© COOP Systems, Inc. and PreEmpt, Inc. 1 COOP Introduction Chris Alvord, CBCP

Introduction © COOP Systems, Inc. and PreEmpt, Inc.2 COOP Systems Overview 4 Started 2002 “to deliver most focused and highest-quality offerings for continuity planning.” 4 Software, training, and consulting services - - predominantly software over last year. 4 Staff experienced and certified. 4 Virginia headquarters office in Herndon. 4 Clients in government, military, intelligence, finance, high tech, technology services, manufacturing, law, e-Commerce, insurance. 4 Woman-owned small business status.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.3 Five Sample Clients Virginiastate government contract for software, training, consulting. Transamericapart of AEGON, one of top 50 financial companies in world. DIA & CIAonly continuity planning system on SIPRNET classified network. Fiserv176 financial services companies, based in Philadelphia. VeriSignsupporting.com and.net, 14 billion transactions daily.

© COOP Systems, Inc. and PreEmpt, Inc. 4 “There is no need to sally forth, for it remains true that those things which make us human are, curiously enough, always close at hand. Resolve then that on this very ground, with small flags waving and tiny blasts from tiny trumpets, we shall meet enemy, and not only may he be ours, he may be us.” From introduction to Pogo Papers Walt Kelly (1953)

Introduction © COOP Systems, Inc. and PreEmpt, Inc.5 Current State

Introduction © COOP Systems, Inc. and PreEmpt, Inc.6 Course Outline 1. Project Initiation 2. Information Gathering 3. Risk Analysis 4. Business Impact Analysis 5. Strategy Options Analysis 6. Plan Design and Implementation 7. Exercising Plan 8. Maintenance & Exercise Programs 9. Awareness & Training Programs 10. Emergency Response/Crisis Management

Introduction © COOP Systems, Inc. and PreEmpt, Inc.7 Five Important Concepts 4 Five “R’s” of Continuity –Response –Recover –Resume –Restore –Relocate

Introduction © COOP Systems, Inc. and PreEmpt, Inc.8 Definitions 4 Response - - to emergency conditions Procedures designed to: – Address life safety issues – Gain control of situation, – Provide initial response & decision-making effort, & –Coordinate companywide resources at executive level

Introduction © COOP Systems, Inc. and PreEmpt, Inc.9 Definitions 4 Recover Return to acceptable condition or level of operation following disruptive event. Planning - Documented instructions and guidelines for continuation of MISSION critical processes following disruptive event or during period of resumption / recovery.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.10 Definitions 4 Resume Resumption of normal operations following interruption or event. This stage could be many months. Defined as “restart, take up or begin anew”

Introduction © COOP Systems, Inc. and PreEmpt, Inc.11 Definitions 4 Restore Reconstruction activities preparatory to return to new or restored facilities. Defined as “return to original or usable and functioning condition.”

Introduction © COOP Systems, Inc. and PreEmpt, Inc.12 Definitions 4 Relocate Moving operations for final, production facilities. Defined as “move or establish in a new location.”

Introduction © COOP Systems, Inc. and PreEmpt, Inc.13 Definitions 4 Disruptive Event Event that prevents organization from accomplishing its MISSION critical processes in normal manner. a.k.a. Disaster - The reason we need COOP plans.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.14 Continuity Planning Goal: Define, develop, and implement plans that will allow your ORGANIZATION to: 1.Prevent disruption from occurring or, 2.If disruption does occur, continue to operate following disruption and 3.Recover in rapid and efficient manner.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.15 Relationships Crisis Management Team Immediate Response Teams Institutional Recovery Teams Functional Recovery Teams

Introduction © COOP Systems, Inc. and PreEmpt, Inc.16 Continuity Planning Uses Many Teams COOP/ BCP Program Org Unit 1 Function 1 Function 2 Function n Org Unit 2 Function 1 Function 2 Function n Org Unit n Function 1 Function 2 Function n Department Functions Institutional Functions Accounting Purchasing Payroll Central IT Etc.

© COOP Systems, Inc. and PreEmpt, Inc. 17 Continuity Planning Concepts COOP Table of Contents Per FPC 65

Introduction © COOP Systems, Inc. and PreEmpt, Inc.18 Purpose 4 Guidance to Federal Executive Branch departments and agencies 4 For use in developing viable and executable contingency plans for continuity of operations (COOP). 4 COOP planning facilitates performance of department/agency essential functions during any emergency or situation that may disrupt normal operations.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.19 Applicability & Scope 4 Applicable to all Federal Executive Branch departments, agencies, and independent organizations, hereinafter referred to as “agencies.” 4 COOP elements outlined herein are for use at all levels of Federal Executive Branch organizations.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.20 Policy 4 U.S. to have in place comprehensive and effective program to ensure continuity of essential Federal functions under all circumstances. 4 All Federal agencies shall have in place viable COOP capability ensuring performance of their essential functions during any emergency or situation that may disrupt normal operations. 4 COOP forms foundation of Continuity of Government programs designed to ensure survival of enduring constitutional government.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.21 Background 4 Simply “good business practice” 4 Changing threat environment and recent emergencies, coupled with potential for terrorist use of weapons of mass destruction. 4 FEMA provides oversight and coordination, transferred to Department of Homeland Security 4 FEMA provides leadership for Federal Executive Branch COOP program. 4 Inherent in responsibility is to formulate guidance, facilitate interagency coordination, oversee and assess COOP capabilities of agencies. 4 Each Federal Executive Branch agency responsible for appointing senior POC Continued

Introduction © COOP Systems, Inc. and PreEmpt, Inc.22 Objectives 4 Cover wide range of hazard emergencies. 4 Ensuring performance of essential functions. 4 Reducing loss of life, damage and losses. 4 Protecting essential assets. 4 Executing successful succession to office 4 Reducing or mitigating disruptions to operations 4 Ensuring agencies have alternate facilities 4 Achieving timely and orderly recovery 4 Achieving timely and orderly reconstitution 4 Maintaining test, training, and exercise program.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.23 Planning Considerations 4 With and without warning. 4 Operational within 12 hours after activation. 4 Sustain operations for up to 30 days. 4 Include regularly scheduled testing, training, and exercise program. 4 Must provide for regular risk analysis. 4 Locate alternate operating facilities. 4 Take advantage of existing infrastructures. 4 Innovate, e.g., telecommute, etc. 4 Consider distance of alternate facilities 4 Multi-year strategy & program management plan.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.24 Elements of COOP Capability Plans and Procedures 4 Develop/document procedures to provide for all essential functions. 4 Essential functions, dependencies, and resources. 4 Orders of succession to key agency positions and maintain current rosters. 4 Locate alternate operating facilities. 4 Outline decision process for response. 4 Procedures for the notification and relocation. 4 Operational capability within 12 hours of activation. 4 Continue essential functions for up to 30 days. 4 Provide for personnel not deployed. 4 Reconstitution of agency capabilities to normal.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.25 Elements of COOP Capability Identifying Essential Functions 4 Establishes planning parameters 4 Essential functions - - vital services, civil authority, public safety, sustain industrial/economic base 4 Carefully review all organizational missions. 4 Improper identification of essential functions can have negative impact on entire COOP plan 4 Must also include external partners. 4 Consideration must be given to department and agency interdependences.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.26 Elements of COOP Capability Delegations of Authority 4 To ensure rapid response: –Pre-delegate authorities for making policy all decisions –Ensure all personnel know who has authority to make key decisions in COOP situation. –Pre-determined delegations of authority will take effect when normal channels of direction and control are disrupted and will terminate when these channels are restored.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.27 Elements of COOP Capability Orders of Succession 4 Agencies responsible for establishing, promulgating, and maintaining orders of succession to key positions 4 Orders of sufficient depth to ensure agency’s ability to perform essential functions while remaining viable part of Federal Government at all times. 4 Geographical dispersion encouraged, consistent with principle of providing succession in emergencies of all types.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.28 Elements of COOP Capability Interoperable Communications 4 Essential functions at alternate operating facilities dependent upon identification, availability, and redundancy of critical communications systems 4 Need is to support connectivity between key government leadership, internal elements, other agencies, critical customers, and public 4 Methods are secure and non-secure phone, fax, and messaging capabilities, etc. during crisis, disasters, or wartime conditions 4 Required communications capabilities must be operational within 12 hours of notification. 4 Communications capabilities at alternate operating facilities to be tested quarterly

Introduction © COOP Systems, Inc. and PreEmpt, Inc.29 Elements of COOP Capability Vital Records and Databases 4 All sources of data, not just electronic. 4 Agency personnel must have access to and be able to use these records and systems. 4 Procedures for protecting/updating them. 4 Categories of these types of records may include emergency operating records, and legal and financial records. 4 Identification/protection of vital records, systems, and data management software and equipment 4 This includes classified or other sensitive data. 4 Pre-position and update on regular basis duplicate records or back-up electronic files.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.30 Elements of COOP Capability Human Capital 4 Managerial roles and responsibilities 4 Employees’ roles and responsibilities 4 Federal personnel decisions and related protocol systems 4 Staffing issues 4 Pay issues 4 Leave issues 4 Benefits issues

Introduction © COOP Systems, Inc. and PreEmpt, Inc.31 Elements of COOP Capability Tests, Training & Exercises 4 Validate COOP plans, policies, and procedures. 4 Ensure familiarity with procedures and systems. 4 Ensure COOP personnel sufficiently trained. 4 Ensure currency of knowledge and integration of skills 4 Deploy personnel/equipment to alternate facilities. 4 Ensure backup data and records sufficient. 4 Test/validate equipment. 4 Ensure agency personnel understand procedures to transition to normal activities (reconstitution). 4 Conduct refresher orientation for COOP personnel. 4 Document completed training and future requirements. 4 Develop Multi-Year TT&E plan.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.32 Elements of COOP Capability Devolution of Control and Direction 4 Addresses catastrophic and other disasters and events rendering agency’s leadership and staff incapable of supporting execution of essential functions from either its primary or alternate locations. 4 Devolution option shall be developed to address how agency will identify and conduct its essential functions in the aftermath of a catastrophic emergency.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.33 Elements of COOP Capability Reconstitution 4 Extensive coordination necessary to procure a new operating site once agency suffers facility loss or in event that collateral damage from a disaster renders the structure unsafe for reoccupation. 4 Reconstitution embodies the ability of an agency to recover from catastrophic event and consolidate necessary resources that allow it to return to being fully functional entity of the Federal Government.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.34 COOP Implementation 4 Deliberate and pre-planned movement of selected staff to alternate facility. 4 Relocation may be needed to accommodate a variety of emergency scenarios. 4 Distinction must be made evacuation only and implementation of COOP plans 4 Agencies should develop an executive decision process. 4 Preclude inappropriate activation 4 Recommended phasing for COOP activation and relocation, alternate facility operations, and reconstitution follows: Continued

Introduction © COOP Systems, Inc. and PreEmpt, Inc.35 COOP Implementation Activation and Relocation (0-12 hours) 4 Activate plans, procedures, schedules to transfer essential functions, personnel, records, etc. to alternate operating facilities. 4 Notify FEMA Operations Center (FOC) and other appropriate agencies of decision to relocate and time of execution or activation of call-down procedures. 4 FOC relays notification information to Homeland Security Operations Center (HSOC). Continued

Introduction © COOP Systems, Inc. and PreEmpt, Inc.36 COOP Implementation Alternate Facility Operations 4 Provide additional guidance to COOP personnel and all other employees. 4 Notify FOC and all other appropriate agencies immediately of agency’s alternate location, operational and communications status, and anticipated duration of relocation. 4 Commence full execution of essential functions at alternate operating facilities. FOC will relay this information to HSOC. Continued

Introduction © COOP Systems, Inc. and PreEmpt, Inc.37 COOP Implementation Reconstitution 4 Defined as termination and return to normal operations. 4 Inform all organizational personnel that the threat of or actual emergency no longer exists, providing instructions for resumption of normal operations. 4 Supervise orderly return to the normal operating facility, or movement to other temporary or permanent facilities. 4 Report status of relocation to FOC and other agency points-of-contact, as applicable. 4 FOC will relay this information to the HSOC.

Introduction © COOP Systems, Inc. and PreEmpt, Inc.38 Agency Head Responsibilities 4 Appointing COOP program point-of-contact. 4 Developing multi-year plan. 4 Developing, approving, and maintaining COOP plans. 4 Conducting tests, training, exercises of COOP plans. 4 Participating in interagency COOP exercises. 4 Notifying FEMA, etc. upon COOP implementation. 4 Providing updates on COOP status to FEMA. 4 Coordinating intra-agency COOP efforts/initiatives. Continued

Introduction © COOP Systems, Inc. and PreEmpt, Inc.39 FEMA Responsibility 4 DHS’s Executive Agent for Federal Executive Branch COOP 4 Coordinate activities of Federal Executive Branch agencies 4 Issuing COOP guidance, in cooperation with GSA 4 Chair COOP Working Group (CWG), principal interagency forum for discussion of COOP matters such as policy guidance, plans, and procedures, and for dissemination of information to agencies for developing/improving their individual COOP plans 4 Conduct periodic assessments of Executive Branch COOP capabilities and report results to NSC Continued

Introduction © COOP Systems, Inc. and PreEmpt, Inc.40 GSA and OPM 4 General Services Administration (GSA) responsible for: –Developing and conducting a COOP training course that is available to all agencies; and, –Maintaining a database of all alternate operating facilities. 4 Office of Personnel Management (OPM) is responsible for maintaining and revising all guidance in FPC pertaining to Human Capital