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Continuity of operations planning : survival for government

Get free weekly news by e-mailWhat is COOP? How do you start a COOP program? Dr. Jim Kennedy provides an overview.

What is continuity of operations planning, or COOP?
Continuity of operations (COOP) planning allows for the continuation of the essential functions of government departments or agencies during any incident or emergency that may disrupt typical, normal operations.

Continuity of operations planning addresses the recovery of critical and essential government operations in the event of an incident or emergency which disrupts service. This can be on a short-term basis, like a power failure, where having a backup capability (systems, personnel, processes, files, and etc.) can quickly resolve the situation. It can also be longer term such as in the case of a major hurricane or earthquake type of event where services are impacted for several days or in some cases weeks. For this long-term denial of service government organisations will need to plan for relocation to an alternative facility.

How does COOP compare to ‘continuity of government’ (COG)
Continuity of government typically addresses the succession of leadership. Like business continuity planning for businesses, continuity of operations planning deals with how to keep an organisation’s essential day-to-day operations functioning.

All too often, when COOP is being discussed, the misconception is that it deals only with the preservation of vital records or backup of data; however continuity of operations planning involves much more than such things, important though they are. It addresses the people, processes, systems, and infrastructure elements that are needed to continue to perform essential functions during a disaster or major incident.

What do we mean by emergency, disaster or adverse event?
When COOP planners discuss emergencies, disasters, or adverse events they can mean any incident that could result in the inability of a governmental entity or agency to provide essential services to its constituents, tax payers, citizens, businesses, and visitors.

When the general public thinks of emergency or disaster, they normally think of natural disasters or terrorist activities. The type of natural disaster that normally comes to mind depends on where the individual lives or was brought up. If they come from Florida they will probably think of hurricanes, flooding or severe storms, if they come from California they will more probably think of earthquakes, mudslides, or wildfires. As this shows each geographic location presents a different set of problems to the government in that area. Post 9/11 we have all come to understand that we must also be prepared for the possibility of terrorism.

Just to give a better indication as to what a government organisation or agency needs to potentially prepare for, let’s see what types of threats there are to governmental operations. The National Fire Protection Association has published a standard, NFPA 1600, to address contingency of operations. They list the following types of hazards:

Geological hazards (does not include asteroids, comets, meteors)
· Earthquake
· Tsunami
· Volcano
· Landslide, mudslide, subsidence
· Glacier, iceberg

Meteorological hazards
·
Flood, flash flood, tidal surge
· Drought
· Fire (forest, range, urban)
· Snow, ice, hail, sleet, avalanche
· Windstorm, tropical cyclone, hurricane, tornado,
· Water spout, dust/sand storm
· Extreme temperatures (heat, cold)
· Lightning strikes
· Famine

Biological hazards
· Diseases that impact humans and animals (plague, smallpox, Anthrax, West Nile Virus, Foot and Mouth Disease)
· Animal or insect infestation

Human-caused events
Accidental
· Hazardous material (chemical, radiological, biological) spill or release
· Explosion/fire
· Transportation accident
· Building/structure collapse
· Energy/power/utility failure
· Fuel/resource shortage
· Air/water pollution, contamination
· Water control structure/dam/levee failure
· Financial issues, economic depression, inflation, financial system collapse
· Communications systems interruptions

Intentional
· Terrorism (conventional, chemical, radiological, biological, cyber)
· Sabotage
· Civil disturbance, public unrest, mass hysteria, riot
· Enemy attack, war
· Insurrection
· Strike
· Misinformation
· Crime
· Arson
· Electromagnetic pulse

If any of the above were to occur the effect on government would most probably come in the form of denial of service to the users of the services. As each governmental agency increasingly relies upon sophisticated systems to supply information needed to perform its missions they will be faced with new and unique vulnerabilities.

After 9/11 all branches and types of governmental operations (federal, state, county and local) have been concerned about their ability to continue operations should they be directly impacted by an emergency or disaster situation. County and local governments which have many different agencies and departments have to deal with events such as hurricanes, fires, or floods that would require them to relocate their operations for an extended period of time. Many such government organisations have developed thorough and complete continuity of operations plans that will include resumption plans for that governmental body, agency, or department to facilitate the operations of government services to its citizens.

The Federal Emergency management Agency (FEMA) has provided state and local planning guidance. FEMA recommends that COOP planning goals should include an all-hazards approach, the identification of alternate facilities, the ability to operate within 12 hours of activation, as well as maintain emergency operations for up to 30 days.

How does a governmental operation start continuity of operations planning?
Many organisations such as the Business Continuity Institute and the Disaster Recovery Institute have created time-tested models for providing contingency and business continuity planning for major corporations and, yes, governmental agencies. Looking to these business continuity planning and project management models employed by business, COOP experts have developed a model for the COOP planning process. A COOP program consists of seven phases:

1. Project initiation

2. Identification of functional requirements
a. Mission impact analysis
b. Risk assessment
c. Mitigation strategies and plan

3. Plan design and development

4. COOP program implementation

5. Training, testing and drills

6. COOP plan revision and updating

7. COOP plan execution

At minimum each governmental operation needs to ask and answer the following questions:

· What are the operation’s essential functions and key personnel?

· How can the operation’s facilities, vital records, equipment, and other critical assets be protected?

· How can disruption to the agency’s or department’s operations be reduced?

· How can damages and loss of life be minimised?

· Is it possible through proper planning to achieve timely and orderly recovery from an emergency to a full service to the services users?

How to get the job done…
Each governmental organisation, agency, or division will need to develop a COOP plan if they have not already begun. How they approach this will be unique to their financial and organisational situation and the availability of trained personnel. In the US the financial aspect has been somewhat lessoned by the potential of acquiring funding grants from their state or federal FEMA organisations. This still leaves the question as to who to get to write the plans.

If your governmental operation chooses from one of the many consultants or consulting companies who provide COOP planning make sure that your staff maintains a close degree of involvement and when completed that the consultant(s) provide, at the very least, general awareness training of the COOP plan to participants and the public, and a walk-through and sign-off by the agencies and/or departments who will be responsible for deploying the plan when that disaster or emergency occurs. If you choose to do it yourself I would recommend that you have an experienced and certified business continuity planner review it for any potential gaps or inconsistencies.

Dr. Kennedy is a Distinguished Member of Consulting Staff with Lucent Technologies and is an author, professor, and consultant who has been involved with all forms of communication (RF, satellite, digital, telecommunications, and etc.) for over 35 years. He is a recognised expert in the field of business continuity and disaster recovery and information security. He is a NARTE MASTER Certified Engineer, a Master Certified Recovery Planner and a Member of the Business Continuity Institute.

Dr. Kennedy is co-author of the ‘Black book of Corporate Security’ by Larstan Publishing. jtkennedy@lucent.com

Date: 29th April 2005 •Region: US/World •Type: Article •Topic: BC general
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