COOP: C ontinuity O f O perations P lanning

1. COOP: Continuity Of Operations Planning John Sheppard Peggy Ward Department of General Services DGS/DPS 2004

2. COOP Workshop Objective • Provide Procurement Professionals with Knowledge, Tools, and Practical Guidance on how to plan for continuing operations in the event of an emergency. DGS/DPS 2004

3. WHAT IS COOP? • “COOP” = Continuity of Operations Plan • COOP Objective: • to plan, to the extent practical, for continuation of critical operations in the event of a disaster. DGS/DPS 2004

4. What is COOP not? • A COOP is a supportive framework for operations • but it is • NOT • a substitute for common sense & thought. DGS/DPS 2004

5. WHY DO COOP? • 1. Best Business Practice is to “Be Prepared.” • 2. October 2003 memoranda from Chief of Staff Leighty stating: “Agencies will be required to certify to the Governor in writing, through Cabinet Secretaries by June 1, 2004, that the organizations they supervise have in-fact developed, tested and are maintaining COOP plans.” DGS/DPS 2004

6. How to Create a COOP • Determine COOP Timeframe (1 day, 1 week, 1month?) • InventoryYour Business Processes • Perform Business Impact Analyses (BIA) 4. Rank Business Processes based on BIA DGS/DPS 2004

7. How to Create a COOP For the Most Critical Processes: 5. Identify Critical Dependencies and Resumption Time Objectives 6. Identify the command structure & succession plans 7. Form COOP Teams 8. Identify alternative locations DGS/DPS 2004

8. How to Create a COOP 9. Develop Communications Plans for COOP teams, customers, media and Suppliers 10. Develop Procedures/Checklists for all Teams! DGS/DPS 2004

9. Perform Business Impact Analyses (BIA) • For each business process, analyze the • potential harm that would ensue if the business • process is not performed. • See BIA Handout • Analysis must be structured, documented and consistent. DGS/DPS 2004

10. InventoryYour Business Processes • Create a listing of your business processes: • Example: • Procure needed goods and services • Surplus unused materials • Pay vendors • Pay employees DGS/DPS 2004

11. Rank Business Processes based on BIA • List all processes with rankings and sensitive data criteria. Normalize responses and rank. • See Handout • Determine where to draw the line for COOP. DGS/DPS 2004

12. For the Most Critical Processes: • Perform Critical Dependencies Analyses • Identifies those resources required to continue operations (persons, skills, supplies, services, information systems, etc.) and the Resumption Time Objective (RTO). • RTO = When do you need to have this process back up and running. DGS/DPS 2004

13. Identify the Command Structure • Identify the leader and the key management persons as these will form the “Crisis Management Team.” • Who is in charge? DGS/DPS 2004

14. Create A Succession Plan • For all members of the Crisis Management Team, identify & document a successor AND a second successor. • Make certain the succession plan is known!! DGS/DPS 2004

15. FORM COOP TEAMS • 7 Types of COOP Teams: • 1. Immediate Response Team (IRT) - 1 • 2. Crisis Management Team (CMT) - 1 • 3. Damage Assessment & Recovery Teams • (DART) – 1 per location • 4. Information Systems & Telecommunications Team (ISTT) - 1 • 5. Administrative Teams (ADMT) – 1 per Org. Unit • 6. Institutional Support Team (INST) – 1 • 7. Operational Functions Teams (OFT) - DGS/DPS 2004

16. Immediate Response Team (IRT) • Composition: • Formed immediately after disaster occurs. • Composed of persons at event site. • Most senior person assumes leadership. • Many staff shall be trained to perform this role. • Because neither the type nor time of a disaster can be predicted, no IRT members are named ahead of time. This is the only unnamed COOP team. DGS/DPS 2004

17. IRT • Purpose • Provide for safety & care of persons. • Eliminate/control source of the disaster. • Must train staff who is to be notified if an event occurs • When the Crisis Management Team assumes control, the leadership role of the IRT is turned over & the team is disbanded. DGS/DPS 2004

18. Crisis Management Team (CMT) CMT PURPOSE • Controls & directs the COOP recovery process. • Activated by a call from the Immediate Response Team (IRT) unless there is advance warning of the event - as was the case for Hurricane Isabel. In that case the Crisis Management Team activates itself. DGS/DPS 2004

19. Damage Assessment & Recovery Team • Composition • Those individuals knowledgeable about your facilities. Members are primarily from the Facilities Management area. Need a team for each geographical location. • Purpose • Controls & directs the facilities recovery process – Condition assessment, damage control & repair. DGS/DPS 2004

20. Information Systems & Telecommunications Team (ISTT) Composition Those individuals knowledgeable in the information systems & telecommunications structures of DGS. The ISTT is activated by a call from the CMT. Purpose Provide the critical technical & telecommunications support functions during the recovery. DGS/DPS 2004

21. Administrative Teams (ADMT) 1 per Organizational Unit Composition • The Administrative Teams (ADMT) are unique to each major organizational unit. ADMT members are those individuals knowledgeable in the administrative functions of their unit. Purpose • Provide the critical admin support functions during the recovery. DGS/DPS 2004

22. Institutional Support Team (INST) – 1 INST provides services to all teams as needed. The INST is comprised of Central Office individuals knowledgeable in the central administrative functions. Usually found in larger organizations. Purpose Provides support to the Administrative Teams (ADMT), Operational Functions Teams (OFTs) & all other recovery teams. The INST shares common skills & works together to provide Administrative support functions required. They address staff issues, locate needed goods & services, process revenue & make payments as necessary. The INST is activated by a call from the CMT if necessary. DGS/DPS 2004

23. Operational Functions Teams • Composition • Multiple Operational Functions Teams (OFT) to support the diverse, multiple, critical operations (i.e. business processes). The OFTs include those individuals knowledgeable about specific operations/processes. • Purpose • Persons on each OFT share skills & work together to fulfill the critical operations/processes. Each team has continuity procedures. All other teams exist to support these teams! DGS/DPS 2004

24. DGS COOP Notification Sequence DGS/DPS 2004

25. Continuation Strategy • Should a disaster or lesser event occur the strategy is to implement COOP by: • STEP 1 Responding to Notification; Preserving Life & Property • STEP 2 Assessing Situations • STEP 3 Implementing Emergency Processes • STEP 4 Resuming Critical Processes • STEP 5 Restoring Full Operations at a Permanent Site DGS/DPS 2004

26. Identify Alternative Locations • For each team, identify the first location for business, an alternate location and a second alternate location. • Ensure you have documented agreements for space use & configurations. • Put addresses, phone numbers and directions in COOP. DGS/DPS 2004

27. DEVELOP COMMUNICATION PLANS • Establish call lists with business and home phone numbers and emails for: • COOP team members • Suppliers • Customers • Media • Phone Cards - Every CMT member has a wallet size card of CMT member’s telephone numbers. • Put a “First Alert” link on your Web where you can disseminate information (if feasible). DGS/DPS 2004

28. COOP Maintenance • RESPONSIBILITY - Who ensures the COOP is kept current by providing appropriate level of resources in terms of people, time, budget & attention to keep the plan current? • REVIEW FREQUENCY - Reviewed at least 1/yr. and more frequently if necessitated by major changes to services, service deliveries, organizational structure or management.. • USER INVOLVEMENT - Persons from every major organizational unit should be involved. • TRAINING/TESTING - All users will be trained on the COOP 1/yr. Training may vary from meeting discussion to more formal training. Portions will be tested 2/yr. Ensure training or testing is adequately documented. • COOP DISTRIBUTION – The COOP is distributed on a need to know basis to employees. Prior to receiving the COOP or component of the COOP, consider having each person complete a Confidentiality Agreement. All persons receiving COOP or any component of COOP are required to keep the COOP/COOP components away from the workplace in a secure area. DGS/DPS 2004

29. VITA’s Offerings • VITA Security Services provides support to agencies in the area of Business Continuity and Disaster Recovery. Currently, some consulting service is available to agencies as they work through their detailed plans. • COOP Systems' myCOOP software is hosted on a VITA server and is available to all agencies to help with the development of a continuity of operations plan. The agreement covers licensing for myCOOP software, which includes a complete package of templates, and a range of training options. The agreement provides for: • o Licenses (one time) for $381.25 per user • o Maintenance (ongoing) for $234.25 per user annually • o Training for users on the software (one day) for $163.50 per user • o Comprehensive workshop on continuity of operations planning (three days) & training for users on the software (one day) for $817.00 • Alternate processing services are available to all inscope agencies through the VITA contract with SunGard Availability Services. • As resources are available, additional services will be available. • Contact Barbara Vaughan, barbara.vaughan@vita.virginia.gov or (804) 371-5978 for more information on business continuity and disaster recovery planning. DGS/DPS 2004

30. Useful Links • http://www.fema.gov/ • http://www.dhs.gov/dhspublic/ • http://www.vaemergency.com/ • http://www.commonwealthpreparedness.virginia.gov/ • http://www.nemaweb.org/index.cfm • http://www.redcross.org/ • http://www.disasterplan.com/ DGS/DPS 2004

31. Planning • Details on Goods and Services for Home and Governmental Readiness DGS/DPS 2004

32. Emergency Supplies - Home • Lights – Camera – Action • flashlights – disposable cameras – action plan on 3 by 5 cards with emergency and family contacts • Food – Clothing – Shelter • energy bars – bottled water – camping tents and emergency clothing such as ponchos, boots, cash in small bills, etc. DGS/DPS 2004

33. Emergency Supplies - Home • Survival Gear : • radio – first-aid kit – small generator – matches – penknife – small tool kit – spare batteries - charcoal • Comfort Items : • ______________________________________________ • ______________________________________________ • ______________________________________________ DGS/DPS 2004

34. VDOT’s Hawk Extreme Vehicle • Unless you have one of these: MSRP: $435,668.00 You may want to consider these: DGS/DPS 2004

35. Light-weight Home Generator Yamaha Portable Model EF1000iS Quiet generator 1000 Watts at Maximum output Weighs only 27 pounds Operates 12 hours at 250 watt load on full tank (0.66 gallons of gasoline! MSRP: $779.00 DGS/DPS 2004

36. Small Home Refrigerator KEY FEATURES:ENERGY STAR® Qualified2.7 Cu. Ft. CapacityAdjustable Temperature ControlClear Crisper with CoverClear Defrost DrawerClear Door StorageFlexi-Stor™ Door with 4 Can RacksFreezer Compartment with Ice Cube TrayReversible Door Swing Model EL03PPXMQ MSRP: $88.00 DGS/DPS 2004

37. Governmental Readiness • WHAT ITEMS ARE KEY TO SURVIVAL? • Generators? • Water? • Ice? • Food? • Cots? • Light Towers? • Radios? • Sandbags? • Tents? DGS/DPS 2004

38. Remember: • Plans are OK • but • Planning is priceless! DGS/DPS 2004