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Continuity of Operations Planning

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Title: Continuity of Operations Planning


1
Continuity of Operations Planning
  • Nick Crossley, CEM, ABCP
  • Johnson County (KS)
  • Office of Emergency Management Homeland Security

2
Credentials / Education
  • Certified Emergency Manager (CEM) International
    Association of Emergency Managers
  • Kansas Certified Emergency Manager (KCEM)
    Kansas Emergency Management Association
  • Associate Business Continuity Planning (ABCP)
    Disaster Recovery Institute International
  • Masters Degree Social Work (UM)
  • Bachelors Degree History/Secondary Education
    (AR)

3
Background
  • 6 years Emergency Management Experience
    (Assistant Director)
  • Adjunct Instructor University of MO Graduate
    School of Social Work Central Missouri State
    University Park University
  • President Partnership for Emergency Planning
  • Secretary Kansas Emergency Management
    Association Board of Directors
  • Vice-Chair Metropolitan Emergency Managers
    Committee (MARC)

4
What is COOP?
  • Continuity Of Operations Planning is exactly as
    it sounds - planning to continue operations in
    the event local government operations are
    impacted by a disaster. Many local governments
    have invested considerable time and effort in
    planning for external emergencies. Internally
    however, there are plans that need to be
    developed so that local government can continue
    in the business of government in the event its
    employees, buildings and/or services are impacted
    by natural disasters (such as tornadoes) or man
    made disasters (such as terrorism, IT failure or
    a fire).

5
Why COOP?
  • COOP planning facilitates the performance of
    department/jurisdiction essential functions
    during an emergency situation that disrupts
    normal operations, and it provides for the
    resumption of normal operations once the
    emergency has ended.

6
Inside a COOP
  • State organizations policy regarding continuity
    of operations, including the reasons for
    developing a COOP capability, the major
    components of an adequate capability, and the
    general standards for implementation
  • Define specific objectives for COOP as they
    relate to the organizations mission and the
    functions it performs

7
Inside a COOP
  • Describe the organizations overall approach for
    maintaining essential functions during an
    emergency
  • Identify the emergency roles and responsibilities
    of organizations and positions
  • Establish or clarify orders of succession to key
    positions and specify arrangements for
    pre-delegation of authority for making policy
    determinations and decisions

8
Inside a COOP
  • Identify and prioritize the organizations
    essential functions and denote staffing and
    resource requirements for each
  • Specify measures to ensure the protection of all
    vital records, databases, and information systems
    needed to support the organizations essential
    functions
  • Designate alternate operating facilities capable
    of immediately supporting the performance of
    essential functions under various threat
    conditions
  • Prepare for the emergency relocation of COOP
    contingency staffs to the alternate facilities

9
Inside a COOP
  • State interoperable communications requirements
    for the alternate facility to ensure the
    availability and redundancy of critical
    communications systems
  • Provide a basis for training COOP participants,
    testing equipment, and conducting exercises to
    evaluate specific aspects of COOP plans,
    policies, procedures, systems, and facilities
    and
  • Establish a multi-year strategy and program
    management plan for developing and maintaining
    COOP capabilities.

10
COOP Goals Objectives
  • COOP planning aims to provide a program with the
    following characteristics
  • Capable of being maintained at a high level of
    readiness
  • Capable of implementation with or without
    warning
  • Able to achieve operational status no later than
    12 hours after activation
  • Able to sustain operations for up to 30 days
  • and, takes maximum advantage of existing
    department or jurisdiction field infrastructures

11
All Hazards Planning
  • COOP planning is applicable to a wide range of
    potential emergencies or threats, including
    natural disasters, accidents, technological
    failures, workplace violence, and emergencies
    related to foreign or domestic acts of
    aggression. Some of these hazards may produce
    emergencies that render a single facility
    unusable for a period of time. Others may result
    in more severe and widespread emergencies.

12
Steps in COOP
  • Planners initiate the planning process by
    studying and documenting the background factors
    that will influence how the organization prepares
    for COOP.
  • Planners engage in the important task of
    identifying and documenting the organizations
    essential operations, functions, and
    responsibilities.

13
Steps in COOP
  • Planners develop the basic plan for COOP.
  • Procedures are developed to ensure appropriate
    and timely execution of the COOP plan during an
    emergency.
  • Planners address measures to ensure that the
    organization maintains its readiness for COOP.

14
Planning Participants
  • To get started, appoint a COOP planning lead or
    director. Examples of responsibilities include
  • Develop COOP Multi-Year Strategy Program Mgmt.
    Plan
  • Develop, approve, and maintain agency COOP plans
    for all components of the department or
    jurisdiction
  • Coordinate COOP planning efforts and initiatives
    with policies, plans, and activities related to
    critical infrastructure protection
  • Train the organizations staff for their COOP
    responsibilities
  • Participate in periodic COOP exercises
  • Notify appropriate outside parties (e.g., the
    county/state) when COOP plans are activated.
  • Maintain close coordination b/w jurisdiction
    executives planning team.

15
I. Initiate Planning Process
  • Subsections of the plan initiation process
  • COOP Authorities
  • References
  • Planning Assumptions
  • Concept of Operations
  • Disaster or Business Impact Analysis

16
COOP Authorities/References
  • Organizations authority to engage in COOP
    planning
  • Charter documents that establish a local unit of
    government and may require or imply the
    responsibility to provide mandated services
    during emergencies
  • Plans adopted by the local executive or
    legislative branches (such as emergency
    management plans or comprehensive development
    plans) that call for COOP planning
  • Resolutions adopted by local legislative bodies
    requiring or authorizing the preparation of COOP
    plans.

17
Legal Authority
  • The COOP plan should acknowledge the documents
    that provide legal authority for the plan and
    should briefly summarize the scope and
    limitations of that authority.
  • Example In accordance with KSA 48-929,
    responsibility for emergency management and
    emergency operations planning resides with the
    county.

18
Legal Authority
  • Example Johnson County Resolution 064-95 as
    amended by Resolution 023-03. Establishes a
    disaster agency responsible for emergency
    management and coordination of response to
    disaster emergencies in the county, defines the
    responsibilities and powers of county officials,
    provides for the appointment of a county
    emergency management director and outlines the
    responsibilities and functions of the Johnson
    County Emergency Management and Homeland Security
    (JCEMHS) department.

19
Plan Assumptions
  • In order to plan for future emergency operations,
    planners must make assumptions about what the
    state of that environment will be at the time of
    an emergency. Some of these assumptions concern
    the physical environment others concern the
    operational environment of the government.

20
Plan Assumptions
  • General Areas of Assumptions Include
  • Business Operations
  • Hazards Threats
  • Information Systems

21
Concept of Operations
  • The concept of operations should state the
    organizations mission for COOP and list its
    objectives for operations during emergency
    periods.
  • An effective concept of operations describes the
    three stages of COOP plan execution activation,
    operation, and termination.

22
Disaster Impact Analysis
  • Disaster Impact Analysis provides a systematic
    approach for evaluating such potential
    disruptions and the risks they pose. It examines
    the ways in which a disaster might disrupt the
    organizations operations, the impact such
    disruptions might have, and the ways they can be
    avoided or minimized.

23
Disaster Impact Analysis
  • The Disaster Impact Analysis consists of five
    basic elements
  • Asset identification,
  • Hazard identification,
  • Vulnerability assessment,
  • Impact analysis, and
  • Risk assessment

24
II. Identify Essential Functions, Operations
Responsibilities
  • The basic goal of COOP is to continue performing
    essential functions during an emergency, a
    crucial step in the planning effort is to decide
    what those functions are and which personnel are
    responsible for performing them.

25
Essential Functions Operations
  • Identify all functions performed by the
    organization, then determine which must be
    continued under all circumstances
  • Prioritize these essential functions and
  • Define the time-phase requirements of the
    essential functions that is, the time periods
    during the emergency when each function must be
    performed.

26
Examples
  • Emergency Management
  • Law Enforcement
  • Fire Protection
  • Administration
  • Public Works
  • Public Health

27
Essential Responsibilities
  • In order to continue providing essential
    functions in an emergency, certain management and
    administrative responsibilities must be met.
  • This is true for the organization as a whole and
    within each identified critical and non-critical
    function.

28
III. Developing the COOP Plan
  • Activities to be performed in this step include
  • Document decisions that will ensure the
    continuity of government during an emergency
  • Identify key personnel required to perform
    essential functions
  • Develop measures and procedures to protect vital
    records, databases, systems, and equipment and
  • Identify, evaluating, and preparing alternate
    facilities or work sites for the organizations
    use in emergency situations.

29
Continuity of Government
  • Delegation of Authority
  • Local jurisdictions should pre-delegate policy
    and decision-making authority to the chief
    elected official, local departments, and other
    organizational locations as appropriate.

30
Continuity of Government
  • Order of Succession
  • Jurisdictions improve their ability to perform
    essential functions in an emergency by
    establishing, promulgating, and maintaining
    orders of succession to key positions.

31
Key Staff for Essential Functions Operations
  • Based on the departments or jurisdictions list
    of essential operations and functions, decisions
    can be made regarding the staff that will be
    required to perform essential functions and
    operations during an emergency.

32
Vital Records, Databases, Systems, Equipment
  • COOP plans should account for identification and
    protection of vital records, systems, data
    management software, and equipment (including
    classified or sensitive data) that are needed to
    perform essential functions and activities and to
    reconstitute normal agency operations following
    an emergency.

33
Alternate Facilities/Work Sites
  • A critical element in COOP planning is the
    identification and preparation of facilities that
    can be used to accomplish essential functions if
    the organizations primary facilities become
    unusable.

34
Alternate Facilities/Work Sites
  • Issues to consider include
  • Basic Space and Equipment Requirements
  • Interoperable Communications
  • Security and Access

35
Public Information Media Relations
  • An important consideration in COOP planning is
    working with the news media. The media play an
    important role in disseminating information to
    the public however, great care must be taken in
    managing contacts with the media to avoid the
    spread of misinformation and unfounded rumors.

36
IV. Preparing for Implementation of the COOP Plan
  • By definition, the COOP plan will be implemented
    at a time of disruption, when agency personnel
    are dealing with a stressful, unfamiliar, and
    uncertain situation. It is crucial that plans and
    procedures be in place to guide their actions at
    this time.

37
Three Phases of COOP Operations
  • Activation and relocation
  • Alternate facility operations
  • Termination and return to normal operations.

38
COOP Activation
  • Each organization develop an executive decision
    process and procedures that will allow for a
    review of each emergency situation and a
    determination of the best course of action for
    response and recovery.

39
Activation Procedures
  • The decision process should recognize that some
    emergency situations allow ample time for careful
    analysis, while other situations will occur
    without warning and require immediate action
    based on pre-determined procedures. The decision
    process should also support activation of the
    COOP during both duty hours and non-duty hours.

40
Activation Process
  • The decision process procedures for COOP
    activation should encompass the following
    functions
  • Command
  • Planning
  • Operations
  • Logistics
  • Finance
  • Administration
  • Legal

41
Relocation Plan
  • Key issues to address in relocation planning
    include
  • Personnel notification,
  • Deployment of key personnel to the alternate
    facility(ies),
  • Transition of operations to the alternate
    facilities, and
  • Provision of administrative and logistic support.

42
Relocation Plan Personnel Notification
  • The first step in implementing a relocation is to
    notify all pertinent parties that the COOP plan
    is being activated and that essential operations
    are being transferred to the alternate
    facility(ies).
  • Pre-established notification procedures can help
    ensure that all parties are contacted and that
    they receive accurate and complete information
    about the relocation.

43
Relocation Plan COOP Team Deployment
  • Written procedures to guide the deployment
    process will reduce stress make sure that no
    important concerns are overlooked during the
    disruption of normal operations.
  • These procedures should specify the actions key
    personnel should take as they depart as well as
    the resources they should take with them to the
    alternate facility.
  • They should also address transfer of documents
    and needed communications, data processing, and
    other equipment.

44
Relocation Plan Transition to Alternate
Facilities
  • Written procedures to guide key personnel through
    the process of stopping operations at the primary
    facility and then resuming essential operations
    at an alternate facility will minimize
    organizational instability and result in quicker
    COOP implementation.

45
Relocation Plan Administrative Logistics
Support
  • Written procedures should be developed that
  • Notify the alternate facility manager to ready
    the site for operations
  • Assemble necessary documents equipment required
    for essential operations at the alternate
    facility
  • Order equipment/supplies, if not already in
    place and
  • Continue essential operations at the normal
    operating facility, if available, until the
    alternate facility is operational.

46
COOP Drive-Away Kits
  • Drive-away kits are packages of records,
    information, communication, and computer
    equipment and other items or material related to
    an emergency operation to be used by those
    deployed to alternate facilities.

47
Alternate Facility Operations
  • Well-designed operating procedures developed
    during COOP planning will enhance the
    organizations ability to function effectively in
    its alternate facility however, the specific
    procedures needed will vary.

48
Alternate Facility Operations
  • Alternate facility operating procedures should
    address the following issues
  • Execution of mission-essential functions
  • Establishment of lines of communications
  • Assignment of responsibilities to key staff
  • Augmentation of staff
  • Amplification of guidance to essential
    non-essential personnel
  • Development of plans schedules for
    reconstitution termination

49
Termination Return to Normal Operations
  • Procedures for returning to normal operations at
    the primary facility when the emergency is over
    should be developed in advance.

50
Termination Return to Normal Operations
  • Jurisdictions prepare procedures to guide the
    return to normalcy and that the procedures
    address the following topics
  • Concept of Operations guidance policy for
    ending alternate operations returning to
    non-emergency status.
  • Termination procedures - should manage an orderly
    return to the normal operating facility or
    movement to another temporary or permanent
    facility.
  • After-action review and remedial action plans to
    guide the assessment of all phases elements of
    the alternate operations provide specific
    recommendations to correct any areas of concern.

51
Restoration Recovery Resources
  • A disaster may cause significant damage to a
    jurisdictions primary facilities or assets
    (roads/buildings/etc.). For this reason,
    jurisdictions must identify potential sources for
    recovery resources. This includes local, state
    and federal.
  • Primary federal source Public Assistance
    Program.

52
V. Maintaining COOP Readiness
  • The planning team should establish a program to
    maintain the COOP capability. Major components of
    this program are the
  • Training of all key personnel in the performance
    of their COOP responsibilities
  • The conducting of periodic exercises to test and
    improve COOP plans and procedures, systems, and
    equipment and
  • The institution of a multi-year process to ensure
    the plan continues to be updated in response to
    changing conditions.

53
Maintaining COOP Readiness Training
  • All personnel with responsibilities in COOP
    activities should be trained, cross-trained
    equipped to perform duties.
  • Effective COOP training plans will provide for
    the following
  • Individual and team training of COOP team members
    and emergency personnel
  • Refresher orientation for the COOP team
  • Training courses and materials designed to
    improve knowledge and skills

54
Testing and Exercises
  • Testing and exercising of COOP capabilities are
    essential to demonstrating and improving the
    ability of organizations to execute their COOP
    plans. They validate, or identify for subsequent
    correction, specific aspects of COOP plans,
    policies, procedures, systems, and facilities.
    Periodic testing also helps ensure that equipment
    and procedures are maintained in a constant state
    of readiness.

55
Testing and Exercises
  • It is recommended that testing and exercise plans
    for COOP provide for the following elements
  • Internal testing/exercising of COOP plans and
    procedures at least annually to ensure the
    ability to perform essential functions and
    operate from designated alternate facility(ies)
  • Testing of alert and notification procedures
    systems for any type of emergency at least
    quarterly
  • Joint departmental or jurisdictional exercising
    of COOP plans, where applicable and feasible.

56
Multi-Year Strategy Program for Plan
Maintenance
  • To ensure that COOP plans always reflect current
    organizational conditions, they should be
    reviewed as part of the training and exercise
    program. Changes in an agencys organizational
    structure, functions or mission, and service to
    clients should be made to the plan as they occur.

57
Multi-Year Strategy Program for Plan
Maintenance
  • Major issues to be considered include
  • Designation of a review team
  • Identification of items or issues that will
    impact the frequency of changes required to the
    COOP plan and
  • Establishment of a review cycle.

58
Multi-Year Strategy Program for Plan
Maintenance
  • Suggested responsibilities of the COOP Review
    Team include
  • Maintain overall plan currency and readiness
  • Address and resolve COOP plan policy issues
  • Advise the head of the department or jurisdiction
    on COOP-related matters
  • Coordinate among related plans
  • Conduct training, testing, and exercises and
  • Update plans annually to incorporate lessons
    learned.

59
Conclusion
  • Planning must be
  • Realistic
  • Viable
  • Cost effective
  • Uncomplicated yet thorough

60
Conclusion
  • QUESTIONS??
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