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E ASTERN MICHIGAN UNIVERSITY Continuity of Operations Planning (COOP) Department Training. Jason E. Smith University COOP Coordinator Emergency Management Office 734.487.0799 jsmit242@emich.edu. Objectives.

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E ASTERN MICHIGAN UNIVERSITY Continuity of Operations Planning (COOP) Department Training

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EASTERN MICHIGAN UNIVERSITY

Continuity of Operations Planning (COOP)

Department Training

Jason E. Smith

University COOP Coordinator

Emergency Management Office

734.487.0799

jsmit242@emich.edu


Objectives

  • Identify the EMU interest in and method for developing a COOP program for university departments

  • 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

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What if…

  • A fire is reported in your administration building?

  • A tornado warning is declared for your campus?

  • A water pipe bursts in your data center?

  • Half of your faculty and staff call in sick?

  • A bomb explodes in a classroom?

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COOP

What is it?

  • COOP is an effort within individual departments and agencies to ensure continuity of their essential functions across a wide range of emergencies and events.

    Why is it needed?

  • EMU can be equated to a small community. Each unit, department, college, division and campus contributes to University life.

  • In the event of an emergency, each unit needs to be able to provide uninterrupted basic services to employees, students and visitors.

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Federal Preparedness Circular

  • FPC-65 Guidelines for COOP Capability

    • Should be maintained at a high level of readiness

    • Should be capable of execution both with and without warning

    • Should be operational no later than 12 hours after activation

    • Should maintain sustained operations for up to 30 days

    • Should take maximum advantage of existing infrastructures

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Goals of a COOP Plan

  • 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

  • Facilitate reconstitution and devolution after an emergency

  • Minimize loss of life, injury, and property damage

  • Provide support for university personnel during an emergency

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Emergency Management Tools/Protocols

  • Standard Operating Procedures – Set of instructions having the force of a directive, covering those features of operations that lend themselves to a definite or standardized procedure. Standard operating procedures indicate in detail how a particular task will be carried out.

  • Emergency Operations Plan – Immediate response to threatening event, to minimize harm to people and operations via incident detection, alerts and evacuations.

  • Mitigation – Minimizes exposure to possible adverse events

  • COOP Plans – Minimizes disruptions to operations, especially time critical functions via anticipatory actions

  • Crisis Management – Address all unanticipated and/or unplanned threatening events

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COOP vs. Other Emergency Operating Procedures

  • Emergency Operating Procedures

    • Address only immediate aftermath of an incident

  • IT Recovery Procedures

    • Focus is only on IT/data recovery

  • COOP

    • Addresses immediate aftermath, short-term, and long-term (up to 30 days), with focus on continuing essential business functions

  • COOP

    • Includes all aspects of agency that support essential functions (including vital records, systems, and equipment)

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COOP Program Phases

Phase I:

Planning

Phase II:

Development

Phase III:

Operation

Phase IV:

Execution

  • Needs

  • awareness

  • assessment

  • Advance

  • planning

  • Risk &

  • Vulnerability

  • Assessment

  • COOP Plan

  • Design

  • Plan

  • Construction

  • Plan

  • Testing

  • Plan

  • Implementation

  • Ongoing plan

  • promotion

  • (awareness)

  • Training of key

  • plan

  • participants

  • Plan

  • Maintenance

  • Plan

  • activation

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COOP Program Phases

Recovery Strategies

Business Impact Analysis

Plan Development

Plan Testing

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Unit Responsibilities

  • Appoint a COOP Planning Team consisting of key personnel and two lead coordinators

  • Complete the EMU COOP planning worksheet provided by the EMU Emergency Management Office

  • Develop, approve and maintain COOP Plan with assistance from EMU Emergency Management.

  • Conduct tests, training and exercises of COOP Plan

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COOP Planning Template

  • Designed so users only have to enter Department/Unit specific information

  • Example documents are available through the Emergency Management Office

  • Training and Technical Assistance provided by request from Emergency Management personnel

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Elements of a COOP Plan

  • Plans and Procedures

  • Essential Functions

  • Delegations of Authority

  • Orders of Succession

  • Alternate Facilities

  • Interoperable Communications

  • Vital Records

  • Human Capital

  • TT&E

  • Devolution

  • Reconstitution

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Essential Functions

Essential Functions are those functions that enable an organization to:

  • Provide vital services.

  • Exercise civil authority.

  • Maintain the safety of the general public.

  • Sustain the industrial and economic base.

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Essential Functions

Essential functions:

  • Most important planning element

  • Basis for determining resource requirements:

    • Staff

    • Vital information/critical systems

    • Equipment

    • Supplies and services

    • Facilities

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Essential Functions

Identifying/Prioritizing Essential Functions

  • Agencies must determine functions that must be continued in all circumstances.

  • Essential functions include those that:

    • Cannot be interrupted for 12 hours.

    • Must be resumed within 30 days.

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Essential Functions

Essential functions include all functions:

  • Explicitly assigned by law or order.

  • Determined by the agency head to be essential.

  • That provide vital support to another department or unit.

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Delegations of Authority

  • Identifies which authorities should be delegated & conditions triggering delegation

    • Per essential function

    • Department leadership

  • Types of authority:

    • Emergency

    • Administrative

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Delegations of Authority

  • Steps:

    • Identify which authorities should be delegated

    • Establish rules & procedures addressing

      • Conditions for delegation

      • Method of notification

    • Identify limitations of delegations

    • Identify to whom authorities should be delegated

    • Train personnel to use delegated authority

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Orders of Succession

Orders of Succession are. . .

  • Provisions for the assumption of senior leadership positions during an emergency when. . .

  • The incumbents are unable or unavailable to execute their legal duties.

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Orders of Succession

  • Should be established for:

    • The department leadership

    • Officials down to and including office directors responsible for performing essential functions

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Alternate Facilities

  • Location where a department/work unit can carry out essential functions when primary facilities are inaccessible.

  • Facility should at a minimum:

    • Facilitate essential functions

    • Facilitate logistics to carry out essential functions

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Alternate Facilities

Factors in Selecting an Alternate Facility

  • Location

  • Building type

  • Space requirements

  • Distance/

  • transportation

  • Communications

  • Security

  • Lodging/food for personnel

  • accessibility

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Communications

Interoperability:

  • Ability of communications system to work with other systems or products without special effort on user’s part

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Communications

For each essential functions, which of the following systems are used?

  • Voice lines

  • Fax lines

  • Data lines

  • Cellular phones

  • Pagers

  • E-mail

  • Internet access

  • Instant messenger services

  • PDAs

  • Radio communications

  • other

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Communications

Identify and Implement Preventative Controls to Maintain a Communications System

  • Preventative controls attempt to avoid occurrence of unwanted disruptions such as data loss through power outages, equipment malfunctions and destruction

  • Examples:

    • Uninterruptible power supplies

    • Fire and smoke detectors

    • Gasoline or diesel powered generators

    • Fire suppression systems

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Communications

  • Identify alternate providers for communications systems

  • List alternate modes of communications

    • For example, cell phones could be alternative mode of communication for land lines

  • Establish personnel Call Tree for emergency notification/COOP activation

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Vital Records

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

  • Records/documents which, if damaged, would:

    • Disrupt agency operation & information

    • Cause considerable inconvenience

    • Require replacement or recreation of records at considerable expense

  • Examples:

    • Emergency Operating Records

    • Legal and Financial Records

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Vital Records

  • Form:

    • Electronic vs. paper

  • Category

    • EOP’s vs. Legal and Financial records

  • Type:

    • Static vs. Dynamic

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Human Capital

Management of sum of talent, energy, knowledge and enthusiasm that people invest in their work

  • Right people in the right place

  • Increased employee flexibility

  • Alternate assignments for non-essential employees

  • Clear understanding of what to do in the event of an emergency

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Reconstitution

  • Process by which personnel resume normal operations at original or replacement primary operating facility.

    • Reconstitution teams/personnel

    • Salvage resources and equipment

    • Plan in place to move from COOP site (alternate facility)

    • Defined procedures necessary for transition

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Devolution

  • Capability to transfer statutory authority and responsibility for essential functions from agency’s primary operating staff and facilities to other employees and facilities

    • Worst case scenario

    • Prioritized essential functions

    • Potential triggers

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Tests, Training and Exercises

  • Department staff knows their role following a COOP plan activation

  • Clarify where COOP plan may require revision

  • Familiarity with alert, notification, and deployment procedures

  • Ensures agency employees are familiar with reconstitution proceedings

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COOP

Questions?

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