Publications & Graphic Design B Buchenau/Hill Computer and access to City network Media Services Aerial Drone Video/Photography B VACANT/Moeller Drone, transportation Media Services Access Channel Management B VACANT/Moeller Computer, specialized equipment Non -critical Functions Division/Unit/Program Essential Function Priority - C Staff/Back-up Equipment/Data/Office Supplies Public Information Special Events C Gehl/Hill Computer, internet access Public Information Marquee/Sign Management C Gehl/Fannon Computer, internet access, sign software ❖ Identify Resource Requirements • Each essential function requires personnel & special skills, equipment & systems, vital records and data, and consumable office supplies to accomplish. • Establish staffing requirements needed to carry out essential functions. • Identify key personnel and backups. Page 2 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations • Identify staff from non -essential areas that can be cross trained to backfill essential functions. • Identify an additional workforce, for example retired employees, volunteers, employees from other departments etc to complete essential functions. • Identify equipment, critical data and records, hardcopy documents and office supplies required to perform the essential functions within 12 hours and for up to 30 days following the emergency. Do not include resources that may be useful but are not essential to the activity. ❖ Identify functions that can be deferred while staff is reassigned to more critical roles or until additional personnel and resources become available. Section II. Lines of Succession / Delegations of Authority* Lines of succession are provisions for the assumption of departmental leadership positions when the leaders or officials are unable or unavailable to execute their duties. They allow for an orderly and predefined transition of leadership. ❖ Identify the lines of succession for the highest position of authority and for other leadership/key positions within the department. Key Positions & Lines of Succession Position Successor 1 Successor 2 Public Information Officer Kristin Hill Trevor Fannon GIS Coordinator/Analyst Caleb Scheidel Troy Kress (Engineering) Media Services Manager Erich Moeller ❖ Establish succession procedures • Conditions under which succession will take place • Method of notification • Terminating conditions Delegations of authority specify who, by position, is authorized to make decisions or act on behalf of the department director or other key individuals. ❖ Pre -delegate authorities for making key policy determinations and decisions during a COOP event. Delegations of Authority Authority to be delegated Type of Authority Position Holding Authority Triggering Conditions Limitations on Delegation Timesheet Approval Administrative Public Information Officer Delegated to assistant city manager when PIO is not available Invoice/PO Approval Financial P/O, GIS Coordinator, MSM Delegated to assistant city Page 3 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations manager with PIO is not available Contract Approval Financial PIO, GIS Coordinator, MSM Delegated to assistant city manager with P10 is not available Section III. Alternate Operating Facilities & Service Delivery ❖ Alternate Operating Facilities ➢ City Hall (PIO, GIS) ➢ City Hall Annex (Media Services, PIO, GIS) ➢ Historic Federal Building (Media Services, PIO, GIS) ➢ Dubuque County Emergency Responder Training Center (Media Services, PIO, GIS) ➢ Identify an alternate facility capable of supporting essential functions, positions, and personnel. • Facility allows immediate capability to operate under potential threat conditions including but not limited to WMD threats • Identify sufficient space and equipment to sustain the relocating organization • Identify and establish pre -positioned resources or contingency contracts with appropriate resource providers (i.e. office supplies, medical supplies, etc) • Ensure alternate facilities provide for logistical support, services and infrastructure systems (e.g., water, electrical power, heating and air conditioning) • Provide for sustained operations within 12 hours and for a period of up to 30 days • Address considerations for the health and safety of relocated employees • Address physical security and access controls EXAMPLE — Summary of Facility and Infrastructure Requirements at Alternate Facilit Near -Site Location: None identified at this time Required: Structure / Facilities Weather-proof, minimum of 1,000 square feet of space Utilities Water, sewage, electricity Communications (Including Voice and Data Transmission) Voice and data transmission lines Equipment and/or systems Phones, computers, internet access, office desks, specialized equipment for Media Services Facility specific Emergency Response Plans, equipment (health and safety items) Fire suppression system, back-up power generator, handicapped accessible, multiple ingress/egress points ❖ Alternate Service Delivery ➢ Identify alternate service delivery methods of essential functions if necessary in order to prevent spread of disease. • PIO and GIS staff can telework from home or any location with computer and internet access • Media Services staff can do some basic telework from home or any location with computer and internet access but essential functions must be completed with specialized equipment and connections at City Hall Annex. Live video/broadcasts can originate from City Hall Annex, Historic Page 4 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations Federal Building, Dubuque County Emergency Responder Training Center, and the Grand River Center. • PIO staff do not have City -issued laptops but can telework using personal computers. GIS staff can telework using City -issued laptops. Media Services staff do not have City -issued laptops for basic telework but can use personal computers. • PIO staff could work in 2-person shifts and GIS staff could work in 1-person shifts. Media Services staff cannot split into shifts. Section IV. Interoperable Communications ❖ Identify the critical communication systems that support the department essential functions. Telephone, email, and internet access are critical communication systems for all PIO/GIS/Media Services staff. The Public Information Officer also has a two-way radio for EOC communications. ❖ Address method of transferring/replicating critical communications at the alternate site City network access would be needed at all alternate sites for phone and email service. WiFi would work for email and internet access. ❖ Establish procedures for interoperable communications between the department's staff, management, and essential internal and external staff. ❖ Establish procedures for communication with other organizations, emergency personnel, critical customers and the public ❖ Establish procedures for access to data and systems necessary to conduct essential activities and functions. Section V. Safeguarding Vital Records and Databases Vital record documentation and data files that are necessary for resumption and recovery purposes are backed up and stored/located safely away from the department that will minimize information and data loss. ❖ Identify essential emergency operating plans, including line of succession; delegations of authority; staffing assignments; policy or procedural records ❖ Identify essential legal and financial records, such as accounts receivable; contracting and acquisition files; official personnel files; Social Security, payroll, retirement, and insurance records and property management and inventory records ❖ Include provisions for classified or sensitive data ❖ Identify location and accessibility to vital records ❖ Include procedures for date back-up and restoration Vital Records and Databases Vital File, Record, or Database Form of Record (hardcopy, electronic) Pre -positioned at Alternate Facility Hand carried to Alternate Facility Backed up at Third Location (at:) GIS electronic Accessed remotely City Website electronic Hosted remotely Page 5 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations WebQA electronic Hosted remotely Section VI. COOP Implementation This section addresses the process by which the COOP plan is implemented. ❖ Phase I: Activation and Relocation • Develop an executive decision process that allows for the quick and accurate assessment of the emergency and determination of the best course of action for response and recovery. • Develop employee alert and notification procedures. Any tools used in the alert and notification process, such as notification trees or automated software should be referenced in this section. ❖ Phase II: Alternate Facility Operations • Identify initial arrival procedures, staffing schedules, as well as operational procedures, for the continuation of essential functions at an alternative facility. ❖ Phase III: Reconstitution and Return to Normal Operations • Develop procedures for returning to normal operations. • Address procedures for returning to the primary facility, if available, and procedures for acquiring a new facility. • Address notification procedures for all employees returning to work. Section VII. Tests, Training and Exercises Employee plays a role in the city's COOP readiness. Each department unit must know how to execute its COOP plan and communicate how it relates to the COOP plan for the entire city. To achieve this, the department should utilize this plan during exercises and drills. ❖ Develop Test, Training and Exercise plans that provide: • Annual review of department COOP • Annual department testing and exercising of COOP plans and procedures • Annual testing of emergency alert and notification procedures and systems • Refresher orientation of COOP staff Page 6 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations APPENDIX A: PIO COVID-19 COOP 4/14/2020 PIO & GIS Staff All four Public Information Office (PIO) staff (Randy Gehl, Kristin Hill, Kelli Buchenau, and Trevor Fannon) and both GIS staff (Nikki Rosemeyer and Caleb Scheidel) are teleworking from home. Staff are able to access all the data, files, and systems remotely utilizing their personal Internet access. Half are using city -issued laptops and half are using personal computers. Continuity of operations has been achieved and is being maintained. Media Services Staff Following the retirement of Craig Nowack on April 10, Media Services is temporarily down to one staff (Video Producer Erich Moeller). Because most of his work requires access to equipment and systems only available at the City Hall Annex, he is working at the Annex, for the most part. Continuity of operations is a concern because Erich is a department of one at this point. Communications Assistant Trevor Fannon is assisting Erich with production of County Public Health video updates 3-5 times per week. Internal Communication Staff are staying connected with each other through email, the Microsoft Teams app, and phone, when necessary. Communications Support of City & Countywide Public Health Pandemic Response Public Information Officer Randy Gehl is serving as PIO for the Dubuque County Public Health Incident Management Team. Daily updates/news releases are issued to county and city elected officials and staff as well as county media and other stakeholders. He also facilitates media inquires and interview requests and coordinates the Communications Specialist Kristin Hill and Communications Assistant Trevor Fannon are assisting with distributing information through City communication channels (COVID-19 webpage and City social media channels). PIO staff are communicating changes to City services and delivery due to the pandemic through all City communication channels. The City's COVID-19 webpage features details on the virus, all local updates and videos, links to trusted sources, and a subpage featuring Community Support and Recovery Resources for both individuals/families and employers/organizations. Continuity of operations related to the pandemic response will be maintained through cross - training of PIO staff. Page 7 of 7 Posted Health Alert Network -Document Library-Documents-Grants-GrantsFY07-08-CDC-FY07-08 CDC BT Tools & Templates -Continuity of Operations