Continuity of Operations (COOP)Planning Workshop

Division of Emergency ManagementDepartment of Military Affairs

What is Continuity of Operations?

• Continuity of Operations (COOP) is an effort within individual executive departments and agencies to ensure that essential functions continue to be performed during disasters or disastrous events.

Legal Authority and Guidance• The National Continuity

Policy (NSPD 51/HSPD 20)▫ Requires all Federal Executive Branch

agencies to develop continuity capability

▫ Established 8 National Essential functions

• Federal Continuity Directive (FCD) 1▫ Provides direction to developing

continuity plans and programs• Continuity Guidance

Circular (CGC) 1▫ Provides guidance for non-Federal

organizations (State, local, tribal) in continuity planning

Phases of Continuity• Phase I: Readiness and Preparedness▫ Identify essential functions▫ Develop continuity plan▫ Conduct TT&E

• Phase II: Activation and Relocation (0-12 Hours)▫ Put plan in action▫ Relocate to the continuity facility

• Phase III: Continuity of Operations (12 Hours – 30 Days, or until resumption of normal operations)▫ Execution of essential functions at the continuity facility

• Phase IV: Reconstitution ▫ Alternate facility terminated and normal operations resume

What is the Goal of Continuity Planning?

Continuation of Essential Functions

Why is Continuity Planning Important?

• Ensures the continuity of essential functions across a wide range of emergencies and events.

• Enables organizations to continue the functions on which their customers depend.

Benefits of Continuity Planning

• Ensure performance of essential functions• Minimize damage to critical processes• Ensure succession of leadership• Mitigate disruptions to operations• Protect essential facilities/resources• Achieve timely recovery• Resume full service to customers

When are Continuity Plans Implemented?• The plan can be put to use in response to a wide

range of events or scenarios, from a fire, to a terrorist attack

• Any event that makes it impossible for employees to work in their regular capacities

Elements of a Viable Continuity Plan

• Essential Functions• Orders of Succession• Delegations of Authority• Continuity Facilities• Continuity

Communications• Essential Records

Management• Human Capital

• Tests, Training and Exercises (TT&E)

• Devolution of Control and Direction

• Reconstitution

Essential Functions

• Activities an organization determines cannot be deferred during an emergency

• National Essential Functions (NEFs)

• Primary Mission Essential Functions (PMEFs)

• Mission Essential Functions (MEFs)

What are some examples of Essential Functions of a local government?

Orders of Succession

• Pre-identifying orders of succession is critical to ensuring effective leadership during an emergency.

• In the event an incumbent is incapable or unavailable to fulfill essential duties, successors have been identified to ensure there is no lapse in essential decision-making authority

Delegations of Authority

• Orders of succession specifically for certain positions

• Officials are trained in the position and are informed that she/he could be assuming the position

Continuity Facilities• Continuity facilities are locations, other than the

primary location, used to carry out essential functions. It includes:▫ Facility Information▫ Facility Logistics▫ Readiness Orientation

Continuity Communications

• Continuity communications are communications that provide the capability to perform essential functions under all conditions

Essential Records Management

• Information systems and applications, electronic and hard copy documents, references, and records, to include classified or sensitive data, needed to support MEFs during a continuity event. It includes:▫ Identifying Essential Records▫ Protecting Essential Records▫ Training and Maintenance

Human Capital

• The organization’s essential personnel and all other special categories of employees who have been designated as essential or “continuity” personnel. It includes:▫ Continuity Personnel▫ All Staff▫ Human Resources Considerations

Tests, Training, and Exercises (TT&E)

• Validation of the continuity capabilities, program, and ability to perform essential functions during any emergency

• Essential to improving the organization’s ability to execute the continuity plans

Devolution of Control and Direction

• The capability to transfer authority and responsibility for essential functions to other agency facilities and employees

Reconstitution

• Reconstitution describes how an agency attempts to restore operations to its primary facility

• If the primary facility cannot be used, another location must be identified for restoration of normal operations

How to Develop a Continuity Plan

Sections of a Basic Plan

• Mission Statement• Situational Assessment• General Assumptions• Hazard Assessment• Direction and Control• Structures

Mission Statement

• Defines the existence of the plan• A “call to action”▫ Motivational▫ Easily understood▫ Measurable/Tangible▫ Relevant

• Provides vision and direction

Situational Assessment

• Non-hazard specific limitations• Asks questions such as:▫ How often are you able to provide warning for a

disaster?▫ How have systems (power, water,

communications) been effected in the past?▫ How have disasters affected the ability of

emergency services?

General Assumptions

• Drawn from the Situational Assessment• Assumes how people will react, organize,

operate, and mitigate the effects of disasters• Example:▫ During the situational assessment, you find that it

takes 10 minutes to evacuate your facility. You can now assume that in a disaster it would take at least 10 minutes to evacuate your facility.

Hazard Assessment

• Provides the general overview of the reasons why we are preparing.

• Main Hazards for COOP:▫ Facility Fire▫ Facility Flooding▫ Evacuation of Facility

Direction and Control

• The “How” in the plan• Describes how to organize resources to

maximize capabilities in support of the citizens impacted

Structure

• Describes how the Direction and Control section will be implemented and by whom▫ Orders of Succession▫ Delegations of Authority

INCLUSIVE PROCESS

• Anyone whose position is considered essential• Elected officials• Legislative bodies• Public Works• Finance and Administration• Facilities• IT/Communications specialists• Etc.

Questions?

FEMA Independent Study Courses• IS-156 Building Design for Homeland Security for Continuity of Operations

• IS-520 Introduction to Continuity of Operations Planning for Pandemic Influenzas

• IS-522 Exercising Continuity Plans for Pandemics

• IS-523 Resilient Accord – Exercising Continuity Plans for Cyber Incidents

• IS-524 Continuity of Operations (COOP) Planner's Workshop

• IS-526 Mission Essential Functions (MEF) Workshop

• IS-545 Reconstitution Planning Course

• IS-546.a Continuity of Operations Awareness Course

• IS-547.a Introduction to Continuity of Operations

• IS-548 Continuity of Operations (COOP) Program Manager

• IS-550 Continuity Exercise Design Course

Eva WilsonKYEM Recovery Planning Coordinator

eva.k.Wilson.nfg@mail.mil502-604-1662