continuity of operations peer planning workshop · continuity of operations (coop): • the effort...

Continuity of Operations

Peer Planning Workshop

Introduction

Miranda Hahs

Senior Planner

Montgomery County, OHSEM

miranda.hahs@mctx.org

936-523-3903

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Peer Planning Workshops

• Designed to meet the challenges of

integrating planning efforts

• Each workshop is not the end-all, be-all to

the planning efforts related to the

particular planning topic

– It is more of a way to start a discussion

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Administrative

• Safety

• Restrooms

• Cell phones

• Conference calls

• Breaks

• Lunch

• Refreshments

• Certificates

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Agenda

9:00 – 9:30 Registration & Networking

9:30 – 9:45 Introduction

9:45 – 10:15 Overview of Continuity of Operations Planning (COOP) & COOP Resources List

10:15 – 10:45 Integrating Cyber Elements into COOP

10:45 – 11:00 Break/Lunch

11:00 – 12:00 Panel of COOP Experts (working lunch)

12:00 – 1:30 Plan Development Tabletop (TTX) Exercise

1:30 – 1:45 Break & Networking

1:45 – 2:30 2011 Joplin Tornado: Devolution and Reconstitution

2:30 Adjourn

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Continuity of Operations (COOP):

An Overview of Key Concepts

David J. Alamia Jr.

Mitigation Planner

Harris County, OHSEM

David.Alamia@oem.hctx.net

713-881-3100

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Objectives

• Provide an overview of key concepts

• Identify COOP laws, authorities and standards

• Identify elements of a robust COOP Program

• Review COOP Plan Development

• Key Concepts: BIA and IT DR

• Review COOP Training and Exercises

• Identify Benefits and Challenges of COOP

• Review “COOP Resource List”

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Key Concepts

Continuity of Government (COG):

The effort to sustain a viable form of government; i.e. sustaining the political subdivision’s constitutional and legal responsibilities.

Continuity of Operations (COOP):

• The effort by individual departments/agencies to sustain and resume essential functions and basic services.

Purpose and Goals:

• Protect Life and Property

• Minimize Disruption

• Sustain Government

• Sustain Essential Functions and Services

• Resume Normal Operations

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Laws, Codes and Standards

Federal

• National Security Presidential Directive 51 / Homeland Security Presidential Directive 20 – National Continuity Policy

• Federal Continuity Directive 1

• Continuity Guidance Circular 1

State

• Texas Constitution, Article III, Section 62, Continuity of State and Local Governmental Operations

• Texas Labor Code, Section 412.054, Business Continuity Plan

• Texas State Agency Continuity Policy Guidance Letter

Local

• Texas Government Code, Section 418.1101, Plan for Continuity of Functions

• Texas Government Code, Chapter 616, Emergency Interim Public Office Succession

Industry Standards

• NFPA 1600 - Disaster/Emergency Management and Business Continuity/Continuity of Operations Programs

• ISO 22301 Societal Security – Business Continuity Management Systems

• Business Continuity Institute – Good Practices Guidelines

• Disaster Recovery Journal – Rules and Regulations Committee

• ASIS Business Continuity Guideline

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COOP Program Management

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COOP Program

Essential Functions

Lines of Succession

Delegations of Authority

Communications

Alternate Facilities

IT Disaster Recovery

Reconstitution / Resumption

Training and

Exercises

Human Resources / Staffing

COOP Plan Development

Concept of OperationsPhase I: Activation and Relocation

• COOP is activated and implemented

• Emergency Relocation Group (ERG) relocates to COOP facility

• Non-essential personnel are released

Phase II: Continuity Operations

• Implementing alternative work procedures, processes and systems at coop facility

Phase III: Resumption

• Resumption Level I – Disruption Planning

• Resumption Level II – Short-Term Planning

• Resumption Level III – Long-Term Planning

Planning Elements• Hazard Vulnerability Analysis

• Business Impact Analysis

• Essential Functions

• Continuity Strategies & Tasks

• Alternate Facilities

• Lines of Succession

• Staffing Contingency

• Emergency Relocation Team

• Recovery Resources and Supplies

• Communications

• Essential Records

• Information Technology Systems

• Training and Exercise Schedule

• Planning and Maintenance

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Key Concept:

Business Impact Analysis (BIA)

• BIA is the process to analyze activities and the effect that a disruption might have upon them and designation of essential functions.

• Various BIA Methodologies – Identify business

processes/activities and owners

– Determine impacts of disruption to each activity/process

– Determine time when interruption becomes unacceptable

– Identify interdependencies

– Determine Recovery Time Objectives (RTOs)

– Determine Essential Functions

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COOP Training and Exercises

Trainings:

• National Incident Management

System (NIMS)

• Incident Command System (ICS)

• FEMA Continuity Excellence

Series

• TEEX AWR 176-W Disaster

Recovery for Information Systems

• Workaround Procedures

Exercises:

• Assess Continuity Plan to test

gaps

• HSEEP Methodology

• Define Scope & Objectives

• Develop a Continuity Scenario –

does not need to be catastrophic

• Not response oriented – focus on

sustaining essential functions and

resumption of normal operations

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Benefits and Challenges of COOP

Benefits

• Minimizes disruptions

• Protects life, property and assets

• Supports strategic goals

• Enhances understanding of internal and external processes

• Shortens recovery and restoration of essential services

• Potential to yield cost savings

Challenges

• Implementation Costs

• Lack of Leadership Support

• Employee Lack of Interest

• Risk Misperception

• Operations and IT Disconnect

• Lack of Consistency between various plans

• Compliance Culture vs. Continuity Culture

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COOP Resource List

• Federal Resources

• Texas Resources

• Industry Standards

• Professional

Certifications

• Training Courses

• Helpful Websites

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Integrating Cyber Elements

into COOP

Bob Janusaitis

President

Business911 International, Inc.

bjanusai@business911.com

832-303-2911

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My perspective

• Based on almost 40 years in the private and public

sector

• Maintain various certifications, completing my Masters in

Public Service Administration in December

• Background includes:

– Cybersecurity

– Homeland Security

– Critical Infrastructure Protection

– Regulatory Compliance and Audit

– Organizational Resiliency

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Quick survey

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?

Objectives

• Overview of key areas

• Where Cyber fits in the COOP Process

• How to integrate Cyber elements into

COOP

• Challenges

• Available resources

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Courtesy Apollo 13 Movie

https://www.youtube.com/watch?v=C2YZnTL596Q

Continuity of Operations (COOP):

• The effort by individual

departments/agencies to sustain and

resume essential functions and basic

services.

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FCD-1 Annex A

COOP and Cyber

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“Communications and information systems provide the connectivity between and among key government leadership, internal elements, other organizations, and the public to perform essential functions.” FCD-1

Purpose and Goals

• Protect Life and Property

• Minimize Disruption

• Sustain Government

• Sustain Essential Functions and Services

• Resume Normal Operations

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David Alamia, HCOHSEM

Protect Life and Property

• First Responders

– Law Enforcement

– Fire/Rescue

– EMS

• Office of Emergency Management

• Water supply and sanitation

• Traffic

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Sustain Government

• Office of Emergency Management

• County and local offices

• Communication with residents

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Sustain Essential Functions and Services

• Essential functions are subsets of those

government functions categorized as:

– Mission Essential Functions (MEFs)

– Primary Mission Essential Functions (PMEFs)

– National Essential Functions (NEFs).

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IT Recovery Management

• How will you communicate to recover

operations?

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Restoration priority and cost

• Does your IT System restoration priority

align with the level of priority of your

operational function?

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Dollars

0 Time 48

Dollars

The cost

Requirements

• Communications and Information Systems

• Annex “E”

– 8 steps for essential functions

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1. Provide relevant organization sites and

designated continuity personnel with dedicated

access to the required minimum communications

capabilities.

2. Organizations sharing an alternate location and

communications capabilities with other

organizations have a signed agreement.

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3. Ensure risk assessments are conducted on all primary

and alternate communications and information systems

involved in the performance of essential functions

4. Coordinate and integrate Communications and

information system-specific planning efforts such as

disaster recovery plans and Information System

Contingency Plans (ISCPs) with appropriate organizational

entities.

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5. Activate Wireless Priority Service (WPS) on cellular phones issued to all personnel that are on continuity team personnel.

6. Issue Government Emergency Telecommunications Service (GETS) cards

7. Ensure primary and alternate locations sites enrolled in the Telecommunications Service Priority Restoration Program.

8. Annually review organizational and national continuity communications plans (as appropriate) for accuracy to ensure they are fully capable of supporting essential functions and document the date of review and the names of personnel conducting the review.

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Challenges

• Funding

• Personnel

• Other priorities

• Obsolescence

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Resources

• Federal Continuity Directive 1 - https://www.fema.gov/media-library-

data/1486472423990-f640b42b9073d78693795bb7da4a7af2/January2017FCD1.pdf

• NIST – 800-34 Contingency Planning Guide http://nvlpubs.nist.gov/nistpubs/Legacy/SP/nistspecialpublication800-34r1.pdf

• NIST Framework for Improving Critical Infrastructure

Cybersecurity –https://www.nist.gov/sites/default/files/documents/cyberframework/cybersecurity-framework-

021214.pdf

• Apollo 13 clip

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Questions?

Bob Janusaitis, CISA, CISM, CRISC, CBCP, CHLS

President

Business911 International, Inc.

bjanusai@business911.com

281-772-6123

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Lunch Break

Be back in 15 minutes for a working lunch with our

panel of experts

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Panel of Experts

Moderator: Caroline Egan, FBCOEM

David Alamia, Harris County OHSEMGinger Walker, University of HoustonBob Janusaitis, Business911 International, Inc. Karen Wazbinski, ACP, South Texas Chapter

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Plan Development Table Top

Exercise (TTX)

Tina Rose

Regional Planner

Regional Catastrophic Preparedness Initiative

Tina.Rose@HoustonTx.gov

832-393-1059

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Exercise Schedule

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Topic Time

Exercise Overview 12:00 - 12:10

Module 1: COOP Plan Activation 12:10 - 12:40

Module 2: Cyber-Security 12:40 - 1:00

Module 3: Extended COOP & Reconstitution 1:00 - 1:20

Hot Wash 1:20 - 1:30

Purpose and Scope

• Purpose: This exercise utilizes a cascading scenario with elements from the Continuity Assistance Tool (CAT) to help you consider your continuity of operations (COOP) plan and procedures.

• Scope: This exercise is focused entirely on continuity guidance for non-federal government agencies and partners.

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Core Capabilities & Objectives

Planning

• Discuss COOP guidance elements to identify

implementation procedures, stakeholders, and

facility needs for continuity of essential functions.

Operational Communication

• Discuss the activation and relocation of

stakeholders and services needed for continuity of

essential functions.

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Core Capabilities & Objectives

Cybersecurity

• Discuss cybersecurity and the maintenance of

access to essential systems and records.

Infrastructure Systems

• Discuss planning considerations for the continuity

of operations while transitioning essential

functions back to a primary operating facility

during reconstitution.

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Exercise Reminders

• There are no right or wrong answers.

• Discuss, debate, and share enthusiastically.

• The scenario is plausible, consider how it or something similar could affect your building, personnel, or business functions.

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Instructions

• Consider your Continuity of Operations

Plan with the exercise scenario.

• Use the worksheet to record discussions

and reactions to the questions.

• Identify gaps in plans and procedures.

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Module 1 - Scenario

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Module 1 - Scenario

Over the weekend several pipes, including a

sewage pipe, burst in your building which

caused electrical malfunctions, small fires,

and significant water and excremental

damage in the offices.

The cause is unknown.

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Module 1 - Scenario

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https://www.youtube.com/watch?v=bAjIT6tDpqw

Module 1 - Scenario

Building access is

restricted for the next

month during clean-up

and repairs.

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No office equipment or documents are

recoverable at this time.

COOP Activation

How does your agency determine the activation of its COOP plan?

What is your communication plan to inform staff and external partners (including the public) that a COOP plan is activated?

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Essential Functions

How do you analyze the impact of your agencies services and activities to identify and prioritize essential functions?

How would you maintain essential business functions for your agency?

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Personnel Requirements

How does your plan help you determine

which personnel are needed for high

priority agency essential functions?

What is your policy for personnel with

low-priority business functions?

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Resource Requirements

How does your plan address sufficient

quantity of resources (e.g., personnel,

equipment, etc.) to perform your pre-

identified and prioritized essential

functions?

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Scenario Update

Personnel in your relocation group are

preparing the continuity site at an alternate

location for 30 days (or longer).

Staff not required for immediate (priority)

essential functions have been told to remain

home and await further instructions.

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Relocation

Who coordinates and approves cold, warm, or hot continuity sites for your agency? Are they pre-identified?

Are the continuity sites local or do you have agreements to use facilities in another jurisdiction or agency?

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Site Requirements

How does your plan help you identify

the actions that are needed to make

your continuity site operational (e.g.,

site access, security, ADA compliance,

communication requirements, power

sources, etc.)?

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Scenario Update

Your IT specialists have confirmed that the

primary IT systems have been damaged

and personnel must rely on back-up

systems off-site for information.

Currently, only some hard copies offsite are

retrievable at this time.

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Essential Records

How does your agency maintain an inventory of essential records, including format (e.g., paper, electronic), location (e.g., file cabinet, network drive), and instructions for accessing those records?

How does your plan identify and prioritize essential records associated with priority essential functions?

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Module 2: Cyber Security

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https://www.youtu

be.com/watch?v=

jIkePSwvFgc

Module 2: Cyber Security

WannaCry Ransomware has crippled

companies across the globe. The alternate site

firewalls failed and someone clicked on an

attachment that compromised internal data.

Your agency has blocked external email and

internet browsing to ensure computer operating

systems are protected.

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Internet Access

How does your plan address the effect

of a loss of internet access on priority

essential functions?

How long can your agency sustain a

loss of internet service before essential

functions are severely affected?

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Telework

What telecommunication and telework

capabilities are outlined in your plan?

Are personnel able to remotely access

essential records via Citrix, VPN or a

similar application?

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Telecommunications

Are WiFi connections, server access, and computers readily available for use in the alternate continuity location?

If your local network or agency intranet is affected, what back-up system is available?

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Scenario Update

The firewalls have been secured. Both

intranet and internet access is available.

IT has limited staff available for the various

different access, software, and equipment

issues that need immediate attention.

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Information Technology

According to your plan, who determines which IT programs, systems, and/or software are brought on-line first for your agency?

Do critical IT operation levels align with priority essential functions in your plan?

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Objective Prioritization

Does your plan include Recovery Time Objectives (RTOs) regarding the priority of essential functions with IT applications?

Does your plan outline a prioritization strategy for restoration and reinstallation of critical software applications across server and desktop infrastructures?

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Module 3 - Scenario

It has been over 3 weeks and the structural

building issues are fixed; however, because

of the damage, the building will be completely

renovated over the next 4-6 months before

your operations can resume at the facility.

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Reconstitution Process

What is your communications plan to inform

staff and external partners (including the

public) of reconstitution expectations so they

all now when normal operations will resume?

How does your plan identify a team for

reconstitution to ensure an orderly process?

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Reconstitution Plan

What information is needed to conduct

reconstitution planning (e.g. equipment &

utility requirements, office layout, etc.)?

How does your plan ensure this information

is an essential record and available remotely

(since the building is inaccessible)?

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Considerations

Is a relocation or continuity manager and a

reconstitution manager identified to lead

the 2 different processes?

What external partners will be required to

help you conduct effective reconstitution

planning?

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Hot Wash

COOP Plan Review

• Areas to maintain/sustain?

• Quick fixes to address now?

• Areas for improvement to work on

over the next year or longer?

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Response and Recovery in

Disaster conditions

Mitch Randles

Fire Chief/EMC

Temple, TX Fire and Rescue, Joplin, MO (retired)

mrandles@templetx.gov

254-298-5682

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Introduction

JOPLIN, MISSOURI

MAY 22, 2011: EF-5 TORNADO

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Replacement Stations

Replacement Temporary Apparatus

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• Size of damage area

• Number of people affected

• Amount of debris

• Influx of people and resources

• Need for special resources

• Damaged infrastructure

• Communications

• Severe weather continued for 3 days

• Special visitors

• Media

• Medical Services

• Animal Control

Why did we succeed?

• Teamwork

– Provided clear goals, objectives and assignments

– Uniform focus and direction

• Pre-established relationships locally, regionally, Statewide

• Success of local, regional and state mutual aid systems

• Can do type of attitude, Failure/lack of action was not acceptable

• Accountability

Are you Prepared?

Questions?

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Thank you.

Adjournment

Please take a moment and fill out a feedback form

Thank you for attending!

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