What is Continuity of Operations Planning? Continuity of Operations Planning (COOP): The effort to ensure that essential functions can continue across a wide range of potential emergencies. It is the process of maintaining the business of the University. COOP Planning addresses three scenarios: Loss of access to a facility (as in a fire); Loss of services due to a reduction in workforce (as in pandemic influenza); and Loss of services due to a systems failure (as in IT or communications systems failure). SLIDE 5 COOP planning focuses on maintaining the business of government. Continuity of Government, or COG, is the preservation of the institution o f government. COG is an important element of any COOP plan.

COOP Purpose Ensure the continuous performance of an organization’s essential functions during an emergency; Ensure the safety of employees; Protect essential equipment, records and other assets; Reduce disruptions to operations; Minimize damage and losses; Achieve an orderly recovery from emergency operations; and Identify relocation sites and ensure operational and managerial requirements are met before an emergency occurs. SLIDE 6 The primary objectives of COOP planning involve prioritizing essential functions and identifying the resources they require to achieve a timely and orderly recovery.

All Hazards Approach to COOP Planning SLIDE 7 While we often think in terms of worst-case scenario or catastrophic events, taking an all hazards approach prepares you for the unforeseen events like fires, EPA finding mold, water main breaks, etc. A good COOP plan will also prepare you for a reduction in staff due to a pandemic flu.

What is the difference between a COOP Plan and an Emergency Response Plan? VT Emergency Response Plan Immediate actions taken to respond to an event Guidance on Department Emergency Action Plan Building evacuation instructions Fire alarm drills Emergency Response actions COOP Plan Planning for “after the response” Continuing operations of department in primary or alternate facility Protecting vital records Ensuring leadership of department

Industry Standards Emergency Management Accreditation Program (EMAP) Standards (2003, 2004) National Fire Protection Association (NFPA) 1600 FEMA Interim Guidance Document on COOP Planning Federal Preparedness Circular-65 National Incident Management System (NIMS) FEMA Disaster-Resistant University Guidance NIST – Contingency Planning Standard for IT VDEM’s COOP Planning Manual for Institutions of Higher Education SLIDE 10 There are several standards which address COOP planning.

Virginia COOP Authorities Executive Order 44 (2007) Each executive branch agency including institutions of higher education with guidance from their Emergency Coordination Officer: Create or update Continuity of Operation Plans to conform to the template produced by the Virginia Department of Emergency Management, and Utilize the resources available from the Virginia Department of Emergency Management for creating or updating Continuity of Operations Plans. “The process of creating or updating Continuity of Operations Plans shall be completed by April 1 of each year…” § 44-146.18 Code of Virginia (2005) “The … Department of Emergency Management shall in the administration of emergency services and disaster preparedness program … provide guidance and assistance to state agencies and units of local government in developing and maintaining emergency management and continuity of operations (COOP) programs, plans and systems…” Executive Order 69 (2004) All executive branch agencies are directed to exercise and test their COOP plans on or before Sept 1, 2005. Executive Order 65 (2004) Assigns each designated state department or agency to appoint a lead and one alternate Emergency Coordination Officer for the agency. Included in their responsibilities is the coordination on emergency preparedness, response, and recovery issues.

Key COOP Goals for Virginia Tech People will know who is in charge; There will be trained backup personnel; There will be predefined alternate work locations; Essential functions, vital systems, data and information will be able to be recovered quickly; and Predefined checklists will guide the organization in responding to an event. SLIDE 31 When conducting the planning process, there are a few key goals: Name you key personnel and their backups. Identify alternate sites, and the resources required to perform the essential functions at the alternate sites …

Key COOP Objectives for Virginia Tech Ensure the safety of students, employees and visitors; Provide COOP activation and implementation guidance; Essential functions will be operational no later than 12 hours after activation; Essential functions will be capable of operation for up to 30 days at the alternate site; Regular training, testing and exercising of COOP personnel, equipment, processes and procedures will occur; and COOP Plan will be activated with and without warning. SLIDE 32 … with the objective being to resume the functions within 12 hours of activation – even if you are using manual interim processes.

9 Elements of a COOP Plan Essential Functions Delegations of Authority Orders of Succession Alternate Facilities Interoperable Communications Vital Records, Systems and Equipment Human Capital Management Tests, Training and Exercises Reconstitution SLIDE 16 There are 10 critical elements of a COOP plan. Identifying essential functions and alternate sites are the foundation of the COOP plan. Delegation of authority and orders of succession are the foundation of Continuity of Government.

Essential Functions Activities, processes or functions which could not be interrupted or unavailable for several days without significantly jeopardizing operations of the University Examples of essential functions Teaching Ensuring access to vital records, i.e. grades Conducting research Essential functions only --not everything the department is responsible for

Delegations of Authority Delegations of authority specify who is authorized to make decisions or act on behalf of key department personnel Delegation planning involves: Identifying which authorities can and should be delegated; Describing the circumstances under which the delegation would be exercised, including when it would become effective and terminate; Identifying limitations of the delegation; Documenting to whom authority should be delegated; and Ensuring designees are trained to perform their emergency duties. SLIDE 34 During an emergency, you key personnel may not be available, it is important to have a clear delegation of authority both administrative and emergency.

Orders of Succession Orders of Succession provide for an orderly and predefined transition of key departmental leadership Succession of Leadership planning involves: Identifying the key leadership positions that require Orders of Succession; Describing the conditions under which the succession would be exercised, including when it would become effective and terminate; Identifying limitations of the succession; and Documenting the designated successors. SLIDE 36 Similarly documented orders of succession is a key element of continuity of government.

Alternate Facility Pre-position, maintain or provide for minimum essential equipment for continued operations of critical processes at the alternate facility There are several types of alternate facilities with different readiness levels: Hot Site—all systems and records necessary to begin operations; Warm Site—some systems and records available, but requires some time and additional resources to become fully operational; and Cold Site—a location with no pre-installed systems or records from which to begin operations. Least expensive option, but it takes the most time to begin recovery or reconstitution operations. SLIDE 61 There are three types of alternate facilities which vary in operational readiness and cost to up fit/maintain.

Selecting an Alternate Facility Factors to consider in selecting an alternate facility Location – Risk-free environment, geographically dispersed Construction – Safe from high-risk areas Space – Space for personnel, equipment and systems Transportation – Consider public access, public transportation, proximity to hotels and restaurants Communications – Support data and telephone communication requirements Security – Controlled access Life Sustaining – Access to life sustaining essentials such as food, water and lodging Site Preparation Requirements – Time, effort and cost required to make ready Maintenance – Degree of maintenance required to keep the facility ready SLIDE 62 Several factors to consider when choosing an alternate facility.

Interoperable Communications Ability to communicate to all members of the University community Alert and Notification methods and redundancies

Vital Records, Systems and Equipment Records, files, systems, documents, equipment or databases, which would require extensive effort and/or expense to recreate or replace if damaged or destroyed Due to legal, regulatory or operational reasons, access to these records, systems or equipment cannot be lost or damaged without severely impacting the department's ability to function

Human Capital Management Ensuring essential functions continues even with reduced staffing Trained, back up personnel who can fill a recovery team position when the primary staff person is unavailable

Test, Training and Exercises COOP Program Management specifies regular testing and exercising of plan Revise plan after each test/exercise Train to execute plan

“Work the Plan” Planning is a journey. Work does not end with the development and implementation of a COOP plan Distribution and Communication Training Key Personnel Refresher at Alternate Site Testing and Exercises Revising and Updating Establish review cycle (coordinate with budget cycle) Update plans with material changes (moves, new systems, employee turnover) Operational effectiveness depends on having staff training in the COOP plan who “rehearse” or practice through exercises and are committed to keeping plans accurate and up to date. Remember COOP planning is a journey.