Continuity of Operations COOP Training

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Continuity of Operations (COOP) Training

• EHS Risk Management Office

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Introduction Objectives

• Learn about COOP
• Understand COOP planning process at UF
• Be able to complete UF Departmental COOP template

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What is COOP?

• COOP Continuity of Operations
• COOP is an effort within individual departments
  to ensure the continued performance of minimum
  essential functions during a wide range of
  potential emergencies.
• COOP is different than your departments
  emergency plan

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Purpose of COOP Planning

• Continue essential operations
• Ensure survivability of critical equipment,
  records and other assets
• Minimize business damage and losses
• Achieve orderly response and recovery from
  incident
• Ensure succession of key leadership

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Purpose of COOP Planning(continued)

• Serve as foundation for overall UF COOP program
• Assure survivability of UF in most severe events
• Comply with legal/statutory requirements

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Legal Basis for COOP

• Florida Statutes Section 252.365
• Specifically mentions universities
• Contains essential elements for COOP planning
• Directs that plans be approved by State Division
  of Emergency Management (7/1/2003)
• Requires that plans be coordinated with local
  emergency management

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Why COOP?

• UF is vulnerable to numerous threats (large and
  small) that could interrupt normal operations
• Preparation dramatically increases your
  departments ability to recovery quickly
• COOP is a good business practice

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Possible Causes for COOP Plan Activation

• Building Fire
• Flood
• IT Malfunction
• Disgruntled Employee
• Hurricane / Severe Weather
• Pandemic
• Other Reasons

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COOP Examples from Katrina

• Southern U. of New Orleans eliminating 19
  academic disciplines
• Tulane layoffs of 233 faculty, elimination of 14
  doctorial programs and 5 majors, suspension of 8
  athletic teams
• LSU system predicts 5,000 layoffs from its New
  Orleans health system
• Dillard U. layoffs of 59 of faculty and staff
• Xavier U. layoffs of 58 of full-time faculty and
  53 of staff
• Source Chronicle of Higher Education

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Leave on Friday
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And Return on Monday
Johnson Hall Fire December 6, 1987
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Elmore Hall Flooded - 2004
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Could you operate without your building?What
impact would your inability to continue
operations have of the rest of the University?
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UF Department Responsibilities

• Appoint a COOP Planning Coordinator
• Develop, approve and maintain COOP plan
• Conduct tests, training and exercises of COOP
  plan
• Submit COOP to EHS by February 3, 2006

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Essential Elements of COOP

• Plans Procedures
• Mission Essential Functions
• Delegations of Authority
• Orders of Succession
• Alternate Facilities
• Interoperable Communications
• Vital Records and Databases
• Logistics and Administration
• Personnel Issues and Coordination
• Security
• Test, Training and Exercise
• Program Management

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UF COOP Plan Template

• Template is designed so users only have to enter
  department specific information
• Instructions offer assistance in completing
  template and provide example from EHS plan
• Designed to implement anytime without warning
• Capability to sustain operations for up to 30 days

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Overview

• Operations and Functions of Department
• Department Facilities
• Hazard Analysis
• Department Specific Emergencies
• Contact Information
• Section 1 in template

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Plans Procedures

• Provides purpose, concept of operations,
  authorities and references and alert and
  notification
• Outlines phases of activation and implementation
• Determine key staff and alternate site
• Key staff will include Emergency Response Group
  (ERG) who operate from alternate site
• Section 2.1 in template

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Mission Essential Functions

• Functions that need to be resumed within 30 days
• Functions that impact external or internal
  customers
• Functions that would cause delays or impact the
  services/operations of other Departments or UF as
  a whole
• Examples include functions that enable hiring of
  employees, grant management, are required by
  regulation/statutes, payroll, etc.

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Mission Essential Functions

• Compile all organizational functions
• Identify mission essential functions
• Roster personnel to complete those functions
• Determine required resources and equipment
• Assess alternate facility against needs of
  mission essential functions
• Section 2.2 in template

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Delegation of Authority

• Establish succession for key leadership positions
• Identify to whom authorities should be delegated
• Section 2.3 in template

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Orders of Succession

• Establish rules and procedures addressing
  conditions of succession, method of notification
  and limitations
• Identify limitations on delegated authority
• Orders of Succession are different than
  Delegations of Authority
• Section 2.4 in template

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Alternate Facilities

• Can you relocate within your department or do you
  need to make arrangements with other facilities?
• Provide for reliable logistical support, services
  and infrastructure systems
• Need to sustain operations for 30 days
• Consider pre-positioning assets and resources at
  facility
• Provide for appropriate physical security and
  access controls
• ERG will operate from alternate site (employees
  might work from home and remain available)
• Section 2.5 in template

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Interoperable Communications

• Simply putdetermine what data and communication
  systems are needed (telephone, fax, email, data,
  etc.)
• Complexity will vary by department
• Ensure availability at alternate facility (voice,
  fax, email, data, etc.)
• Section 2.6 in template

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Vital Records and Databases

• Identify vital records (hard copy and electronic)
• Plan for protection, duplication and movement of
  records
• Preposition resources and systems prior to COOP
  deployment
• Emergency Operating Records include plans, SOPs,
  Orders of Succession and Delegations of Authority
• Ensure back-up of legal and financial records
• Section 2.7 in template

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Logistics and Administration

• Identify, pre-position and maintain equipment and
  resources required at alternate site
• Prepare and pre-position Drive-Away Kits
• Prepare for telecommunication and data support at
  alternate facility
• Prepare and maintain site-support procedures
  which identify the initial requirements for
  receiving, supporting and relocating personnel to
  alternate facility
• Section 2.8 in template

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Personnel Issues and Coordination

• Prepare communications plan to disseminate
  information
• Address health and safety of employees and their
  families
• Ensure payroll procedures are in place
• Address medical and special needs issues
• Section 2.9 in template

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Security

• Establish Operational Security (Information
  Control) and Cyber Guidelines for handling of
  COOP plans
• Address physical security of current and
  alternate facility
• Be prepared to augment all security levels based
  on the emergency or threat
• Section 2.10 in template

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Testing, Training and Exercises

• Conduct orientation and training for identified
  COOP personnel
• Periodically test alert and notification
  procedures
• Plan periodic exercise of operational plans,
  alternate facilities, and interoperable
  communications
• Establish remedial action process (correct
  deficiencies)
• Update plans and procedures as appropriate or
  annually
• Section 2.11 in template

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Program Management

• Establish a coordinated program management
  process to ensure maintenance, operation and
  funding of a viable COOP capability
• Update plan as necessary
• Section 2.12 in template

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Responsibilities and Checklists

• Staff Responsibilities
• Emergency Supplies
• Drive-Away Kits
• Section 3 (Annexes) in template

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Response Plans and SOPs

• Fire
• Hostile Intruder
• Severe Weather
• Tornadoes
• Hurricane (Checklist)
• Terrorist Attack
• Section 4 (Annexes) in template

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Completion of COOP Draft

• Review entire draft for accuracy
• Provide copies to all employees with roles
• Establish training and exercise schedule
• Maintain and update
• Submit to EHS

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Resources

• UF EHS
• Template and Instructions
• http//www.ehs.ufl.edu/RiskMgmt/COOP/default.asp
• Florida Division of EM
• COOP Training Presentation and Workbook
• Available at EHS COOP site
• UF HSC Spice Program
• Contingency Course for Electronic Data
• http//security.health.ufl.edu/
• FEMA
• Independent Study COOP Course
• http//www.training.fema.gov/EMIWeb/IS/is546.asp

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Additional Web Resources

• http//www.continuitycentral.com/
• http//www.drj.com
• http//www.continuityinsights.com

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Questions

• Kenneth Allen
• Emergency Management Coordinator
• EHS Risk Management
• 392-1591 x256
• kallen_at_ehs.ufl.edu