The State of Texas Title IV-B Child and Family Services Plan

Child and Family Services Plan Fiscal Years 2015-2019

III-A. Disaster Plan

Texas Department of Family and Protective Services ACYF-CB-PI-14-03

2015-2019 Child and Family Services Plan A. Disaster Plan

DFPS recognizes that unexpected disruptive events may bring significant risks to essential public health service delivery and business processes. The DFPS Continuity of Operations Plan (COOP) provides a framework for building organizational resilience to mitigate, minimize, or recover business processes essential to restore mission essential functions within targeted time frames. Strategies include leveraging of shared HHS Enterprise resources and working cooperatively and collaboratively with the HHS Enterprise Emergency Management Council. Introduction The Comprehensive Preparedness Guide 101, "Developing and Maintaining State, Territorial, Tribal, and Local Government Emergency Plans" defines the purpose of the planning as: "Planning has a proven ability to influence events before they occur and is an indispensable contribution to unity of effort…Accomplished properly, planning provides a methodical way to think through the entire life cycle of a potential crisis, determine required capabilities, and help stakeholders learn and practice their roles. It directs how a community envisions and shares a desired outcome, selects effective ways to achieve it, and communicates expected results." The DFPS plan describes the processes required to continue or restore the function of DFPS Mission-Essential Functions (MEFs). The desired outcome is to enable preparation processes that lead to continuation or rapid return of vital services provided to our vulnerable stakeholders. Planning for the business continuity of DFPS in the aftermath of a disaster is a complex task. Preparation for, response to, and recovery from a disaster affecting the administrative functions of the agency requires the cooperative efforts and partnership of other functional areas supporting the "business" of DFPS. Purpose The primary purpose of this document is to ensure that DFPS continues or restores normal business operations under emergency and/or disaster conditions and within targeted timeframes. Throughout the recovery effort, this plan establishes clear lines of authority and prioritizes work efforts.

• Mitigate future injury and property damage through planning and prevention. • Ensure that the DFPS can deliver mission-essential services to its

clients/customers. • Provide for the safety of people on the premises at the time of a disaster. • Continue or restore essential support functions (ESFs) and critical support

systems (CSSs) for business operations. • Designate an appropriate incident management structure.

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• Minimize the duration of a serious disruption to operations and resources (both information processing and other resources).

• Minimize immediate damage and losses. • Establish management succession and emergency powers. • Facilitate effective coordination of recovery tasks. • Identify strategies for preparedness for, response to, and recovery from

emergency incidents and disasters. Applicability and Scope This document describes the actions and processes required to maintain essential functions. The DFPS COOP is developed to ensure that the capabilities exists to continue mission critical activities a wide range of potential emergencies, including localized acts of nature, accidents, and technological or attack-related emergencies. Elements of a standardized continuity plan include:

1. Identification of Mission Essential Functions (MEFs); 2. Orders of Succession; 3. Delegations of Authority; 4. Continuity Facilities; 5. Continuity Communications; 6. Mission-Essential (Vital) Resource Management, 7. Human Capital; 8. Testing Training and Exercising; 9. Devolution of Control and Operations; and, 10. Reconstitution.

This Plan contains these elements as well as describing prioritized mission essential functions (MEFs); personnel and resources; incident management organizational structure and procedures; strategic partnerships, relationships and dependencies; system failure alternatives; continuity risk factors; mitigation strategies; and, concepts of operations. Mission-Essential Functions/Personnel/Resources The focus of the DFPS Business Continuity Program and Plan are mission-driven; that is, each of the elements of the Plan support accomplishment of our mission and clientele. The mission of the Texas Department of Family and Protective Services (DFPS) is “To protect children, the elderly, and people with disabilities from abuse, neglect, and exploitation by involving clients, families and communities.” Besides being mission-based, the DFPS Continuity Program has established the following criteria:

• A multi-hazard plan that anticipates response requirements of a variety of possible incident types;

• A plan that addresses each of the 10 recognized components of a comprehensive COOP program;

• A realistic plan enabling business activities to be reinstated w/in target times frames;

• Department-wide participation to ensure gap coverage and accounts for the contribution of all programs;

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• Tested/Trained/Exercised annually; • AARs conducted, and implement improvement plans w/in 90 days; • Plan that is National Incident Management System (NIMS) compliant and ICS-

based.

The Department’s functions are divided into four main programs: Child Protective Services, Adult Protective Services, Child Care Licensing, and Prevention and Early Intervention. The programs serve different populations, but share many administrative functions. DFPS MEFs are prioritized according to a tiered system that provides the ability for the Department to restore critical services within targeted timeframes. The prioritization system also identifies where Department resources must be committed should circumstances or lack of resources necessitate hard choices.

DEFINITIONS AND ACRONYMS

• Mission-Essential Functions (MEFs) (Programs): Those activities for which the Department exists or was created; Functions that are required by statute, standardized practice, and/or recognized authority. (Example: Child/Adult abuse investigations, licensing childcare facilities, etc.)

• Essential Support Functions (ESFs) (Support Services): Tasks (and personnel performing them) and knowledge bases that do not constitute a MEF, but materially contribute to DFPS’ ability to perform them. (Example: SWI, IT personnel)

Initiate the COOP Process

Determine Mission-Essential Functions

Conduct Risk & Vulnerability

Analysis Design and Build the Plan

Test, Train & Exercise the Plan

Distribute, Maintain & Update the Plan

COOP Planning Process

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• Critical Support Systems (CSSs) (Tools): Technology, procedures and/or data sets that enable and/or facilitate the efficient and timely performance of the DFPS MEFs. (Example: IMPACT, CLASS)

• Other Associated Activities (OAA): Activities and tasks that contribute to efficiency and effectiveness of the Department, but are not part of the mission-essential core. (Example: CLOE, CPI)

Mission-Essential Functions Performance Target Timelines

• Tier 1 MEFs/ESFs shall be uninterrupted as much as practical, and in all cases shall be restored to function within 8 hours of the passing of the immediate emergency.

• Tier 2 MEFs/ESFs/CSSs shall be uninterrupted as much as practical, and in all cases shall be restored to function within 24 hours of the passing of the immediate emergency.

• Tier 3 Support and Systems shall be uninterrupted as much as practical, and shall be restored to function within 10 days of the passing of the immediate emergency when possible.

• Other Associated Activities shall be restored as time and resources permit. Priority of Mission Essential Functions

• Tier 1 MEFs (Core Services & Support) o Receive APS, CPS, CCL and RCCL Priority 1 referrals and transmit to the

appropriate local office for screening (ESF); o Investigate/take appropriate action where there is immediate danger

regarding abuse or neglect of children (MEF); o Investigate/take appropriate action where there is immediate danger

regarding abuse or neglect of older adults and persons with disabilities (MEF);

o Initiate a welfare check of children in DFPS Conservatorship and FBSS following an emergency (MEF);

o Investigate/take appropriate action where there is immediate danger regarding child or adult facility-based complaints (MEF);

o Provide financial resources to support Tier 1 MEFs (ESF).

• Tier 2 MEFs (Semi-Core Services & Support) o Ensure SWI referral and subsequent investigation for all other (non-Priority 1)

activities for all programs (ESF); o Ensure activation of the Public Communication for Disasters Plan, and initiate

follow-up communication with caregivers of children in DFPS Conservatorship (ESF);

o Follow-up and track facility evacuation sites and emergency contact numbers for facilities with open MHMR investigations (MEF);

o Initiate after-event Childcare Licensing Inspection functions to ensure the safety of childcare facilities (MEF);

o Ensure the availability of information technology in support of normal operations, with priority to IMPACT and CLASS systems (ESF);

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o Ensure DFPS compliance with Strategic National Stockpile agreement (ESF). • Tier 3 MEFs (Important Support, Not Urgent)

o Restore routine inspection child care licensing facilities for hazards and compliance with agency requirements (MEF);

o Ensure Runaway Hotline/Youth Hotline operation & referrals (MEF); o Restore/Perform purchasing and procurement and accounting functions

except as urgently needed to support Tier 1 MEFs (ESF); o Perform other administrative and support functions that enable routine

operations (ESF); o Restore Other Associated Activities as time/resources permit (ESF).

Mission-Essential Personnel/Non-Essential Personnel Defined

• Tier 1 Essential personnel o All personnel whose responsibilities include supervision and delivery of Tier 1

MEFs/ESFs to clients/customers; o All personnel whose responsibilities include receiving and routing initial

reports for delivery of Tier 1 MEFs/ESFs to clients/customers; o All personnel with designated duties in the Incident Management Structure of

the Department, when activated. o All personnel providing ESF or CSS maintenance of Tiers 1 and 2 MEFs

when/as designated by their supervisor; Note: All personnel that have been issued State-owned equipment or software license(s) to enable off-site working (e.g., laptop, tablet, GoToMyPC) must comply with the DFPS “Work from Home” policy regardless of Essential/Non-Essential Status. Note: Standard delivery of services may be modified at any time by the Commissioner through the Chief Operating Officer and Assistant Commissioners.

• Tier 2 Essential Personnel

o All personnel whose responsibilities include only delivery of Tier 2 MEFs/ESFs/CSSs;

o All personnel whose responsibilities include routine administrative support when/as designated by management personnel;

o All personnel must remain available for immediate call-back during regular business hours, their regular work shift hours, and/or as designated by his/her immediate supervisor during emergencies or other extraordinary circumstances.

• Non-Essential Personnel

o All personnel so designated by management and not involved in delivery or indirect support of Tiers 1 and 2 MEFs/ESFs; and,

o Personnel whose routine job functions may be suspended for a period of time without loss of mission-essential services;

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o All N/E personnel must remain available for call-back during regular business hours, their regular work shift hours, and/or as designated by management personnel during emergencies or extraordinary circumstances.

Note: Any employee's essential status designation may be changed at any time upon notification. Duties may also be modified to perform tasks not routinely part of his/her job description, according to the needs of the Department. Mission-Essential Resources Mission-Essential Resources are divided into four broad categories (people, circumstances, tools and performance factors) that define what inputs and considerations are needed for DFPS to perform its mission. The value of this exercise is that it assists Incident Commanders to identify missing resources and prioritize efforts to restore essential services. The following provides details for considerations in each category:

• People o Number sufficiency to meet performance requirements o Appropriate certifications/licenses/authority to accomplish mission o Appropriate training to accomplish mission

• Circumstances o Safety of DFPS personnel o Mobility/Transportation Availability/Access safety o Functioning communications o Administrative support available o Task volume/number of calls for service within the disaster area

• Tools o Computer/Internet/Paper records o Communication equipment o Vehicle appropriate for the circumstances o Appropriate safety shields/barriers o Facilities/Office space o Records systems access o Stocked resources (diapers, formula, car seats, walking canes, etc.)

• Performance factors ("How well?" or "To what degree?") o Federal and State statutory mandate o MEF/BCP performance objectives o Necessary to "safeguard life and health" o Necessary to maintain a favorable public opinion

PLANNING ASSUMPTIONS

• The DFPS Mission remains the central value that drives plans and actions even during extraordinary circumstances as often occur during emergency incidents and disasters.

• Many DFPS clients meet the FEMA definition of a "Special Needs" population: • Populations whose members may have additional needs before, during, and after

an incident in functional areas, including but not limited to: o Maintaining independence

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o Communication o Transportation o Supervision o Medical care

• Individuals in need of additional response assistance may include those that have disabilities; who live in institutionalized settings; who are elderly; who are children; who are from diverse cultures; who have limited English proficiency; or who are non-English speaking; or who are transportation disadvantaged.

• This Plan details the DFPS mission-essential portion of the State's primary goal and its recovery efforts following a disaster. DFPS is responsible for a mission-specific piece of the State of Texas disaster response, but may be called upon under extraordinary circumstances to exceed its traditional role.

• DFPS plans are based on industry standards and best practices, where applicable, and include (at least) the ten elements of continuity planning. Not all extraordinary circumstances can be anticipated in advance, but preparation for those that can be anticipated is the responsibility of all personnel.

• "Risk" is the juxtaposition of the three factors of hazard, impact and vulnerability. Once risk is determined, senior leadership decides to what degree it must be accepted or mitigated, and what resource commitment is appropriate to the risk.

• Emergency incidents and disasters can be either/both narrowly local, widely diffuse, or any range in between the two in their impact; the incident impact will determine the nature and size of the incident management structure.

• Preparedness, in the context of all-hazards homeland security, entails: o Understanding the Department's business processes and prioritizing client

services. o Planning for “all hazards” events. o Organizing prevention, protection, response, and recovery assets. o Equipping with tools and technology for those assets. o Training the organization. o Exercising the Department’s ability to prevent, protect, respond, and recover. o Assessing preparedness throughout the process to adjust the plan as

required. RESPONSIBILITIES AND ACCOUNTABILITY

Jurisdictional/Organizational Responsibilities • The Continuity Planning Guide for State, Local, Territorial, Tribal and Private

Sector Organizations defines the scope of jurisdictional/organizational responsibilities as

"[The] development of strategic COOP vision and overarching policy, the appointment of key COOP personnel, and the development of a program budget that provides for adequate facilities, equipment and training."

• The Continuity Guidance Circular 1, published by the Federal government delineates the following responsibilities for state, local and tribal government organizations:

"Continuity requirements must be incorporated into the daily operations of all

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agencies to ensure seamless and immediate continuation of Mission Essential Function (MEF)/Primary Mission Essential Function (PMEF) capabilities so that critical government functions and services remain available to the Nation’s citizens… Responsibility for continuity planning resides with the highest level of management of the organization involved. The senior Elected Official or the administrative head of a State or local organization is ultimately responsible for the continuation of essential services during an emergency and for the related planning…Effective implementation of continuity plans and programs requires the support of senior leaders and decision makers who have the authority to commit the organization and the necessary resources to support the programs."

The Commissioner of the DFPS (or his/her designee) shall:

• Maintain overall responsibility for Plan preparation, approval and oversight. • Activate the Plan (or any portion thereof) and the Departmental Operations

Center (DOC) at his/her discretion.

The DFPS Chief Operating Officer (COO) shall: • Serve as the DOC Area Commander for supervision of Regional Command

structures; • Designate a scalable incident management structure (consistent with the

National Incident Management System [NIMS]) according to the incident requirements to ensure continuity/restoration of MEFs;

• Declare when the immediate hazard is past for the purpose of beginning of the restoration period for interrupted MEFs (for performance objective purposes);

• Define the operational period length for the incident/event, and define a personnel relief strategy as needed;

• Determine the Department's strategic objectives for each operational period and cause an Incident Action Plan (IAP) to be prepared for large/major incidents;

• Cause all incidents/events to be fully documented; • Modify the organizational structure as required by the incident, and determine

when the Department shall stand down to resume normal or reconstituted operations.

The Business Continuity Planner shall:

• Be the primary action officer responsible for updating and training this plan; • Act as advisor and subject matter expert (SME) for business continuity and

incident management matters; • Coordinate and lead the development of the Department’s homeland security

and all-hazards implementation strategies and preparedness; • Ensure that the DFPS Plan is consistent and in compliance with Federal and

State mandates; • Maintain the COOP Plan annually, or as appropriate; • Maintain a program of After Action Reporting and track progress on improvement

recommendations; • Coordinate with other agency's activities and plans.

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Regional Incident Commanders shall:

• Report to the DOC Area Commander; • Designate an appropriate and responsive incident management team for each

incident; • Be responsible for results in restoring normal operations within their region; • Establish Incident Objectives for each operational period; • Cause their portion of the incident activities to be documented; • Integrate strategic partners into the DFPS response to facilitate return to normal

operations.

Other Personnel Responsibilities • All personnel are expected to be responsible to assist as needed to respond to

recovery and program continuity operations; • Personnel are expected to remain flexible in extraordinary circumstances to

perform, as needed, other-than-usual duties, work non-standard hours, or report to a different work location when called upon to do so.

Continuity Risk Factors Risk Assessment and Mitigation Planning This Plan adopts and incorporates by reference the State of Texas Mitigation Plan (2010-2013) that details specific events/incidents to which the various geographic regions of the state are vulnerable. Additionally, this plan incorporates by reference the Texas Health and Human Services Commission Hazard Mitigation Plan.

Risk and Impact Analysis In addition to the State and HHSC Mitigation Plans, DFPS supplements with a non-traditional Risk and Impact Analysis for All Hazards directed at key functional vulnerabilities of the Department. DFPS defines risk in terms of threats to certain factors essential for business continuity. Thus, the planning object is not any event in particular, but the effects of any incident, event or condition on mission-essential resources:

• Facility damage • Power/Other utility loss • Hazardous environment • Loss of staff • Communication/IT Outage • Destruction of/damage to Records • Mobility/Transportation impairments • Mandatory evacuations of citizens and workers • System over-stress due to large client influx

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MITIGATION STRATEGIES Introduction In support of the State's overall recovery strategy to "reduce vulnerability…and quickly recover," the Department employs a four-fold approach to reducing risk in the foregoing areas of functional vulnerability:

• Organize incident management efforts according to accepted and standard Incident Command System principles and practices;

• Prepare and maintain comprehensive plans to ensure continuity of business operations and/or the return to delivery of the Department's MEFs as quickly as practical to meet performance objectives;

• Train and exercise DFPS employees (in accordance with the Federal Homeland Security Exercise and Evaluation Program [HSEEP]) in potential homeland security and all-hazard disaster scenarios to ensure preparedness;

• Support statewide efforts toward response, mitigation and recovery through participation as a cooperating/assisting agency in the State Operations Center (SOC) and the State Multi-Agency Coordination Center (MACC).

Pre-Incident Preparation Strategies

• Define mission-essential functions (MEFs) and produce plans to ensure their continuation/restoration within targeted restoration time and level objectives.

• Identify critical service nodes and single points of failure, and build redundancy into systems and processes where they are cost-effective and make sense.

• Identify facility needs (number of persons and workstations, square footage requirements, computer drops/connections required, etc.) for each office prior to an emergency to facilitate selection of devolution facilities as quickly as practical.

• Train Department personnel to an appropriate level of specialty in NIMS structure and practices.

• Ensure event/incident organizational structures and practices are NIMS compliant.

• Implement a Family Support Planning process to encourage employees to make pre-incident preparations to arrange for the needs of their personal family.

• Test plans through a regimen of formal exercises in all regions at least annually; • Ensure clear lines of authority and communication for Plan implementation. • Define a Departmental incident management organizational structure appropriate

for ensuring MEF continuation/restoration and supporting state-wide efforts through the SOC and SMOC.

• Designate positional roles for personnel within the incident management organizational structure, and provide training on role responsibilities.

• Anticipate needs and engage in prudent precautionary activities for those incidents and emergencies where advance notice can be obtained (e.g., hurricanes, rising flood waters, raised terrorism threat level).

• Formalize strategic partnerships and mutual aid relationships prior to the need for their activation.

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• Conduct periodic and formal Business Analysis and Environmental Scans to ensure the appropriateness of plans with respect to MEFs, and determine gaps in Plan coverage.

Post-Incident Continuity Strategies • Program Operations shall maintain or reestablish conditions necessary for MEF

accomplishment; • Enable MEFs to continue even when facilities are damaged or destroyed by

activating work from home or mobile workplace methods (laptops, tablets, GoToMyPC);

• Activate interim facilities plans to maintain staff contact with temporary facilities; • Activate strategic relationships, partnerships for internal mutual aid, and/or

external mutual aid with law enforcement for temporary devolution of responsibilities as needed;

• Activate redundant communication systems, including the ability to connect intakes with investigators and case workers in the field.

Post-Incident Recovery Strategies

• Recovery Operations shall initiate tactics to solve incident problems. Branch operations could include facilities repair/relocation, information technology, records, and/or security, as appropriate;

• Work closely with Regional Administrative Services/Texas Facilities Commission for facilities and records issues;

• Identify the need continuity facilities (temporary, long-term, "synchronization bases");

• Communicate to mobile staff times and places for regular supervisor/worker contact and check-in;

• Safeguard/secure State-owned equipment;

Post-Incident Command Considerations • Establish contact with staff and obtain a report of their safety and status.

(Program Ops) • Consider the major problems, and devise an appropriate command structure

using a standard ICS structure. (Command) • Initiate reinstatement of Tier 1 Mission Essential Functions within eight hours.

(Program Ops) • Ensure a communications link with State Office; communicate with all local

offices affected by the incident. (Command, Program & Recovery Ops) • Work with Regional Administrative Services (RAS) to initiate a damage

assessment of all local offices and obtain an "all-clear" before entering a damaged structure. (Recovery Ops)

• Initiate telephone or other contact of DFPS clients in state Conservatorship to verify their safety. (Program Ops)

• Evaluate damage to computer network equipment. (Recovery Ops)

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• Provide for means of securing buildings if possible; if a building cannot be secured, provide for the removal of state property to a secure location. (Recovery Ops)

• Secure all electronic and paper records; begin the records recovery process within 72 hours for damaged records. (Recovery Ops)

Concept of Operations

Incident Management and Planning Philosophy The incident management philosophy of DFPS is mission-based; that is, all post-incident activities and appropriate resources should be directed toward the goal of restoring mission essential functions within targeted timeframes, and reconstituting normal operations, subsequently. Toward this end, "local and regional management with state office support" best describes the strategic structure of incident management teams. DFPS leadership recognizes that most emergency incidents are best managed locally, with local response resources and local/regional incident command structures. State Office personnel empowers local and regional incident command teams, working within resource constraints and in the context of strategic partnerships, to restore normal functions and enable the resumption of services as quickly as practical. DFPS leadership also recognizes that emergency response and operations constitute a very fluid environment requiring a high tolerance of ambiguity. The appropriate decision environment for staff is well-stated in the Federal Comprehensive Preparedness Guide 101:

"Planning helps [an organization] know the means it has at its disposal to achieve desired outcomes by performing critical tasks, under specified conditions, to target levels of performance. Rather than concentrate on every detail of how to achieve the objective, an effective plan structures thinking that supports insight, creativity and initiative in the face of an uncertain and fluid environment."

Bifurcated Mission The DFPS efforts during disaster response are divided along two parallel-yet-interrelated paths: 1) Continuity of mission essential functions; and, 2) Recovery operations that deal with the effects of the incident. This distinction is a major one in contrast to a first responder mission. Social services agencies with vulnerable clientele cannot statutorily or ethically/morally abandon its safety net role, and must take affirmative steps to restore services when they are interrupted by urgent circumstances. Recovery operations refer to those activities that enable reconstitution of normal operations. In DFPS context, these most frequently will involve facilities, information technology, records recovery and management, devolution of facilities, and security issues (including access and safeguarding state-owned assets). To support parallel missions, DFPS has designed a flexible management structure that addresses both strategic needs at the Operations Section Chief (SC) level. The structure designates a Program Operations SC to lead continuity activities for clientele,

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and a Recovery Operations SC to lead efforts to deal with the physical effects of an incident. Incident Management Teams: Qualifications and Training Each DFPS Region has appointed members to a Regional Incident Management Team. These teams are led by one or more of the Regional/District Directors from the DFPS Programs (CPS, APS, CCL). In order to qualify to serve in a regular capacity on an IMT, personnel must be trained to the advanced ICS level (through ICS 300/400 for Social Services). Prior to enrolling in ICS 300/400, Team members must have taken appropriate introductory independent study courses through FEMA/Emergency Management institute Web site (IS 100, 200, 700, 800). The BCP has conducted initial training of all personnel; additional offerings of ICS 300/400 for SS will be made as needed as team member turnover occurs. Additionally, as part of the Training, Testing, Exercising and Maintenance program (TTE&M), IMT members will receive semi-annual refresher training and exercises. Additionally, DFPS will track and follow all recommended training requirements through the National Incident Management System: Five Year Training Plan.

Activation of Incident Management Teams The National Response Framework (NRF) states that “Incidents must be managed at the lowest possible jurisdictional level and supported by additional capabilities when needed.” Within DFPS the lowest practical jurisdictional level is within a region. Activation of IMTs may also be a local decision by the Regional Incident Commander or Unified Command Team. There may also be times when a team or multiple teams are activated from State Office. Teams are said to be “stood up” when activated. Incident Commanders should keep in mind that it may be appropriate to activate the team in advance of the emergency if it can be reasonably anticipated (e.g., in advance of a hurricane, or a planned event). Area Command Structure and Organization In terms of recognized National Incident Management System (NIMS) structure and doctrine, DFPS will, for major incidents, employ an Area Command (AC) centralized oversight with Regional Command structures and Branch Tactical Planning. Incident management structures may be further subdivided (at Regional Unified Command level) into geographic or functional branches. Regional ICs/UCs are empowered to activate the incident management structure within their region as necessary; during major incidents, Area Command may designate specified regions for activation of teams. The Chief Operations Officer (COO) is designated as DFPS Area Commander, and will coordinate state-wide emergency response efforts from the Department Operations Center (DOC).

Unified Command While Incident Command structure within regional offices remains discretionary, State Office recommends that regional leadership consider a unified command approach that

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incorporates multiple program interests in the formulation of operational period strategic objectives. Management by Objectives (MBO)/ICS 202 Management by Objectives is an established model of business and incident management, and shall be the management approach by which efforts to recover and restore services will be coordinated.

• The Incident Commander/Unified Command Team shall be responsible for determining and approving objectives for each operational period. Command may be assisted by the General and Command Staffs in formulating objectives.

• The Plans Section Chief shall be responsible to draft an Incident Action Plan for Incident Commander approval.

• Objectives should be drafted according to the “SMART” format: Specific, Measurable, Action-oriented, Realistic, and Timely/time-sensitive.

• Operational period objectives shall form the basis of strategies and tactics developed and employed by the Operations Section Chief(s). The Ops Section chiefs shall work with the logistics section chief to order resources to accomplish the objectives.

Incident Documentation Each incident requiring the activation of an incident management team shall be documented as follows:

• The RC/UC shall ensure that incident objectives are recorded on an ICS Form for every operational period. The forms shall be the responsibility of the Plans Section Chief.

• The Plans Section shall also keep a historical log documenting major events, such as completion of milestones/objectives, news inputs, Command and General Staff decisions, staff meetings, etc. The Historical Log shall be e-mailed or faxed to the Assistant Area Commander for Plans at State Office at the end of each operational period.

• Other documentation may be required due to the nature of the incident. The Plans Section Chief is responsible for all documentation efforts on the regional level.

Strategic Relationships and Dependencies Strategic relationships, partnerships and dependencies are those that are vital to continuity of mission for DFPS, and typically involve interaction to supply material, tools or expertise not contained within the Department; and, cooperation with agencies that have essential responsibilities on which DFPS has an affirmative dependence (e.g., facilities repair, generator supply, etc.). Some examples of strategic relationships and partnerships are:

• Local law enforcement for temporary devolution of investigation responsibilities; • Regional Administrative Services and Texas Facilities Commission for repair of

facilities or relocation to temporary or new permanent facilities for damaged or destroyed offices;

• "Sister Regions" as designated for internal mutual aid; Disaster Plan Page 15 of 27

• Texas Department of Emergency Management for resource allocation and coordination;

• Other Enterprise Departments, particularly those sharing facilities; • Conservatorship families.

Unplanned Outage of Call Receipt/Routing Processes The pre-investigation phase of DFPS call processing can be divided into the sub-phases of call-receipt, information recording, and transmission to the appropriate office. Each of these three sub-phases has an important technology component that expedites our delivery of service. Two of the three phases occur primarily within the State Wide Intake (SWI) section, and the third involves the "handshake" between SWI and field offices. Unplanned outages of information technology equipment can potentially delay service delivery to DFPS clients. For this reason, DFPS strives to maintain redundancy in systems and procedures. A matrix describing the call receipt/transcribing/transmitting process is contained in Appendix D, as well as procedures in the event of unplanned loss of any important component. SCAN (Statewide Communication Access Network) Calls Content and Structure During major events and incidents, a SCAN call will typically be scheduled daily at 12:00 noon, unless otherwise designated. Other calls may be added as necessary, particularly for complex incidents, incidents requiring 24-hour staffing attention, or incidents developing rapidly. SCAN calls will be hosted by the Assistant AC for Planning, and will typically include the following information:

• Updated weather and other information from the SOC • Concise incident briefings (including IAPs and other documentation) • Area Command roles and responsibilities • Policy, direction, and priorities • Conflict resolution procedures • Communication procedures, meeting schedules, etc. • Resource ordering process • Critical resource needs

After Action Reporting (AAR) DFPS has initiated an After-Action Review process with a view toward organizational learning from incidents, as well as recognizing and reinforcing best practices in the aftermath of incidents and events. The Business Continuity and Emergency Management Coordinator will be responsible for the After Action Reporting program. Scope The following event/incident types will trigger an After-Action Review

• Significant damage or destruction of DFPS-managed facilities, or where DFPS is an occupant (any mechanism);

• Significant denial of service or closing of facilities due to unforeseeable circumstances;

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• Significant events/incidents affecting a group of staff or clients; • Any interruption of Tier 1 & 2 Mission-Essential Functions; • Incidents requiring the activation of one or more Incident Management Teams; • Planned tests of critical Support Systems when unexpected problems occur; • Unplanned downtime of more than one hour for Critical Support Systems; • Any other event/incident where an AAR in desirable.

Format All AARs shall address at least the following topics:

• Incident time, date and type; • Narrative of significant events/chronology; • What went well; • Opportunities for improvement; • Recommendations.

Follow-up

• The BCP will maintain a folder on the Share Drive that tracks progress on implementation of all improvements that arise out of the AAR.

• An AAR Improvement Matrix will contain the improvement proposed/accepted, the responsible party, and a due date for completion.

• The BCP will gather an appropriate group of SMEs to write the AAR and to implement follow-up improvement recommendations.

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CONTINUITY OF OPERATIONS PLAN ELEMENTS

Mission-Essential Functions Mission-Essential Functions are identified and discussed in section “Mission Essential Functions/Personnel/Resources.”

Order of Succession Authority

Succession to office is critical in the event DFPS leadership is debilitated or incapable of performing their legal authorized duties, roles, and responsibilities. The following pre-determined orders of succession are designed to allow for an orderly, and pre-defined, transition of leadership within DFPS. Successors to the DFPS Commissioner will serve only until the Executive Commissioner of the HHSC designates a replacement.

Successors of Authority

1. Commissioner, DFPS 2. Chief Operating Officer 3. Chief Financial Officer 4. Assistant Commissioner, Child Protective Services 5. Assistant Commissioner, Adult Protective Services 6. Assistant Commissioner, Child Care Licensing 7. CPS Regional Director, Region 8

Successors to positions other than the Commissioner will be made by the Commissioner or his/her designee.

Delegations of Authority

• The pre-determined delegations of authority specify the positions that will have the authority for making policy determinations and key decisions in an emergency within the areas of responsibility. Delegations of authority take effect when normal channels of direction are disrupted and end when these channels have resumed. The following table identifies, by position, the authorities for making policy determinations and decisions at DFPS state office and other locations. These delegations of authority address specific competency requirements in program and administrative areas needed for effective operations in the event or aftermath of a disaster.

• The successor identified in the table below has the authority to assume responsibility for the assumption of the area of responsibility in the event of the absence or incapacitation of the lead position title until a permanent successor is named.

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• DFPS personnel, commensurate with their positional and incident management responsibilities, maintain discretion when discharging their duties under this plan.

Devolution Devolution planning addresses DFPS' capability to transfer statutory authority and responsibility for essential functions from primary operating staff and/or facilities to other employees or facilities. It also identifies external dependencies for making the transfer of location or responsibility. Devolution typically embraces four potential scenarios:

• Allows the agency to transfer all of its essential functions and responsibilities to personnel at a different location.

• Provides for devolving statutory authority temporarily to an outside agency (e.g., law enforcement).

• Allows for decentralization of Department authority to 11 regional offices under extreme conditions.

• Anticipates relocation of offices following damage to or destruction of facilities.

The following procedures apply to devolution in major incidents: • There may be circumstances where, in association with an emergency,

personnel are evacuated from one area of the state to another to avoid danger (e.g., hurricanes with mandatory evacuations). In these instances, alternative arrangements for coverage of Priority 1 and Priority 2 calls may be made by cooperating regional offices until workers are able to return. This application of internal mutual aid by "sister regions" is an example of when responsibilities for coverage are devolved from one group of personnel to another in a different location. Typically, this arrangement would be made necessary only when workers suffer personal damage to their homes and are not able to timely return from evacuation.

• In the event it is necessary to evacuate workers from one part of the state to another and conditions are such that internal mutual aid is impractical or will be

• Lead Position Title • Area of Responsibility • Successor

• Commissioner • Administration • Chief Operating Officer

• Chief Operating Officer • Operations • Director of Program Support

• Chief Financial Officer • Budget and Finance • Budget Director • Assistant

Commissioner • Child Protective

Services • Regional Director,

Region 8 • Assistant

Commissioner • Adult Protective

Services • Regional Director,

Region 8

• Assistant Commissioner • Child Care Licensing

• District Director, South Texas District

• Division Director • Statewide Intake • SWI Operations Manager

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substantially delayed, DFPS may devolve its responsibilities to investigate high priority calls where there are reports of neglect or abuse to law enforcement for initial investigation. o The Regional Directors/District Director acting as the Unified Command Team

shall be responsible for ensuring that the law enforcement jurisdiction(s) in the evacuated county are made aware through official notification that DFPS is devolving call response/investigation, including the time and date of the beginning of devolution of responsibilities.

o The Unified Command Team shall notify the on-duty supervisor at Statewide Intake of the devolution of responsibilities and the counties affected. The on-duty supervisor shall ensure notification of the Director of Statewide Intake and the Chief Operations Officer.

o DFPS shall reinstate normal response when sufficient personnel have returned, or emergency conditions improve to the degree that personnel may respond in safety.

• Under extreme conditions and the loss of State Office, State Office authority may be decentralized and devolved to the Regional and District Directors statewide. Regional Directors will be responsible for continuing or re-establishing mission-essential functions in coordination with other regions until such time as reconstitution of State Office can occur.

• The most common form of devolution occurs when a local office suffers major damage or destruction. Devolution to new facilities may be temporary or permanent. Devolving facilities will typically involve cooperation with Regional Administrative Services and/or the Texas Facilities Commission. It may involve moving to a newly-acquired facility, or temporarily sharing a facility with another location until repairs can be effected.

Continuity Facilities/Alternate Facility Operations When/If a need arises to devolve operations from one location to another due to damage or destruction of a facility, DFPS Regional Command and State Office will coordinate with the office of the Director of Program Logistics, the Texas Facilities Commission, and HHSC Regional Administrative Services to develop alternatives temporarily and long-term. Vital Files, Records, and Databases DFPS will maintain vital files, records, and databases necessary to perform essential functions and activities and to reconstitute normal operations after the emergency ceases. Vital records have been identified on the agency approved Records Retention Schedule. There are three categories of records to be reviewed and prioritized, then transferred (either hard copy or electronic media) to an alternate location:

• Clients case files; • Legal/financial records; and, • Any other vital files, records, and databases deemed to be necessary to be

used to perform mission critical activities.

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Procedures for caring for wet/damaged paper records may be found at on the Records Management Web site. Note: It is important to remember that restoration of wet paper records MUST begin within 72 hours if at all possible. Also, paper records, including case files, should NEVER be left on the floor; and, in the event of a foreseeable emergency (e.g., approaching hurricane or strong storm) records stored in individual offices/cubicles should be kept in a manner that best protects them from damage and exposure. Human Capital There are many emergency incidents that may affect the availability of DFPS to maintain MEFs due to the shortage of personnel, including:

• Multiple incidents or a single incident with multiple sites requiring many resources;

• An incident that affects local personnel so that extra-local personnel must be brought in to backfill or assist with the workload (e.g., a weather event that damages local workers’ personal property);

• A major incident that necessitates mandatory evacuation of a county or other political jurisdiction (e.g., major hurricane);

• A diffuse incident that affects personnel regionally or state-wide to cause wide-spread shortages (e.g., pandemic flu);

• A complex single site incident requiring many resources (e.g., mass child removal operation).

Human capital shortages are generally handled on a case-by-case basis, and often with the activation of internal mutual aid. Some potential DFPS actions to meet human capital shortages are:

• “Sister region” coverage • Temporary reassignment • Temporary transfer • Permanent transfer

Inter-regional coverage of human capital shortages—including travel logistics—will generally be coordinated by/through the Area Command Team at State Office.

When personnel are ordered to evacuate by the County Judge, or other official having jurisdiction, the Regional Commander/Unified Command (RC/UC) shall designate post-incident contact procedures. The RC/UC shall designate when, where, and/or how staff should check in following the passing of the emergency to receive further instructions. If possible, the RC/UC should compile a roster of personnel evacuating, their planned evacuation destination, and a contact phone number(s). Interoperable Communications The success of DFPS operations at an alternate facility is dependent upon the available and redundancy of critical communication systems to support connectivity to internal organizations, other state and federal entities, critical stakeholders and the public. DFPS’ interoperable communication objectives are to provide:

• Capability commensurate with DFPS’ mission critical activities;

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• Ability to communicate with essential agency personnel, obtain critical data, and access other organizational components;

• Ability to communicate with other agencies and emergency personnel; and, • Access to other data and systems necessary to conduct mission critical activities.

The following communication options have been identified and developed to allow DFPS to take maximum advantage of the spectrum of communications media likely to be available in any emergency situation. These services may include, but are not limited to the following:

• GotoMyPC services • Blackberries • Cellular phone communications • Message One Capability • Laptops, with or without soft phones • Internet and intranet webpages

Test, Training, and Exercises The objectives for the tests are to undertake a thorough and rigorous testing of the business recovery process, including the simulation of a disruptive event, which produces results which can be measured and evaluated together with feedback to allow the COOP to be enhanced and streamlined. The scope of the tests is to be carried out in a comprehensive and exhaustive manner so that all aspects of the plan may be tested. The tests should be contributed to, in a significant manner, by all business and support units within the organization. The tests will include recovery of all aspects of the Business Recovery Activities section of the COOP including IT systems recovery. In order to ensure consistency of the testing process throughout the organization, members of the Continuity of Operations Team should assist in coordinating the testing process within each business unit across the agency. Each business process should be thoroughly tested and the coordinator should ensure that each business unit observes the necessary rules associated with ensuring that the testing process is carried out within a realistic environment. At the completion of each test feedback will be provided to each participating business unit. All persons serving on regional or state office incident management teams will have complete Incident Command System Training through (at least) the ICS 300/400 level. The BCP will be responsible for conducting periodic refresher training for teams, as well as ensuring training when new members are appointed. Training and exercises in Incident Command procedures will be provided semi-annually to regional teams. Generally, training and exercises will be conducted in early spring (prior to hurricane season) and again in the fall. The Business Continuity Planner will design and lead training and exercise sessions for regional teams. Reconstitution

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Reconstitution procedures will commence when the Incident Commander or other authorized person ascertains that the emergency situation has ended and is unlikely to recur. Once the appropriate person has made this determination in coordination with other authorities, one or a combination of the following options may be implemented, depending on the situation.

• Continue to operate from the alternate site location with support, if necessary. • Begin an orderly return to the Headquarters and reconstitute from remaining or

other resources. • Begin to establish a reconstituted office in some other facility as identified with

assistance from the Director of Program Support and coordinated efforts with HHSC Facilities and Leasing.

Upon the decision of the Commissioner or other authorized person that the Headquarters can be re-occupied or that a different facility will be established as a new location. Working in partnership with Regional Administrative Services:

• The facility manager, will oversee the orderly transition of all functions, personnel, equipment, and records from the alternate site location to a new or restored facility.

• Prior to relocating to the current Headquarters or another building, Facility Management will conduct appropriate security, safety, and health assessments for suitability.

• When the necessary equipment and documents are in place at the new or restored headquarters facility, the staff remaining at the alternate site location will transfer mission critical activities and resume normal operations.

Multi-Year Strategy and Program Management Plan The continuity of operations plan is dynamic and only part of an overall DFPS Business Continuity Program. The plan should be modified as significant changes occur to our ability to respond, our facilities or organizational structure. As part of the review cycle, the COOP plans, policies, and procedures will be reviewed at least annually. Additional reviews should be undertaken following each exercise and the testing of major systems. Any issues identified in training may trigger a plan review. Most major issues affecting the COOP plan will result from lessons learned from exercises. Other sources of information for identifying major issues could come from:

• Presidential Directive, and state and local ordinances or directives, as appropriate.

• Direction from agency leadership. • Policy or mission changes. • Changes in technology or office systems. • Changing customer needs.

Long-term plan maintenance will be undertaken carefully, planned for in advance, and completed according to an established schedule.

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Disaster Plan Update DFPS has initiated its annual review of its emergency planning practices; and, for this iteration the former Business Continuity Plan has been expanded into four industry-standard divisions:

• Emergency Operations Plan • Functional Annexes • Hazard-Specific Annexes • Appendices

This has been a six-month effort that is currently in the final approval process with a target approval date of October 31, 2014. DFPS' current initial strategy in any disaster/emergency includes the following for locating staff and conservator shop clients in disasters. These strategies are documented in the following location in the new revision of the DFPS Emergency Operation Plan. Current practice calls for DFPS to initiate a series of telephone contacts with conservatorship families. Caseworkers are responsible to make contact with their assigned clients and report their welfare to their supervisors. The result of these contacts is included in the DFPS common operating picture report submitted to DFPS/HHS Executive Leadership. DFPS tracking of client welfare begins well before the incident for those for which notice can be given. For example, a hurricane headed for the Texas Coast would trigger pre-landfall telephone contact between caseworkers and clients to ensure awareness and urge foster families to review their required emergency evacuation plans. Once a mandatory evacuation notice is issued, the calls are repeated and clients are tracked through the evacuation process until they return home post-incident. For example, in one recent minor hurricane that made landfall in northern Mexico (but impacted DFPS Region 11--South Texas), DFPS caseworkers documented over 100 hours of telephone tracking activities. As a postscript, DSFPS is currently in the bid process for a mass notification system to improve the efficiency of the contact process. The proposed system will initiate two-way contact between the Department and families through multiple media, such as cellular phone, landline phone, e-mail, and text messaging. The objective is to improve efficiency and facilitate the communication process between caseworker and clients. A second objective is to improve the two-way communication process with employees in disasters. DFPS hopes to have the Request for Proposal (RFP) process completed and the mass communication system installed and operational in FY2015. The DFPS emergency management system recognizes a bifurcated mission in disaster circumstances (for expanded explanation, see EOP, XI.B. Concept of Operations/Bifurcated Mission, pg. 26):

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1. Deal with the effects of the disaster on facilities, processes, information technology, safety and security, vital records, etc.

2. Continue to respond and manage the business of protecting the unprotected; that is, both initiating new investigations and managing current cases.

DFPS has established the following Tier 1 Mission-Essential Functions with a targeted timeline goal of NO GREATER than 8 hours of service interruption:

Tier 1 MEFs (Core Services & Support) • Receive APS, CPS, CCL and RCCL Priority 1 referrals and transmit to the

appropriate local office for screening (ESF); • Investigate/take appropriate action where there is immediate danger

regarding abuse or neglect of children (MEF); • Investigate/take appropriate action where there is immediate danger

regarding abuse or neglect of older adults and persons with disabilities (MEF);

• Initiate a welfare check of children in DFPS Conservatorship and FBSS following an emergency (MEF);

• Investigate/take appropriate action where there is immediate danger regarding child or adult facility-based complaints (MEF);

• Provide financial resources to support Tier 1 MEFs (ESF). Though not explicitly stated, DFPS does not differentiate between initial investigation and on-going casework for the purposes of emergency and disaster circumstances. Toward this end, DFPS has adapted standard incident management organizational structures (Incident Command System) to include a Program Operations Section Chief whose responsibility it is to manage the continued day-to-day caseloads while the Regional Director and the balance of the Incident Management Team (IMT) dedicate focused attention to incident recovery and restoration of normalcy. The regional Program Operations Section Chief leadership is supplemented by an Assistant Area Commander for Program Operations (AACPO) for each of the Client Programs plus Statewide Intake. The AACPO's responsibility is to facilitate and routine continuity of mission activities, and balance mission-essential resources (e.g., personnel) through an internal mutual aid system should a critical shortage occur anywhere in the state. DFPS recognizes (in agreement with the National Incident Management System, or NIMS) that incidents are best managed locally; therefore, the DFPS Incident Management System establishes, trains, and exercises 10 Regional Incident Management Teams led by either single command or a unified command arrangement with all programs participating. For a "with-notice incident" Regional Incident Commanders are urged to communicate with the personnel in their region prior to an evacuation and communicate two pieces of information:

• The location and contact information for the regional Incident Command Post; and,

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• Their expectations concerning when and how to establish contact and report their availability following an incident.

In addition to this region-specific information, and for "no-notice incidents," personnel are given instruction to call the State of Texas 888-TEXRING (1-888-839-7464) phone number for general information concerning office closings. Failing these contacts, regional personnel may check in with state office in Austin to get or report disaster information. The Vital Records Section has been expanded in the recently-completed annual revision (and in this case, general re-write and formatting) of the DFPS Emergency Operations Plan. The DFPS Incident Management System was activated in April, 2013 for the West, Texas Fertilizer Plant Explosion. DFPS Region 7 activated its Incident Management Team in Waco, TX to provide assistance and information to local residents. One child placed with grandparents suffered a severe eye injury from flying glass, as did both grandparents. All three were transported to Dallas Parkland Hospital for treatment. The Incident Management Team remained activated for three days, and then for an additional two days on decreased capability. DFPS participated in the Health and Human Service Commission After Action Report (the DFPS Business Continuity Planner/Emergency Manager authored the report). Based on the experience in West, improvements were made to incident command team training and requirements. Other than West, there have been no team activations. However, DFPS continues an annual program of team and policy group exercising. For example, the CY2013 exercise was a protracted electrical grid outage; the CY 2014 exercise was a tabletop of a caseworker homicide and active shooter problem. Program leadership determined to leave Runaway Hotline re-instatement at the Tier 3 level; however, every effort will be made to exceed the 10-day target timeline for Tier 3 incidents. Statewide Intake has four FTEs on-staff full time for this service, supplemented by volunteers. Leadership's rationale was that the full-time staff persons can most likely be used to initially reestablish the hotlines (at least part-time) and resume full service as volunteers become available. DFPS is actively engaged with the current efforts in unaccompanied children's issues, particularly with regard to cross-border migration. DFPS is not currently considered the lead agency for family reunification; however, the Department recently participated in the revision of the Mass Care Annex to the State Emergency Operations Plan with the Texas Department of Emergency Management, and is listed in the Annex as a resource agency for unaccompanied children. DFPS is open to expanding emergency plans for unaccompanied children and family reunification should the Department be tasked with this mission. DFPS has participated in discussions and voluntary efforts to establish a taskforce for children in disasters with ACF Region 6 and others. The efforts are on-going. In

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addition, The DFPS Business Continuity/Emergency Management Coordinator developed a proposed set of task force goals and objectives that is currently pending. He also serves on the Children in Disasters Caucus of the International Association of Emergency Managers, and has been asked to co-present a workshop on this topic at the IAEM Convention in San Antonio in November 2014.

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