Be the Change Continuity of Operations Planning 2011

Be the Change.

Continuity of Operations Planning 2011 AIRS Conference Dearborn, Michigan Lee W. Foster, MS Vice President Information & Disaster Management Hands. On Central Ohio

Outline This training is typically divided into 10 Modules Module 1: Principles of COOP Module 2: Essential Functions Module 3: Human Capital Management Module 4: Delegations of Authority Module 5: Vital Records Module 6: Alternate Sites Module 7: Communications Module 8: Reconstitution & Devolution Module 9: Writing a COOP Plan Module 10: Training & Exercising

Module 1: Principles of COOP Module Objectives: Define COOP and differentiate between COOP and other emergency plans Identify the goals of COOP planning Identify the initial tasks and personnel responsible for COOP planning.

Principles of COOP The key to COOP planning is to be sure it addresses “All Hazards” What are some of the Hazards you may face? Floods Severe Winter Storms (snow/ice) Earthquakes Terrorism Wildfires Infectious Diseases Tornadoes/Hurricanes

Principles of COOP 8 Principles of COOP Essential Functions Human Capital & Key Personnel Delegations of Authority & Succession Vital Records Alternate Facilities Communications Reconstitution & Devolution Tests, Training & Exercises

Principles of COOP Without a COOP plan, agencies cannot function and provide essential functions Good public relations Consistency of services COOP planning is just good business practices

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

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

Principles of COOP plans should: Be operational no later than 12 hours after activation Be able to maintain sustained operations for at least 30 days.

Principles of COOP 7 phases of COOP development COOP Program initiation Identification of functional requirements Plan design and implementation Program implementation Tests, Training and Exercises (TT&E) Plan revision and updating Plan execution

Module 2: Essential Functions Module Objectives: Define essential functions Identify the sources that specifically define agency functions Identify critical processes and services supporting essential functions Prioritize essential functions

Essential Functions What are essential functions? Must be performed to achieve agency’s mission Provide vital services Maintain safety & well being of citizens Sustain industrial/economical base Should be resumed within 12 hours of disruption Should be sustainable for up to 30 days

Essential Functions 4 steps in identifying essential functions Identify ALL functions Identify essential functions as a subset Determine resource requirements Prioritize essential functions

Essential Functions What are critical processes or services? Tasks that are completed as part of your essential functions Identify early, will make prioritizing essential functions easier. Will assist in defining how narrow or broad to focus your essential functions.

Essential Functions Talking with your staff. There may be some push back from employees if they are initially determined to be in a “nonessential” position. It is important for the COOP Manager to make sure that employees understand essential/non-essential are for emergency operations only.

Module 3: Delegations of Authority Module Objectives: Defining delegation of authority Differentiate between emergency and administrative authority Define orders of succession

Delegations of Authority Emergency vs. Administrative Emergency: The ability to make decisions related to an emergency, such as deciding whether to activate a COOP plan. Administrative: The ability to make decisions that have effects beyond the duration of the emergency.

Delegations of Authority Orders of Succession: Determining successors for each key position that performs essential functions. Succession Triggers Death Emergency Event Incapacitation through illness Abduction Unexplained Disappearance.

Delegations of Authority Succession Planning Considerations: Geographical proximity Organizational proximity Skills Experience Knowledge & Training Personality

Module 4: Vital Records Module Objectives: Distinguish vital records for COOP purposes. Identify key tasks in COOP planning associated with vital records. Defining the RPO.

Vital 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.

Vital Records Emergency & Legal Records Emergency 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.

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

Vital Records What is RPO? Recovery Point Objective (RPO) is the age of the data that an agency wants to recover. For instance, if you back up your data every Friday afternoon, your RPO is 1 week. Obviously, it is recommended that an RPO be 0, meaning that data is backed up in real time.

Vital Records 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.

Module 5: Alternate Sites Module Objectives: Identify factors in selecting an alternate site. Outlining the differences between Hot, Warm and Cold Sites. Discussing the positives and negatives of Telework.

Alternate Sites Selecting an Alternate Site: Location Building Type Space Distance/Transportation Communications Security Lodging/Food Accessibility Cost

Alternate Sites Let’s define a Hot Site A “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.

Alternate Sites 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.

Alternate Sites 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.

Alternate Sites Tele-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 H 1 N 1 outbreak (Social Distancing).

Module 6: Writing the COOP Plan Module Objectives: How to use your provided worksheets Identify appropriate storage for your COOP Plan

Writing the COOP Plan The worksheets that have been provided to you will get you started on thinking about the concepts discussed here today. By no means should an agency consider completed worksheets their COOP planning can take up to a year to complete.

Writing the COOP Plan Storing your COOP plan Should be portable and easily accessible in your primary location. An additional hard copy should be stored off site in a safe, fire/water proof location. Electronic copies should be kept by Senior Management on work computers and backed up on CD’s or Flash Drives.

Module 7: Training & Exercising Module Objectives: Discussing why its important to train and exercise Different types of exercises How to construct your own exercise How to learn from your exercise

Training & 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”.

Training & Exercising A few other points Training 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.

Training & Exercising Types of Exercises Discussion based exercises: Seminars Workshops Table-Top Operations based exercises: Drills Functional Full Scale

Training & Exercising 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)

Training & Exercising Developing a Drill Once you’ve decided to conduct your own exercise, a drill, you will need to make sure your objectives are SMART Simple: Easily understood Measurable: can be gauged against a standard Achievable: challenging, but not impossible Realistic: Plausible for the agency Task Oriented: tied to something you want to improve

Training & Exercising Improvement Planning Once 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.

Training & Exercising Improvement Planning (cont) You’ll want to use the items that need improving and construct your Improvement Plan An 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.

Conclusion 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 Hands. On Central Ohio, for assistance.

Questions/Follow Up Lee Foster, MS Vice President, Information & Disaster Management lfoster@handsoncentralohio. org 614 -221 -6766 x 168