Continuity of Operations COOP An Overview

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Continuity of Operations (COOP)An Overview
Presented toNARA E-Records ForumAustin,
TexasApril 15, 2009
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What is COOP?

• The activities of individual departments and
  agencies and their sub-components to ensure that
  their essential functions are performed. This
  includes plans and procedures that delineate
  essential functions specify succession to office
  and the emergency delegation of authority
  provide for the safekeeping of vital records and
  databases identify alternate operating
  facilities provide for interoperable
  communications and validate the capability
  through tests, training, and exercises.

Definition per Federal Preparedness Circular 65
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COOP References
AOUSC Memorandum dtd 17 Oct 01 Emergency
Preparedness in the Judiciary
FPC 65 dtd 15 Jun 04 Federal Executive Branch
COOP

• Provides guidance to all Chief Judges in the
  Federal Judiciary to develop COOP plans and to
  coordinate planning efforts with Executive Branch
  agencies.

• Requires Federal Executive Branch departments and
  agencies to develop a viable COOP capability.
  FPC 65 is generally accepted throughout the
  government as the approved guidance for
  developing and maintaining COOP programs.

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COOP Phases

• Phase I Activation and Relocation (0-12hrs)
• Phase II Operations at Alternate Facility
  (12hrs-30 Days)
• Phase III Reconstitution

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COOP Program Overview

• COOP Programs are designed to
• Ensure the safety and well-being of employees,
  visitors, and the public
• Ensure the continuation of essential functions
  under all circumstances
• Ensure that normal operations are resumed
  quickly, safely, and efficiently
• COOP Capabilities must include
• The ability to be operational (i.e., executing
  essential functions) within 12 hours of COOP Plan
  activation
• The ability to sustain operations for up to 30
  days
• The identification of Alternate Operating
  Facilities from which essential functions can be
  executed
• The regular testing, training, and exercising of
  COOP capabilities

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COOP Program Elements
Minimum Requirements of a COOP Program per FPC 65
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Plans and Procedures

• Operational Procedures are documented in COOP
  Plans and include such things as
• COOP Plan Activation
• Crisis Management Team Actions
• COOP Recall Roster Activation
• Departure Plan (Directions to Alternate Facility)
• Operations at Alternate Facilities
• Reception Plan
• Execution of Essential Functions at Alternate
  Facility
• Reconstitution to Primary Facility

Plans and Procedures
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Essential Functions

• Most important planning element
• Essential Functions establish planning parameters
• Basis for determining resource requirements
• Staff
• Vital information
• Critical systems
• Equipment
• Supplies and services
• Facilities

• If you dont do this right, it probably doesnt
  matter what you do after it. Linda Koontz,
  Director of Information Management
  Issues,GAO Testimony to House Government Reform
  Committee April 22, 2004

Essential Functions
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Orders of Succession

• Ensures that leadership is uninterrupted
  throughout an emergency
• Plans should identify orders of succession to key
  positions
• Ensures an organizations ability to manage and
  direct its essential functions and operations
  should leaders in key positions become
  incapacitated or unavailable
• Should be included as a vital record

Orders of Succession
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Delegations of Authority

• Establish pre-determined delegations of authority
  for policy determinations and other decisions
• Should be implemented when normal channels of
  direction and control are disrupted
• Should be included as a vital record

• Unlike Orders of Succession, Delegations of
  Authority are issued for specific circumstances,
  actions, and are limited in scope

Delegations of Authority
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Alternate Operating Facilities
Alternate Operating Facility
PRIMARY FACILITY
Alternate Operating Facility

Alternate Facilities
Alternate Operating Facility
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Alternate Facility Capabilities

• An Alternate Facility provides the resources and
  capability to perform essential functions

Telephone, Fax
- Dedicated Network(s) - Desktop/laptop
computers - Familiar Software
Prepositioned Records Files
Office Equipment Furniture
Alternate Facilities
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Interoperable Communications

• COOP Plans must account for and ensure
• The ability to communicate with internal
  organizations, other agencies, critical
  customers, and the public
• The availability and redundancy of critical
  communications systems such as
• Voice telephone
• Fax
• Internet access
• E-mail

Interoperable Communications
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Vital Records and Databases

• Electronic and hardcopy documents, references,
  records, and databases essential to the continued
  functioning or reconstitution of an organization
  during and after an emergency
• Emergency plans and directives, orders of
  succession, delegations of authority
• Legal and financial records
• Official personnel files, payroll, property
  management, and inventory records
• To the extent possible, pre-position and
  duplicate records or back-up electronic files

Vital Records
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Tests, Training, and Exercises

• Essential to assess, demonstrate, validate, and
  improve COOP Plans
• Tests Ensure that equipment and procedures are
  maintained in a constant state of readiness
• Training Familiarizes the COOP team members
  with the functions, procedures, and
  responsibilities of the COOP plan
• Exercises Evaluate personnel readiness and
  validate specific aspects of COOP plans,
  policies, procedures, systems, and facilities

Test, Training, Exercises
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Devolution of Control and Direction

• Devolution addresses how an organization conducts
  its essential functions if the leadership and
  staff are unavailable or incapable of operating
  at the primary or alternate facilities
• The capability to transfer statutory authority
  and responsibility for essential functions from
  an organizations primary operating staff and
  facilities to other employees and facilities, and
  to sustain that operational capability for an
  extended period
• Transfer of functions or responsibilities to
  another organization

Devolution
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Reconstitution

• Return to normal operations
• Move from COOP or devolution location to original
  operating facility or a new operations site if
  necessary
• Develop smooth transition procedures for
  personnel and resources

Reconstitution
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Human Capital

• General employee considerations
• Methods of communication to employees
• Designation of emergency employees
• Dismissal or closure procedures
• Status of non-emergency employees
• Pay and staffing issues
• Employee roles and responsibilities

Human Capital
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Evolution of Thought in Continuity Planning

• Todays Continuity Planning
• Develop multiple/flexible/scaleable continuity
  strategies
• Devolution/telework/relocation to continuity
  facilities
• Assume little to no advanced warning
• Build in resiliency (i.e. permanent geographic
  dispersion of operations) and leverage technology

• Historical COOP Planning
• Pre-identify select staff
• Pre-identify fixed alternate facilities
• Pre-identify resources needed at alternate
  facility
• Assume ample time for plan activation
• Relocate select staff to alternate facility to
  perform essential functions

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New Continuity Policy and Requirements
HSPD 20/NSPD 51 National Continuity Policy
(NCP) MAY 2007
NCP Implementation Plan (NCPIP) SEP 2007
Federal Continuity Directive 1 FEB 2008
Federal Continuity Directive 2 FEB 2008

• These new documents represent arguably the
  largest overhaul in the nations continuity
  policies in over 50 years
• Designates a National Continuity Coordinator
• Requires integration of continuity programs
  horizontally (COOP, COG, ECG) and vertically
  (Federal, State, and Local)
• Endorses more flexible, scalable planning (with
  or without warning)
• Provides more authoritative and detailed guidance
• Provides more definitive criteria and
  prescriptive methodology for identifying PMEFs
  and MEFs
• Suggests a Continuity Program Management Cycle

Note the new continuity policy documents are
under review by the AO and are not currently
being implemented
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What Has and Hasnt Changed

• What Hasnt Changed
• The fundamental need for continuity planning
• The focus on essential functions
• The elements of a viable continuity capability
• The requirement to execute essential functions
  within 12 hours and for up to 30 days
• The importance of testing and exercising
  continuity plans
• What Has Changed
• The requirement for a full-spectrum, no notice
  continuity capability
• The renewed emphasis on coordination,
  integration, and communications
• The migration toward more authoritative,
  definitive, and prescriptive guidance
• The adoption of a standard/systematic approach
  for identifying and prioritizing essential
  functions
• A growing interest in readiness and preparedness

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Continuity of OperationsQuestions?