Continuity of Operations (COOP) Michelle Neisen, CBCP, MCP, MEP HHS Business Continuity Coordinator Program Strategies Plans

Exits Restrooms In Case of Emergency; where to? 2 Housekeeping

Provide an understanding of COOP, COOP terms and benefits of COOP planning Explain elements of a viable COOP capability Identify COOP methodologies and processes Discuss potential impacts, COOP strategies and plan development 3 Objectives

Definitions Continuity Of Operations (COOP) Ensures an organization can continue to perform its essential functions, provide essential services, and deliver core capabilities during a disruption to normal operations. Mission Essential Functions (MEFs) Essential functions directly related to accomplishing the organization’s mission and must be continued or resumed quickly after a disruption of normal activities. Essential Supporting Activities (ESAs) Functions that support performance of MEFs, but do not reach the threshold of MEFs. 4

Definitions Business Impact Analysis (BIA) A method of identifying the consequences of failing to perform a function or requirement, identifying the relative risks to MEF performance and gathers information needed to develop recovery strategies. Recovery Time Objective (RTO) The targeted duration of time within which a business function must be restored after a disaster (or disruption) to avoid unacceptable consequences if not continued. 5

Why COOP? Benefits of COOP Create a “culture of continuity”; integrate continuity planning and procedures into all aspects of daily operations ensuring organizational resilience Reduce loss of life/minimize damage Mitigate disruptions to operations Protect essential resources and assets Prevent/reduce risk to reputational, legal, financial aspects of an organization 6

Why COOP? FEMA Continuity Guidance Circular - February 2018 FEMA Continuity Guidance Circular - February 2018 Recently updated guidance aimed at ensuring continuity of government operations following an emergency Provides advice for creating continuity plans and processes 7

Orders of Succession Delegations of Authority Human Resources Testing, Training, Exercising (TTE) Devolution Reconstitution 8 Program Management, Plans and Procedures Essential Functions Essential Records Management Continuity Facilities Continuity Communications COOP Elements

Program Management - Plans and Procedures COOP Program Management: an iterative process with a lifecycle. Critical to first establish COOP planning objectives and procedural requirements and aligning resources to ensure Essential Functions are sustained throughout COOP activation. Planning: a phase of the COOP Program Management lifecycle which includes pre- identifying the right people, places, budgeting, resources, tasks, and procedures required to fulfill Essential Functions. 9

Continuity Planning is simply a good business practice to ensure resiliency and continued performance of Mission Essential Functions (MEFs) under a broad spectrum of conditions (all- hazards). 10 COOP Elements

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Essential Function Categories – Annex A NEFs = National Essential Functions (federal) TEFs = TEXAS Essential Functions (cuz we are BIG!) MEFs = Mission Essential Functions ESAs = Essential Supporting Activities 12 COOP Elements

13 COOP Elements Essential Function Alignment

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Mission Essential Functions (MEFs) – Annex A The limited set of an organization’s functions and activities that cannot be deferred Function disruption may threaten the health, well- being, and safety of individuals Must continue performance within hours, not days, to prevent serious legal and financial ramifications to an organization May support TEFs and NEFs 16

COOP Elements Essential Records Management – Annex C Information systems and applications, electronic and hardcopy documents, references, and records needed to support essential functions during a COOP situation Emergency operating records are essential to meet operational responsibilities under emergency conditions Legal and financial rights records are critical to carrying out an organization’s essential legal and financial functions 17

COOP Elements Continuity Facilities – Annex D Locations, other than the normal facility, used to carry out essential functions in a COOP situation. Located at a safe distance from and secured against worst-case and most-likely scenarios Can be operational in 12 hours or less Provide sufficient space, equipment, supplies, and services to support COOP personnel in the performance of essential functions Supports required communications and IT infrastructures 18

COOP Elements Continuity Communications – Annex E Support performance of essential functions Provide capability to communicate within the organization Provide connectivity to outside agencies/ customers Ensure access to data, systems, and services Integrate contingency communications options to prevent interruptions 19

COOP Elements Orders of Succession – Annex F Formal and sequential listing of POSITIONS to assume leadership roles in the event regularly appointed personnel become unavailable May be prescribed by statute, order or directive Should be reviewed by general counsel to ensure legal sufficiency Pre-defined transition of leadership, at least three deep, preferably geographically disbursed 20

COOP Elements Delegations of Authority – Annex F Provides successors with the written, legal authority to act on behalf of the Organization Head or other officials for specified purposes and to carry out specific duties May require certain training, qualifications, and certification lending more specific delegation Coordinate development with general counsel 21

COOP Elements Human Resources - Annex G Continuity Personnel are designated positions and personnel possessing the skills necessary to perform essential functions and supporting tasks (identified in Annex B) Accountability for all staff Human resources management including guidance on pay, leave/time off, work scheduling, benefits, telework, hiring, authorities, and flexibilities 22

COOP Elements Test, Train & Exercise - Annex H Essential to demonstrating, assessing, and improving the ability to execute the continuity program, plans, and procedures Cultivates better organizational knowledge, identifies gaps in coverage, and validates existing plans and programs Often referred to using the acronym “TT&E” 23

COOP Processes Purpose of a BIA Identify time sensitive or critical functions and the financial and operational impacts resulting from disruption of those functions Gather information about resource requirements to support the time sensitive or critical business functions from each program Set prioritized timeframes for resuming these functions; considering time which the impacts of not resuming them would become unacceptable 24

COOP Processes Purpose of a BIA Business function requirements are compared to critical support application capabilities, resource availability and other factors which reveal gaps Gap analyses and risk analyses are performed with Information Technology and program area leadership and other staff needed for complete analyses Tiered MEF recommendations are presented to leadership for review, validation and final prioritization 25

COOP Processes Several factors must be included in the essential functions prioritization determination: Recovery Time Objective: How quickly must this function resume if disrupted? Impact if Not Conducted: What are the impacts of not conducting or delaying the performance of this function? Does this function affect another organization’s ability to conduct their essential functions? Does this function have a direct impact to a TEF or NEF? Management Priority: What is your organizational leadership’s preference and discretion? 26

COOP Processes Identifying MEFs Too Many Resources spread too thin to ensure continued performance Too Little Unidentified essential functions will not become part of an emergency or continuity plan and might not be performed Just Right The “key”; identifying highest priority functions and the resources/capabilities ensuring performance 27

COOP Processes Identifying Essential Supporting Activities (ESAs) Facilitating activities that must be performed in order to support MEF performance (enablers) Do not complete the mission or deliver services the organization was created to accomplish, yet are important and urgent Examples are: facilities management, security and information technology operations 28

COOP Processes MEF Criticality Rating System Prioritize and Group Essential Functions: Tier 1 – Critical – Restore within 12 hours Tier 2 – Vital – Restore within 24 hours Tier 3 – Necessary – Restore within days Tier 4 – Desirable – Restore within 10 days Low Priority – Restore as resources become available 29

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COOP Activation Four Phases of COOP Activation: 31 Phase l - Readiness and Preparedness: the phase we are in now Phase ll - Activation: plans, procedures to transfer activities to alternate facilities are activated Phase lll - Continuity of Operations: essential operations are fully executed at alternate facility Phase lV - Reconstitution: operations are terminated at alternate facility and normal operations resume

COOP Phases 32

Prepare - Plan 33

Thank you 34

COOP Coordinator Contact Info Guidance/Questions/Comments Michelle Neisen, CBCP, MCP, MEP Business Continuity Coordinator Health and Human Services 35