© 2003-2004 coop systems, inc. and 2001-2004 preempt, inc. 1 coop introduction chris alvord, cbcp

© 2003-2004 COOP Systems, Inc. and 2001-2004 PreEmpt, Inc. 1

COOP Introduction

Chris Alvord, CBCP


Introduction

COOP Systems Overview

Started 2002 “to deliver most focused and highest-quality offerings for continuity planning.”

Software, training, and consulting services - - predominantly software over last year.

Staff experienced and certified. Virginia headquarters office in Herndon. Clients in government, military, intelligence,

finance, high tech, technology services, manufacturing, law, e-Commerce, insurance.

Woman-owned small business status.


Introduction

Five Sample Clients

Virginia state government contract for software, training, consulting.

Transamerica part of AEGON, one of top 50 financial companies in world.

DIA & CIA only continuity planning system on SIPRNET classified network.

Fiserv 176 financial services companies, based in Philadelphia.

VeriSign supporting .com and .net, 14 billion transactions daily.


“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

Current State


Introduction

Course Outline

1. Project Initiation2. Information Gathering3. Risk Analysis4. Business Impact Analysis5. Strategy Options Analysis6. Plan Design and Implementation7. Exercising Plan8. Maintenance & Exercise Programs9. Awareness & Training Programs10. Emergency Response/Crisis Management


Introduction

Five Important Concepts

Five “R’s” of Continuity

– Response

– Recover

– Resume

– Restore

– Relocate


Introduction

Definitions

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

Definitions

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

Definitions

Resume

Resumption of normal operations following interruption or event.

This stage could be many months.

Defined as “restart, take up or begin anew”


Introduction

Definitions

Restore

Reconstruction activities preparatory to return to new or restored facilities.

Defined as “return to original or usable and functioning condition.”


Introduction

Definitions

Relocate

Moving operations for final, production facilities.

Defined as “move or establish in a new location.”


Introduction

Definitions

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

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

Relationships

Crisis Management Team

ImmediateResponse

Teams

InstitutionalRecovery

Teams

FunctionalRecovery

Teams


Introduction

Continuity Planning Uses Many Teams

COOP/BCP

Program

OrgUnit 1

Function 1

Function 2

Function n

OrgUnit 2

Function 1

Function 2

Function n

OrgUnit n

Function 1

Function 2

Function n

Department Functions Institutional Functions

Accounting

Purchasing

Payroll

Central IT

Etc.


ContinuityPlanning Concepts

COOP Table of Contents

Per FPC 65


Introduction

Purpose

Guidance to Federal Executive Branch departments and agencies

For use in developing viable and executable contingency plans for continuity of operations (COOP).

COOP planning facilitates performance of department/agency essential functions during any emergency or situation that may disrupt normal operations.


Introduction

Applicability & Scope

Applicable to all Federal Executive Branch departments, agencies, and independent organizations, hereinafter referred to as “agencies.”

COOP elements outlined herein are for use at all levels of Federal Executive Branch organizations.


Introduction

Policy

U.S. to have in place comprehensive and effective program to ensure continuity of essential Federal functions under all circumstances.

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.

COOP forms foundation of Continuity of Government programs designed to ensure survival of enduring constitutional government.


Introduction

Background

Simply “good business practice” Changing threat environment and recent

emergencies, coupled with potential for terrorist use of weapons of mass destruction.

FEMA provides oversight and coordination, transferred to Department of Homeland Security

FEMA provides leadership for Federal Executive Branch COOP program.

Inherent in responsibility is to formulate guidance, facilitate interagency coordination, oversee and assess COOP capabilities of agencies.

Each Federal Executive Branch agency responsible for appointing senior POC

Continued


Introduction

Objectives

Cover wide range of hazard emergencies.

Ensuring performance of essential functions.

Reducing loss of life, damage and losses.

Protecting essential assets.

Executing successful succession to office

Reducing or mitigating disruptions to operations

Ensuring agencies have alternate facilities

Achieving timely and orderly recovery

Achieving timely and orderly reconstitution

Maintaining test, training, and exercise program.


Introduction

Planning Considerations

With and without warning. Operational within 12 hours after activation. Sustain operations for up to 30 days. Include regularly scheduled testing, training, and

exercise program. Must provide for regular risk analysis. Locate alternate operating facilities. Take advantage of existing infrastructures. Innovate, e.g., telecommute, etc. Consider distance of alternate facilities Multi-year strategy & program management plan.


Introduction

Elements of COOP CapabilityPlans and Procedures

Develop/document procedures to provide for all essential functions.

Essential functions, dependencies, and resources. Orders of succession to key agency positions and

maintain current rosters. Locate alternate operating facilities. Outline decision process for response. Procedures for the notification and relocation. Operational capability within 12 hours of activation. Continue essential functions for up to 30 days. Provide for personnel not deployed. Reconstitution of agency capabilities to normal.


Introduction

Elements of COOP Capability Identifying Essential Functions

Establishes planning parameters

Essential functions - - vital services, civil authority, public safety, sustain industrial/economic base

Carefully review all organizational missions.

Improper identification of essential functions can have negative impact on entire COOP plan

Must also include external partners.

Consideration must be given to department and agency interdependences.


Introduction

Elements of COOP CapabilityDelegations of Authority

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

Elements of COOP CapabilityOrders of Succession

Agencies responsible for establishing, promulgating, and maintaining orders of succession to key positions

Orders of sufficient depth to ensure agency’s ability to perform essential functions while remaining viable part of Federal Government at all times.

Geographical dispersion encouraged, consistent with principle of providing succession in emergencies of all types.


Introduction

Elements of COOP Capability Interoperable Communications

Essential functions at alternate operating facilities dependent upon identification, availability, and redundancy of critical communications systems

Need is to support connectivity between key government leadership, internal elements, other agencies, critical customers, and public

Methods are secure and non-secure phone, fax, and messaging capabilities, etc. during crisis, disasters, or wartime conditions

Required communications capabilities must be operational within 12 hours of notification.

Communications capabilities at alternate operating facilities to be tested quarterly


Introduction

Elements of COOP CapabilityVital Records and Databases

All sources of data, not just electronic. Agency personnel must have access to and be able

to use these records and systems. Procedures for protecting/updating them. Categories of these types of records may include

emergency operating records, and legal and financial records.

Identification/protection of vital records, systems, and data management software and equipment

This includes classified or other sensitive data. Pre-position and update on regular basis duplicate

records or back-up electronic files.


Introduction

Elements of COOP CapabilityHuman Capital

Managerial roles and responsibilities

Employees’ roles and responsibilities

Federal personnel decisions and related protocol systems

Staffing issues

Pay issues

Leave issues

Benefits issues


Introduction

Elements of COOP CapabilityTests, Training & Exercises

Validate COOP plans, policies, and procedures. Ensure familiarity with procedures and systems. Ensure COOP personnel sufficiently trained. Ensure currency of knowledge and integration of skills Deploy personnel/equipment to alternate facilities. Ensure backup data and records sufficient. Test/validate equipment. Ensure agency personnel understand procedures to

transition to normal activities (reconstitution). Conduct refresher orientation for COOP personnel. Document completed training and future requirements. Develop Multi-Year TT&E plan.


Introduction

Elements of COOP CapabilityDevolution of Control and Direction

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.

Devolution option shall be developed to address how agency will identify and conduct its essential functions in the aftermath of a catastrophic emergency.


Introduction

Elements of COOP CapabilityReconstitution

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.

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 Implementation

Deliberate and pre-planned movement of selected staff to alternate facility.

Relocation may be needed to accommodate a variety of emergency scenarios.

Distinction must be made evacuation only and implementation of COOP plans

Agencies should develop an executive decision process.

Preclude inappropriate activation

Recommended phasing for COOP activation and relocation, alternate facility operations, and reconstitution follows:

Continued


Introduction

COOP ImplementationActivation and Relocation (0-12 hours)

Activate plans, procedures, schedules to transfer essential functions, personnel, records, etc. to alternate operating facilities.

Notify FEMA Operations Center (FOC) and other appropriate agencies of decision to relocate and time of execution or activation of call-down procedures.

FOC relays notification information to Homeland Security Operations Center (HSOC).

Continued


Introduction

COOP ImplementationAlternate Facility Operations

Provide additional guidance to COOP personnel and all other employees.

Notify FOC and all other appropriate agencies immediately of agency’s alternate location, operational and communications status, and anticipated duration of relocation.

Commence full execution of essential functions at alternate operating facilities. FOC will relay this information to HSOC.

Continued


Introduction

COOP ImplementationReconstitution

Defined as termination and return to normal operations.

Inform all organizational personnel that the threat of or actual emergency no longer exists, providing instructions for resumption of normal operations.

Supervise orderly return to the normal operating facility, or movement to other temporary or permanent facilities.

Report status of relocation to FOC and other agency points-of-contact, as applicable.

FOC will relay this information to the HSOC.


Introduction

Agency Head Responsibilities

Appointing COOP program point-of-contact.

Developing multi-year plan.

Developing, approving, and maintaining COOP plans.

Conducting tests, training, exercises of COOP plans.

Participating in interagency COOP exercises.

Notifying FEMA, etc. upon COOP implementation.

Providing updates on COOP status to FEMA.

Coordinating intra-agency COOP efforts/initiatives.

Continued


Introduction

FEMA Responsibility

DHS’s Executive Agent for Federal Executive Branch COOP

Coordinate activities of Federal Executive Branch agencies

Issuing COOP guidance, in cooperation with GSA

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

Conduct periodic assessments of Executive Branch COOP capabilities and report results to NSC

Continued


Introduction

GSA and OPM

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.

Office of Personnel Management (OPM) is responsible for maintaining and revising all guidance in FPC pertaining to Human Capital