&EPA
United States
Environmental Protection
Agency
Continuity of Operations Plan Template
for Drinking Water and Wastewater
Laboratories
[Department/Agency/Laboratory Name]
[Month Day, Year]
[Department/Agency/Laboratory Name]
[Street Address]
[City, State Zip Code]
[Department/Agency/Laboratory Symbol/Logo]
Office of Water (4608T) EPA 817-B-13-004 November 2013
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Disclaimer
The Continuity of Operations Plan Template is designed to provide recommendations that may be useful
in preparing for events that may disrupt normal operations of drinking water and wastewater
laboratories. While it may serve as a reference document for preparation and response to an actual
event when rapid decision making is needed, this template does not address all facets of the
continuation of essential laboratory activities. It consists of broad recommendations that may be
adaptable to a specific situation or incident. Use of this template is voluntary. This template is not a rule;
it is not legally enforceable; and it does not confer legal rights or impose legal obligations upon any
member of the public, water utilities, the U.S. Environmental Protection Agency (EPA), state and local
governments, tribes, or any other agency. While EPA has made every effort to ensure the accuracy of
the discussion in this template, the obligations of the regulated community are determined by the
relevant statutes, regulations, or other legally binding requirements. In the event of a conflict between
the discussion in this template and any statute or regulation, this document would not be controlling.
The word "should" as used in this template does not connote a requirement, but may indicate EPA's
strongly preferred approach to ensure effective implementation of legal requirements.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
CONTINUITY OF OPERATIONS PLAN TEMPLATE AND INSTRUCTIONS
This document has been tailored for the use of the drinking water and wastewater laboratory
communities using the Federal Emergency Management Agency (FEMA) Continuity of Operations Plan
(COOP) Template and Instructions for Non-Federal Entities and Association of Public Health
Laboratories (APHL) Guidelines for the Public Health Laboratory Continuity of Operations Plan. This
template is customizable and can be expanded or condensed depending on the operational
requirements of the drinking water or wastewater laboratory. The COOP template provided in this
document is specifically for use by laboratories; however, utility laboratories should ensure that their
COOP can be integrated into the utility's overall business continuity plan. Additional information
regarding the Water Research Foundation (WRF)/American Waterworks Association (AWWA) Business
Continuity project can be found at www.waterrf.org.
Drinking water and wastewater laboratories play an essential role in public health and safety.
They function to generate critical data used to make informed decisions regarding the
implementation of preventative measures and development of effective policies that protect
the public. It is imperative that these laboratories be able to continue their essential core
functions when events occur that disrupt their normal operation. To ensure continuation of
these essential activities, laboratories should have an effective COOP in place.
The purpose of a well designed COOP is to minimize interruption of the laboratory's operation if
some internal or external disruptive event were to occur. Having an effective COOP in place
ensures that the laboratory's core activities can be resumed within an acceptable period of time
following such an incident. It allows the laboratory to shift efficiently from its normal structure
and organization to a structure and organization that facilitates rapid recovery and continuation
of services. The ability to make this shift without delay is critical for the laboratory to continue
as a viable and stable entity during a crisis. The objectives of the COOP are to:
Establish policies and procedures to assure continuous performance of laboratory
testing;
Identify and pre-arrange for assistance from alternate laboratories, if needed;
Assure safety of all laboratory personnel;
Provide communication and direction to stakeholders;
Minimize the loss of assets, resources, critical records and data;
Reduce or mitigate disruptions to the laboratory's operation;
Build infrastructure to support a timely recovery;
Manage effectively the immediate response to an emergency;
Provide information and training for employees regarding roles and responsibilities
during an emergency and
Maintain, exercise and audit the COOP at least annually.
Because drinking water and wastewater laboratories vary considerably within and between
states in terms of their organization, structure and operation, each laboratory should develop its
own specific COOP. When the laboratory is developing their COOP they should ensure that the
plan can be integrated into an Incident Command System (ICS). ICS is a flexible and scalable
system driven by the tactical needs of an incident. It provides a common structure and
terminology that facilitates the integration and coordination of multiple agencies while still
maintaining a chain of command. ICS also provides pre-designated leadership positions, specific
span of control and well-understood assigned responsibilities. If an incident causes a disruption
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
of the laboratory's operation such that it requires activation of their agency or state emergency
operations centers, including activation of the ICS, the laboratory COOP should be able to
function within that ICS structure.
An example of an integrated ICS structure, developed for the Water Laboratory Alliance -
Response Plan (WLA-RP), is provided below (Figure 1). As indicated in the figure, during a
smaller-scale incident or the early phase of an incident the laboratory may act as either an
analytical services requestor (ASR), primary responding laboratory (PRL) or mutual support
laboratory (MSL) within the constraints of their COOP. As the incident develops and operational
requirements warrant, the ICS may be expanded to address the scope and size of the event and
provide the incident command (1C) with supporting staff according to a standardized, well
understood management structure. If the incident is of sufficient complexity, the 1C may
activate an environmental unit (ED) within the planning section of the ICS to facilitate
environmental data management, monitoring, sampling, analyses and assessment, which would
include the efforts by the laboratories.
Figure 1. Integrated ICS Structure
Expanded Coordination
Structure
Command
Incident Commander (1C)
Initial Coordination
Structure
1
1 1 1
Planning
Operations
*\ ^
Logistics
Finance
To facilitate the development of a COOP, the template is organized so that laboratories may
select all or only certain sections of the template to develop or improve their plan. The purpose
of this document is to provide guidance to assist in that developmental process. Once
laboratory-specific information is entered into the body of the template, delete the italicized
and bolded instructions found throughout the document.
It should be noted that in its current format, the template is unclassified; however, laboratories
should be aware of the need to protect specific continuity planning information and restrict
access to their individual COOP, as appropriate.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
Additional background information regarding the FEMA template and an electronic version of
the original FEMA template for Non-Federal Entities, in portable document format (PDF) are
available on the FEMA website (http://www.fema.gov/about/org/ncp/coop/templates.shtm).
To request a Microsoftฎ Word version, please contact the National Continuity Programs,
Continuity of Operations Division via e-mail at FEMA-STTLContinuity@dhs.gov. Questions
concerning this template may be directed to:
National Continuity Programs
Continuity of Operations Division
Federal Emergency Management Agency
500 C Street, SW, Suite 515
Washington, DC 20472
(202) 646-4145, FEMA-STTLContinuity@dhs.gov
Additional information regarding the APHL Guidelines for the Public Health Laboratory
Continuity of Operations Plan, in PDF is available on the APHL website
(http://www.aphl.org/aphlprograms/phpr/Documents/PHL COOP Guidelines.pdf)
IV
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
TABLE OF CONTENTS
BASIC PLAN 1
I. PURPOSE, SCOPE, SITUATIONS AND ASSUMPTIONS 1
A. PURPOSE 1
B. SCOPE 2
C. SITUATION OVERVIEW 2
D. PLANNING ASSUMPTIONS 3
II. CONCEPT OF OPERATIONS 4
A. PHASE I: READINESS AND PREPAREDNESS 4
B. PHASE II: ACTIVATION, REPRIORITIZATION AND/OR OUTSOURCING 5
C. PHASE III: CONTINUITY OPERATIONS 7
D. PHASE IV: RETURN TO NORMAL OPERATIONS 7
III. ORGANIZATION AND ASSIGNMENT OF RESPONSIBILITIES 8
IV. DISASTER INTELLIGENCE 9
V. COMMUNICATION 9
VI. ASSISTANCE AGREEMENTS 10
VII. PLAN DEVELOPMENT AND MAINTENANCE 10
VIM. AUTHORITIES AND REFERENCES 11
FUNCTIONAL ANNEXES 13
I. Essential Functions Annex 13
A. IDENTIFICATION OF ESSENTIAL FUNCTIONS 13
II. Continuity Facilities Annex 13
III. Continuity Communications Annex 14
IV. Test, Training and Exercises (TT&E) Program Annex 14
HAZARD-SPECIFIC APPENDICES 15
ANNEX IMPLEMENTING INSTRUCTIONS 16
ANNEX A GLOSSARY A-l
ANNEXE. AUTHORITIES AND REFERENCES B-l
ANNEX C. ACRONYMS C-l
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
BASIC PLAN
The Basic Plan should provide an overview of the laboratory's approach to continuity of
operations. It details continuity and laboratory policies, describes the organization and assigns
tasks. The plan elements listed in this section will provide a solid foundation for the development
of supporting annexes
I. PURPOSE, SCOPE, SITUATIONS AND ASSUMPTIONS
A. PURPOSE
A laboratory COOP has two basic features. It provides a comprehensive, pre-identified list
of all core testing and support activities that should be continued if the laboratory
experiences a partial or complete operational disruption. In addition, it provides a pre-
arranged plan of action to assure that all these core activities are continued without
delay. The COOP applies to all of the operations, infrastructure and resources necessary to
continue the laboratory activities deemed essential to fulfill its responsibilities. If the
laboratory facility, or portions of it, are involved in an event or declared unusable for its
normal operation, the COOP is activated immediately. The introduction to the COOP
should explain the importance of continuity planning and why the laboratory is
developing a COOP. Sample text for this section is provided below.
The overall purpose of continuity planning is to ensure that essential laboratory functions
are continued with or without minimal delay under all conditions. [Laboratory Name] is
committed to continuing all aspects of its critical activities during a reduction of its core
services. In addition, [Laboratory Name] is dedicated to safely and promptly resuming
normal operations after an event. The Plan recognizes that reaching out to other (e.g., local,
Environmental Response Laboratory Network [ERLNj/Water Laboratory Alliance [WLA])
laboratories for support may be necessary due to separate or concurrent events, such as the
result of a natural disaster, major water main break, pandemic flu or terrorist attack [other
events may apply]. While the severity and consequences of an emergency cannot be
predicted, effective contingency planning may minimize the impact on [Laboratory Name]'s
mission, personnel and facilities.
During an emergency, [Laboratory Director or assigned person] continues to exercise
general direction, control and overall supervision of laboratory resources. [Laboratory
Director] has the authority to commit laboratory resources, to ensure the continuation of
essential functions, which will help minimize the impact of the disaster on the community.
Furthermore, [Laboratory Director] will coordinate with the Incident Commander (1C),
Environment Unit (EU), utility manager, or other Emergency Operations Centers (EOC)
depending on the magnitude of the incident.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
B. SCOPE
The scope of the laboratory COOP should include all time-sensitive core activities of the
laboratory, including technology and required support. Time-sensitivity refers to activities
that should be recovered within a pre-determined, relatively short period of time, for
example 24 - 48 hours. The COOP should be developed to address "worst case scenarios",
with the capability to scale down to accommodate smaller disruptions. Ideally, COOPs
should address the full spectrum of potential threats, crises and emergencies (natural and
man-made). Specific plans of action should be developed and groups of personnel should
be identified and trained to implement these pre-defined actions to ensure timely recovery.
Sample text for this section is provided below. Please refer to the Essential Functions
Annex for additional guidance.
This COOP applies to the functions, operations and resources necessary to ensure the
continuation of [Laboratory Name]'s essential functions in the event its normal operations
are disrupted or threatened with disruption. This plan applies to all [Laboratory Name]
personnel. [Laboratory Name] staff should be familiar with continuity policies and
procedures and their respective continuity roles and responsibilities. This document assists
[Laboratory Name] in the maintenance of its essential missions and functions under all
threats and conditions, with or without warning, which includes but is not limited to:
Personnel
Equipment
Supplies and reagents
Data management
Clerical and other support personnel
C. SITUATION OVERVIEW
The situation section should characterize the "planning environment," making it clear why
a COOP is necessary. The nature of the work done in the laboratory requires that its COOP
be developed as a special part of the business continuity plan of the agency within which it
operates. Unlike operation of the rest of an agency, the laboratory requires extensive
instrumentation, dedicated space and special air handling. Consequently, the laboratory's
operation cannot be quickly moved to another location and accommodation of its core
activities is a complex matter. A thorough analysis of site vulnerability (risk assessment)
provides a comprehensive list of potential threats that may disrupt normal laboratory
operations, both within the facility itself and within the community where the laboratory
is located. Such threats fall into several general categories: extreme weather conditions,
major equipment failure, protracted personnel matters, extensive building damage,
compromised building utilities, failed communication systems, civil disturbance or acts of
terrorism. In this section, laboratories should reference their risk assessment to
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
summarize the hazards faced by their laboratory and the relative probability and impact
of the hazards. Sample text for this section is provided below
[Laboratory NameJ's risk assessment is found at [insert document name and location or
insert risk assessment information in this section of the plan]. This risk assessment
addresses the following:
Cross training of personnel to ensure redundancy of capability
Back-up instrumentation
Electrical power failure (e.g., back-up generators)
Procedures to rapidly obtain supplies and reagents
Access to other laboratories for analytical support (e.g., membership within ERLN/
WLA and/or Water/Wastewater Agency Response Networks [WARN] to have access
to additional resources to address capability and capacity issues during an
emergency [e.g., supplies, personnel])
Information Technology (IT) support and procedures to address Laboratory
Information Management System (LIMS)
Procedures in place to ensure appropriate support staff are available to support
laboratory core activities
D. PLANNING ASSUMPTIONS
This section should familiarize the reader with the underlying assumptions made during
the planning process. Assessment of the incident and its impact on the laboratory
operation will lead to a decision about activation of the COOP. If all of the pre--determined
core activities of the laboratory are found to be still intact, activation of the COOP may be
unnecessary. If only some of the core activities are affected, the COOP may be activated
only partially to accommodate the compromised activities. If the entire laboratory
operation is lost, the complete COOP will be activated in response to a "worst case
scenario". The level of activation dictates who needs to be involved, who needs to be
notified, what needs to be done and where the required activities will take place. Sample
text for this section is provided below.
This COOP is based on the following assumptions:
An emergency condition may require the redistribution of [Laboratory Name]
resources (e.g., prioritization of critical sample analyses).
An assessment of [Laboratory Name] will be made to determine if, and to what
extent the COOP will be activated.
Ideally [Laboratory Name] will begin essential functions within 24 hours or less from
the time the COOP is activated, for potentially up to a 30-day period or until normal
operations can be resumed.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
In the event that [Laboratory Name] is not able to conduct essential functions due
to the loss of personnel, equipment or damage to the facility, [Laboratory Name]
will reach out to other laboratories to obtain the necessary support.
Samples may need to be shipped to alternate laboratories for analyses.
Procedures will be in place for preservation and shipment/transport of samples to
other laboratories, as necessary, to ensure continuation of essential functions.
[Laboratory Name] is a member of the ERLN/WLA.
[Laboratory Name] as part of [Utility Name] is a member of the State WARN.
II. CONCEPT OF OPERATIONS
A. PHASE I: READINESS AND PREPAREDNESS
This section should address the readiness and preparedness activities to ensure personnel
can continue essential functions. Readiness is the ability of an organization to respond to a
continuity event. This phase includes all organization continuity readiness and
preparedness activities. Laboratories should only include those readiness and
preparedness activities and systems that are applicable to their plan. Sample text for this
section is provided below.
[Laboratory Name] will participate in the full spectrum of readiness and preparedness
activities to ensure personnel can continue essential functions in an all-hazard threat
environment. [Laboratory Name]'s readiness activities are divided into two key areas:
Laboratory readiness and preparedness
Personnel readiness and preparedness
Laboratory Readiness and Preparedness
[Laboratory Name] preparedness incorporates the use of the following tools and activities:
Water Contaminant Information Tool (WCIT)
Selected Analytical Methods for Environmental Restoration Following Homeland
Security Events
Compendium of Environmental Testing Laboratories (Laboratory Compendium)
Established relationships with local laboratories
Membership in the ERLN/WLA and WARN
Annual review of COOP
Modification of the COOP based on exercises and trainings
Personnel Readiness and Preparedness
[Laboratory Name] personnel preparedness incorporates:
Annual trainings to familiarize personnel with the COOP
Cross-training of staff to ensure redundancy of analytical capability
Exercises
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
B. PHASE II: ACTIVATION, REPRIORITIZATION AND/OR
OUTSOURCING
This section should explain the activation process and procedures to ensure continuation
of the laboratory's highest priority, core activities. This involves either prioritizing
essential activities or outsourcing these essential activities to other qualified laboratories.
While the laboratory activities considered nonessential may be suspended in this situation,
all of the essential activities should be accommodated. The plan should explain the
outsourcing of laboratory services from the affected laboratory to a supporting
laboratory. The plan should also provide a process or methodology for attaining
laboratory support from other laboratories with minimal disruption to operations within
12 hours of plan activation to ensure essential functions will begin within 24 hours of plan
activation. Sample text for this section is provided below.
To ensure the ability to attain operational capability at the laboratory or at a supporting
laboratory with minimal disruption to operations, [Laboratory Name] will execute the COOP
as described below.
The decision to activate [Laboratory Name]'s COOP and related actions will be tailored for
the situation and based on projected or actual impact and whether or not there is warning.
To support the decision-making process regarding plan activation, key laboratory personnel
will use the decision matrix below to support that process.
As the decision authority, [Laboratory Director] will be kept informed of the threat
environment using all available means, including the [Laboratory Name] Emergency
Communications Center, regional notification systems, Alertnet systems, local operations
and State and local reporting channels and news media.
Alert and Notification Procedures
[Laboratory Director] maintains plans and procedures for communicating and coordinating
activities with personnel before, during and after a continuity event.
Before an event, personnel in the laboratory will monitor advisory information, including
the [insert applicable systems]. In the event normal operations are interrupted or an
incident appears to be imminent, [Laboratory Name] will take the following steps to
communicate the laboratory's operating status with all staff:
(1) [Laboratory Director] or designated successor will notify [insert office/title] of
the emergency requiring lab COOP activation
(2) [Insert notification steps here. Include methods of notification, name/group
that initiates notification and required responses of all laboratory personnel upon
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
notification. If the laboratory maintains an advance team to prepare the
continuity site for arrival, include here]
(3) [Laboratory NameJ's personnel will notify family members, next of kin and/or
emergency contacts of COOP activation
Upon the decision to activate the COOP, [Laboratory Director] will notify all [Laboratory
Name] personnel, as well as other entities with information regarding continuity activation,
operational and communications status and the anticipated duration. Additional entities
may include:
EPA Regions
WARN/WLA
Local laboratories (e.g., public health)
Prioritization Process
Non-essential functions may need to be suspended to ensure the laboratory is able to
provide continuation of essential functions. In this scenario, the laboratory would focus all of
its resources on essential functions and may need to suspend non-essential functions or
obtain outside support/resources for non-essential activities. Sample text for the
prioritization process is provided below.
Once the COOP is activated and personnel are notified, [Laboratory Name] will prioritize
resources to ensure the continuation of essential functions. [Laboratory Name] personnel
will perform [Laboratory Name]'s essential functions and other continuity-related tasks.
In the event of an activation of the COOP, [Laboratory Name] may need to procure
necessary personnel, equipment and supplies that are not already in place for continuity
operations on an emergency basis. The [Insert office/title/authority] maintains the
authority for emergency procurement. Instructions for these actions are found [insert
instructions below or insert location of instructions if found in another document].
Accessing Additional Resources
Smaller laboratories may not have the personnel or equipment to ensure continuation of
essential functions. In this scenario the laboratory would seek assistance from the State
WARN, the ERLN/WLA or a commercial laboratory through a contract. Sample Text is
provided below.
Upon activation of the COOP, [Laboratory Director] will follow the [insert protocol
name/location] to determine whether emergency assistance in the form of laboratory
personnel, equipment, materials and other associated services are necessary, from other
water/wastewater or commercial laboratories. [Laboratory Director] in conjunction with
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
[Utility Director] will consult the State-specific Mutual Aid and Assistance Agreement,
located [insert location of the Agreement] for activation of the WARN.
Depending on the magnitude of the continuity event, [Laboratory Director] may seek
further support from the ERLN/WLA to provide assistance or conduct analyses. [Laboratory
Director] will consult the WLA Response Plan (RP), located [insert location of the WLA-RP],
for guidance on securing laboratory support. Additionally, [Laboratory Director] will consult
the Laboratory Compendium and the EPA Regional Laboratory Director for assistance in
identifying an appropriate support laboratory.
C. PHASE III: CONTINUITY OPERATIONS
This section should describe the initial arrival process and operational procedures for the
continuation of essential functions. Sample text for this section is provided below.
Upon activation of the COOP, [Laboratory Name] will continue to perform essential
functions until ordered to outsource some or all essential functions due to capacity issues
by the [insert authority] using [insert method of notification here]. At that time, essential
functions will either be performed by [Laboratory Name] with additional laboratory support
or be transferred in whole to local or network laboratories. [Laboratory Name] should
ensure that the COOP can be operational within 12 hours of plan activation, based on FEMA
recommendations.
D. PHASE IV: RETURN TO NORMAL OPERATIONS
The laboratory should develop a plan to return to normal operations once the Laboratory
Director or authorized person determines that resuming normal business operations can
be initiated. Sample text for this section is provided below.
[Laboratory Name] will return to normal operations when [Laboratory Director] or other
authorized person determines that the emergency has ended and is unlikely to reoccur.
Once the appropriate authority has made this determination in coordination with other
state, local and/or other applicable authorities, one or a combination of the following
options may be implemented, depending on the situation:
Upon verification that the required capabilities are available and operational and that
[Laboratory Name] is fully capable of accomplishing all essential functions and operations,
the [insert office/title] will begin supervising a return of personnel, equipment and
documents. The return of personnel, functions and equipment will follow the priority-based
plan and schedule outlined below. [Laboratory Name] will develop return plans based on
the incident and facility within [insert number] hours of COOP activation.
[Insert priority-based phase-down and return plan here]
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
[Laboratory Name] will continue to conduct essential functions through a supporting
network laboratory until ordered to cease operations by the [insert authority] using [insert
method of notification here]. At that time, essential functions will transfer back to the
laboratory. [Laboratory Name] has developed plans to instruct personnel on how to resume
normal operations as outlined below. [Laboratory Name] will develop resumption plans
based on the incident and facility within [insert number] hours of COOP activation.
[Insert normal operations resumption plan here]
III. ORGANIZATION AND ASSIGNMENT OF RESPONSIBILITIES
This section should include additional delineation of continuity responsibilities of each key staff
position. Sample text for this section is provided below.
Key staff positions within [Laboratory Name], to include individual continuity members, those
identified in the orders of succession and delegation of authority, [Laboratory Name]'s Continuity
Coordinator, continuity managers and others possess additional continuity responsibilities. The
responsibilities of these key continuity personnel are delineated [insert location].
SAMPLE
The following table shows examples of some continuity responsibilities.
Position
Director / Laboratory
Manager
Responsibilities
Assess laboratory operational capability and make decisions regarding COOP
activation
Notify laboratory staff and other key individuals with information and guidance
Assure appropriate levels of clerical, purchasing and materials preparation support
for core laboratory functions
Ensure all laboratory personnel participate in continuity exercises
Update COOP annually
Maintain ERLN/WLA and WARN contacts
Maintain state & local health department contacts
Laboratory Personnel
Determine status of samples stored in the laboratory, what testing is in progress
and what actions to take
Determine what actions are required regarding sample receipt and shipment to
alternative laboratories
Update telephone rosters monthly
Information Technology
(IT) Personnel
Assure availability of the LIMS to manage laboratory data, including accessioning
and reporting
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
IV. DISASTER INTELLIGENCE
This section should describe the required critical or essential information common to all
continuity events. In general terms, it should identify the type of information needed, where it will
come from, who will use it, how it will be shared, the format it will be provided in and when (time)
the information will be needed. Sample text for this section is provided below.
During a continuity event, [Laboratory Name] will require the collection and dissemination of
critical information. While specific incidents may require additional or specialized reporting
requirements, the following table lists examples of the information that would be collected and
reported regardless of incident type.
SAMPLE
The following table shows examples of some disaster intelligence collection requirements
Information Specific Responsible _ ,. , , ,. ,. , ,
_. _ . _, Dehverables When Needed ICS
Element Requirement Element
Operational
Status
Available lab
personnel
Ability to conduct
essential analyses
Percent of lab
equipment that is
operational
Laboratory
Director
Laboratory
Director
Laboratory
Director or
designated
individual
Situation briefings
Situation reports
Laboratory results
(preliminary and final)
Ideally, no later
than 6 hours after
plan activation
Daily
As available
ICorEU
ICorEU
V. COMMUNICATION
This section should address communication systems needed to ensure connectivity during crisis
and disaster conditions. The ability of a laboratory to execute its essential functions depends on
the identification, availability and redundancy of critical communications and information
technology (IT) systems to support connectivity during crisis and disaster conditions. Sample text
for this section is provided below.
[Laboratory Name] has identified available and redundant critical communications systems that are
located at the laboratory. Further, [Laboratory Name] maintains fully capable continuity
communications that support needs during all hazards and threats, to include pandemic and other
related emergencies. All [Laboratory Name]'s necessary and required communications, IT
capabilities and LIMS should be operational within 12 hours of COOP activation. [Laboratory Name]
has evaluated their LIMS and has become familiar with electronic data deliverables that may be
required if data needs to be reported within an ICS to either an 1C or the EU.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
VI. ASSISTANCE AGREEMENTS
This section should identify processes and procedures for developing and implementing
agreements necessary for continuation of the laboratory's essential functions. Clearly defined, well
documented arrangements should be made with each alternative laboratory agreeing to assist if
the laboratory becomes threatened or disrupted. Such arrangements may include different types
of formal agreements. The agreement used will depend on the nature and duration of the
assistance requested and the legal and policy issues that should be considered by the institutions
involved. In addition, the laboratory should identify and provide funding and specific budgetary
guidance and requirements. The following are examples of assistance agreements: (1)
Memorandum of Understanding (MOU) - This may be used for short term assistance for defined
services. No funds may be involved in this type of assistance agreement; (2) Memorandum of
Agreement (MOA) - This may be used for long term assistance for defined services and set
funding; (3) Purchase Orders (PO) - These documents constitute a legal offer to buy products or
services with agreed on prices. POs are issued by a buyer to a seller and constitute a contract once
accepted by the seller; and (4) Emergency Management Assistance Compact (EMAC). This is an
interstate mutual aid agreement for use during emergencies and disasters that provides a
mechanism for sharing personnel, resources, equipment and assets. Sample text for this section is
provided below.
Depending on the type and duration of the emergency [Laboratory Name] will have established
multiple agreements to ensure timely assistance. [Laboratory Name] has established the following
non-funded agreements: MOUs and EMACs with alternative laboratories. In the event the
emergency renders the laboratory incapable of providing essential functions for an extended period
of time, [Laboratory Name] has also established funded agreements including MOAs and POs.
[Laboratory Name] maintains a budget for these funded agreements.
VII. PLAN DEVELOPMENT AND MAINTENANCE
This section should describe the process the laboratory uses to ensure the COOP includes up-to-
date information. It identifies who is responsible for updating the COOP and how often it will be
reviewed and updated. Sample text for this section is provided below.
[Laboratory Director] is responsible for maintaining [Laboratory Name]'s COOP. The COOP will be
reviewed by the [insert office name] and updated annually from the date of publication.
[Laboratory Name] is responsible for the annual plan review and update. In addition, the COOP
will be updated or modified when there are contact information changes or other events that
affect continuity processes or procedures. Comments or suggestions for improving this plan may
be provided to [Name and Contact Information].
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
Sample COOP Maintenance Chart
Responsibility Frequency
Update COOP plan
Update telephone rosters
Review status of vital files, records and databases
Conduct alert and notification tests
Develop and lead COOP training
Plan COOP exercises
Annually
Quarterly
Semi-Annually
Semi-Annually
Semi-Annually
Annually
VIII. AUTHORITIES AND REFERENCES
The key authorities and references on which the laboratory's COOP is based should be listed here.
Additional references maybe listed in Annex B. An example of typical authorities and references
are provided in Annex B.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
FUNCTIONAL ANNEXES
The functional annexes should add specific information and direction to the Basic Plan. These
annexes should clearly describe the policies, processes, roles and responsibilities that laboratories
carry out before, during and after any event. These annexes also establish preparedness targets
(e.g., training, exercises, equipment checks and maintenance) that facilitate achieving function-
related goals and objectives during emergencies and disasters.
I. Essential Functions Annex
The essential functions section should include a list of the laboratory's prioritized Mission
Essential Functions (MEFs) or core functions. The COOP should identify the components, processes
and requirements that ensure the continued performance of the laboratory's essential functions.
Sample text for this section is provided below.
A. IDENTIFICATION OF ESSENTIAL FUNCTIONS
[Laboratory Name] has completed the MEF process to identify those functions that should
continue.
Laboratory MEFs
Each laboratory should identify and prioritize their organizational MEFs and ensure the
continued performance of those MEFs.
[Laboratory Name]'s MEFs are a limited set of their essential core functions that should be
continued throughout, or resumed rapidly after, a disruption of normal activities.
[Laboratory Name]'s MEFs, as validated and approved by the [enter laboratory approving
official title if applicable], are listed below.
1. Specific laboratory analyses (e.g., bacterial and/or chemical analyses of drinking water to
ensure it safe for public consumption)
2. QA/QC analyses (e.g., analyses required to ensure data is of known quality)
3. Data review and validation (e.g., review and validation process to ensure data is accurate)
II. Continuity Facilities Annex
All laboratories should identify and maintain at least one continuity facility and/or membership
in ERLN/WLA or WARN, to ensure continuation of the laboratory's essential functions. This
section should explain the significance of identifying a continuity facility or additional resources.
It should also detail the laboratory's procedure/process for identifying a continuity facility
including the advantages and disadvantages of each potential location.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
III. Continuity Communications Annex
This section should address communication systems needed to ensure connectivity during crisis
and disaster conditions. The ability of a laboratory to execute its essential functions depends on
the identification, availability and redundancy of critical communications and IT systems to
support essential functions during an incident. Sample text for this section is provided below.
[Laboratory Name] has identified available and redundant critical communication systems. Further,
[Laboratory Name] maintains fully capable continuity communications that could support the
laboratory's communication and data reporting during all hazards and threats, to include pandemic
and other related emergencies. These systems provide the ability to communicate and report data
within and outside the organization and are found at [insert location].
SAMPLE
The following table shows an example of tracking modes of communication and data reporting systems
that support an organization's essential functions.
Support to
. . . Current _ ... . Alternate _ . , ..
Communication System Essential _ . . Specification _ . . Special Notes
Provider Provider
Function
Pagers
E-mail
Internet Access
LIMS
[Insert other options here]
Ideally, all [Laboratory Name]'s necessary and required communications and IT capabilities should
be operational within 12 hours of activation.
IV. Test, Training and Exercises (TT&E) Program Annex
This section should focus on the laboratory's TT&E program. All laboratories should develop and
maintain a continuity TT&E program for conducting and documenting TT&E activities and
identifying the components, processes and requirements for the identification, training and
preparedness of personnel needed to support the continued performance of their MEFs. Sample
text for this section is provided below.
[Laboratory Name] has established an effective TT&E program to support the organization's
preparedness and validate the continuity capabilities, program and ability to perform essential
functions during any emergency. The testing, training and exercising of continuity capabilities are
essential to demonstrating, assessing and improving [Laboratory Name]'s ability to execute the
COOP.
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
Training familiarizes personnel with their roles and responsibilities in support of the
performance of the laboratory's essential functions during an event.
Tests and exercises serve to assess, validate or identify for subsequent correction, all
components of the COOP, policies, procedures, systems and facilities used in response to an
event. Periodic testing also ensures that equipment and procedures are kept in a constant
state of readiness.
[Laboratory Name] performs TT&E events at regular intervals, as shown in the table below.
Note: In your organization's plan, change the checkmarks to the actual frequency of the TT&E
event for your laboratory.
As
Continuity TT&E Requirements Monthly Quarterly Annually
Test and validate equipment to ensure internal and
external interoperability and viability of
communications systems
Test alert, notification and activation procedures for
all personnel
Test primary and back-up infrastructure systems and
services at continuity facilities
Test capabilities to perform essential functions
Test plans for recovering critical information systems,
services and data
Test and exercise required physical security
capabilities
Test internal and external interdependencies with
respect to performance of essential functions
Train continuity personnel on roles and
responsibilities
S
S
S
S
S
S
S
S
HAZARD-SPECIFIC APPENDICES
The contents of hazard-specific appendices should focus on the special planning needs generated
by a particular hazard. These appendices contain unique response details that apply to a single
hazard. A key hazard-specific appendix is continuity operations during a pandemic influenza.
Laboratories should determine other specific hazards to address, if needed, based upon the results
of the laboratory site vulnerability assessment and risk analysis. An example site vulnerability
matrix is provided below.
Site Vulnerability Analysis
Threat Mitigation Risk
Electrical power/allure
Flooding
Loss of water
Other
Backup generator
Location
None
Low
Medium
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
ANNEX IMPLEMENTING INSTRUCTIONS
Implementing instructions should be included as attachments or referenced. Annex Implementing
instructions serve to provide additional information on sections presented in the continuity of
operations plan. Sample text for this section is provided below.
Operational Checklists: A checklist is a simple tool that ensures all required tasks are
accomplished so that the laboratory can continue operations at an alternate location.
Checklists may be designed to list the responsibilities of a specific position or the steps
required to complete a specific task.
Laboratory Emergency Calling Directory
Laboratory Key Personnel Roster & Knowledge, Skills and Abilities Checklist
Laboratory Emergency Operating Records and IT Checklist
Laboratory Sampling Equipment Checklist
Laboratory Instrumentation Checklist
Laboratory Reagents and Chemicals Checklist
Contract Laboratory Checklist
EPA Regional Laboratory Contact List (for ERLN/WLA activation)
WARN Contact List
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COOP Template and Instructions for Drinking Water & Wastewater Laboratories
[The glossary should list key words and phrases used in the COOP that require explanation.
Examples of some key words and phrases that would be used in the COOP are listed below.]
Activation - Once a continuity of operations plan has been implemented, whether in whole or in
part, it is considered "activated."
All Hazards - The spectrum of all types of hazards including accidents, technological events, natural
disasters, terrorist attacks, warfare, chemical or biological including pandemic influenza,
radiological, nuclear and explosive events.
Communications - Voice, video and data capabilities that enable laboratory to conduct mission
essential functions. Robust communications help ensure that the laboratory will have the ability to
communicate internally and with other entities (including with other Federal agencies, State,
territorial, tribal, local governments and the private sector), as necessary.
Continuity - An uninterrupted ability to provide services and support, while maintaining
organizational viability, before, during and after an event.
Continuity Facilities - Locations, other than the primary facility, used to carry out essential
functions, particularly in a continuity situation.
Continuity of Operations - An effort within individual agencies to ensure they can continue to
perform their Mission Essential Functions and Primary Mission Essential Functions during a wide
range of emergencies, including localized acts of nature, accidents and technological or attack-
related emergencies.
Emergency Management Assistance Compact (EMAC) - This is an interstate mutual aid agreement
for use during emergencies and disasters that provides a mechanism for sharing personnel,
resources, equipment and assets.
Essential Functions-The critical activities performed by organizations, especially after a disruption
of normal activities.
Facilities - Locations where the laboratory operates. Facilities must be able to provide staff with
survivable protection and must enable continued and endurable operations.
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Memorandum of Agreement/Memorandum of Understanding-Written agreement between
departments/agencies that require specific goods or services to be furnished or tasks to be
accomplished by one organization in support of the other.
Mission Essential Functions - The limited set of laboratory functions that must be continued
throughout, or resumed rapidly after, a disruption of normal activities.
Purchase Orders (PO) - These documents constitute a legal offer to buy products or services with
agreed on prices. POs are issued by a buyer to a seller and constitute a contract once accepted by
the seller.
Risk Analysis - The process by which risks are identified and evaluated.
Risk Assessment - The identification and assessment of hazards.
Site Vulnerability - The process of identifying hazards/risks associated with the laboratory that
could impact its ability to continue essential functions during an incident.
Testing, Training and Exercises - Measures to ensure that the laboratory's COOP is capable of
supporting the continuation of the laboratory's essential functions throughout the duration of a
continuity situation.
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ANNEX B. AUTHORITIES AND REFERENCES
[This annex should list the authorities and references used in this plan. Examples of authorities
and references are provided below.]
AUTHORITIES and REFERENCES:
[Enter title of organizational policy or directive here].
[Enter title of organizational policy or directive here].
1) [Enter title of organizational policy or directive here].
2) Directive 51/Homeland Security Presidential Directive 20, National Continuity Policy, dated
May 9, 2007.
3) Continuity Guidance Circular 1, Continuity Guidance for Non-Federal Entities (States,
Territories, Tribal, and Local Government Jurisdictions and Private Sector Organizations),
dated January 21, 2009.
4) Continuity Guidance Circular 2, Continuity Guidance for Non-Federal Entities: Mission
Essential Functions Identification Process (States, Territories, Tribes, and Local Government
Jurisdictions), dated July 22, 2010.
5) FEMA Continuity of Operations Plan Template Instructions.
6) FEMA Continuity of Operations Plan Template.
7) Association of Public Health Laboratories (APHL) Guidelines for the Public Health
laboratory Continuity of Operations Plan.
8) FEMA Comprehensive Preparedness Guide 101, Developing and Maintaining State,
Territorial, Tribal, and Local Government Emergency Plans, dated March 2009.
9) [Enter title of organizational plan, guidance, etc.].
10) [Enter title of organizational plan, guidance, etc.].
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c,
[The acronyms and abbreviations used in the organization's continuity plan should be listed and
defined in this annex. Examples of acronyms are listed below.]
APH Association of Public Health Laboratories
ASR Analytical service requestor
AWWA American Water Works Association
BCP Business Continuity Plan
COOP Continuity of operations
EMAC Emergency Management Assistance Compact
EOC Emergency Operation Center
ERLN Environmental Response Laboratory Network
EU Environmental Unit
FEMA Federal Emergency Management Agency
1C Incident Commander
ICS Incident Command Structure
IT Information Technology
LIMS Laboratory information management system
MEF Mission Essential Function
MOA Memorandum of Agreement
MOD Memorandum of Understanding
MSL Mutual support laboratory
PO Purchase order
PRL Primary responding laboratory
RP Response Plan
TT&E Test, Training and Exercise
WARN Water/Wastewater Agency Response Networks
WCIT Water Contamination Information Tool
WLA Water Laboratory Alliance
WRF Water Research Foundation
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