Continuity of Operations Planning (COOP) Presenter: Lee Foster VP, Information & Disaster Mgmt Brought to you by KPMG Foundation

Continuity of Operations Planning(COOP)

Presenter: Lee FosterVP, Information & Disaster

Mgmt

Brought to you by KPMG Foundation

Continuity of Operations PlanningContinuity of Operations Planning

Lee W. Foster, MSVice President,

Information & Disaster Management

HandsOn Central Ohio

OutlineOutlineThis training is typically divided into 10 Modules

Module 1: Principles of COOPModule 2: Essential FunctionsModule 3: Human Capital ManagementModule 4: Delegations of AuthorityModule 5: Vital RecordsModule 6: Alternate SitesModule 7: CommunicationsModule 8: Reconstitution & DevolutionModule 9: Writing a COOP PlanModule 10: Training & Exercising

Principles of COOPPrinciples of COOP

The key to COOP planning is to be sure it addresses “All Hazards”What are some of the Hazards we face?

FloodsSevere Winter Storms (snow/ice)Dam failureTerrorismInfectious DiseasesTornadoes

Source: 2010 Franklin County Emergency Management & Homeland Security Risk Assessment


8 Principles of COOPEssential FunctionsHuman Capital & Key PersonnelDelegations of Authority & SuccessionVital RecordsAlternate FacilitiesCommunicationsReconstitution & DevolutionTests, Training & Exercises


Without a COOP plan, agencies cannot function and provide essential functions

Good public relations

Consistency of services

COOP planning is just good business practices


6 Goals of COOPEnsure timely and orderly continuous performance of essential functions during and after an emergencyProtect facilities, equipment, records and other assets that support essential functions.Reduce or mitigate disruptions to operations


6 Goals of COOP (cont.)Facilitate reconstitution and devolution after an emergencyMinimize loss of life, injury and property damageProvide family support planning for agency personnel during an emergency.


COOP plans should:

Be operational no later than 12 hours after activation

Be able to maintain sustained operations for at least 30 days.


7 phases of COOP developmentCOOP Program initiationIdentification of functional requirementsPlan design and implementationProgram implementationTests, Training and Exercises (TT&E)Plan revision and updatingPlan execution

Essential FunctionsEssential Functions

What are essential functions?Must be performed to achieve agency’s missionProvide vital servicesMaintain safety & well being of citizensSustain industrial/economical baseShould be resumed within 12 hours of disruptionShould be sustainable for up to 30 days

Essential FunctionsEssential Functions

4 steps in identifying essential functions

Identify ALL functionsIdentify essential functions as a subsetDetermine resource requirementsPrioritize essential functions

Vital RecordsVital Records

Definition of Vital Records:

Records, systems and equipment that if irretrievable, lost or damaged will materially impair an organizations ability to carry out essential functions.


Emergency & Legal RecordsEmergency Records: Essential to the continued functioning of an agency during and after an emergency to ensure continuity of operations.Legal: Essential to the protection of the legal and financial rights of an agency and of the individual directly affected by the agency’s activities.


Are those records really vital?

The National Archives and Records Administration estimates no more than 7% of records are vital (likely 3 – 5%).


Building a Vital Record “Go-Kit”:A hard copy of key personnel and disaster staff phone numbers.Vital records inventory with precise locations.Necessary keys or access codes.Maps and blue prints of alternate facilities.Access requirements and sources of equipment necessary to access records.Lists of records recovery experts and vendors.Copy of the agency’s COOP Plan.

Alternate SitesAlternate Sites

Selecting an Alternate Site:LocationBuilding TypeSpaceDistance/TransportationCommunicationsSecurityLodging/FoodAccessibilityCost


Let’s define a Hot SiteA “hot” site is an alternate facility that already has in place the computer, telecommunications, and environmental infrastructure necessary to recover the agency’s essential functions.A hot site is basically like have an exact replica of your original building.


Let’s define a Warm Site:A “warm” site is an alternate work site equipped with some hardware and communications interfaces, as well as electrical and environmental conditioning capable of providing backup after additional software or customization is performed and/or additional equipment is temporarily obtained.


Let’s define a Cold site:A “cold” site is an alternate facility that has the environmental infrastructure necessary to recover essential functions or information systems, but does not have preinstalled computer hardware, or telecommunications equipment. The agency must make arrangements for computer and telecommunications support within 12 hours of COOP activation to make a cold site viable.


Tele-workTele-work is another option for continuing operations if your facility is inaccessible.Tele-work allows employees to work from home during a potential disaster.Became the “go to” method of operations during the 2009 H1N1 outbreak (Social Distancing).

Training & ExercisingTraining & Exercising

Why Bother?It’s important to train and exercise your plan. It helps to verify that the plan works and that staff are familiar with their expectations during COOP operations.By effectively simulating a COOP situation, staff will understand how to react when the plan “fails”.


A few other pointsTraining and exercising provide excellent opportunities to update your plan.

Encourage cross training among departments. “Non-essential” staff could be asked to assist in essential function programs.


Types of ExercisesDiscussion based exercises:

SeminarsWorkshopsTable-Top

Operations based exercises:DrillsFunctionalFull Scale


How can you get involved with Exercises?If you have a function that would aid in the response to an emergency or disaster (sheltering, providing food, medical care) contact you local Emergency Management Agency for more information on how you can become involved.If you want to test your own plan, you can conduct a Drill. (A single agency, testing a single function)


Developing a DrillOnce you’ve decided to conduct your own exercise, a drill, you will need to make sure your objectives are SMART

Simple: Easily understoodMeasurable: can be gauged against a standardAchievable: challenging, but not impossibleRealistic: Plausible for the agencyTask Oriented: tied to something you want to improve


Improvement PlanningOnce you’ve completed your Drill (or real life event) it is important to conduct an After Action Report / Improvement Plan (AAR/IP).In the AAR/IP you will want to list what went well, what needs improving and lessons learned.


Improvement Planning (cont)You’ll want to use the items that need improving and construct your Improvement PlanAn improvement plan is a chart that lays out what was identified as needing improvement, how it will be improved, who is responsible for the improvements and when will the improvements be completed.

ConclusionConclusion

COOP planning is intended to be an extensive process.

Do not rush through your COOP planning, your plan will fail if you do.

Be sure to test your plan whenever possible.

Seek outside resources, like HandsOn Central Ohio, for assistance.

Questions/Follow UpLee Foster, MS

Vice President, Information & Disaster Management

[email protected]

614-221-6766 x 168

Documents

Continuity of Operations Planning (COOP) Presenter: Lee Foster VP, Information & Disaster Mgmt Brought to you by KPMG Foundation