Better to COOP Than Just COPE!

1. Better to COOPThan Just COPE! Council of State Archivists Society of American Archivists Austin, Texas August 2009

2. COOP: Continuity of Operations • Primary facility is unusable long enough to interrupt normal operations • Actions to resume essential functions • Within 12 hours & for up to 30 days • 4 essential functions • Vital services • Civil authority • Safety & well being of public • Sustain economic/industrial base

3. BCP • Business continuity planning life cycle • Analysis • Solution design • Implementation • Testing & acceptance • Maintenance

4. COOP & BCP • Methodology to create practiced plan • Analyze • Solve & design • Implement & accept • Train, test & exercise • Revise & maintain readiness • Scalable to ALL organizations

5. Goals of COOP & BCP • Ensure continuity of essential functions • Reduce adverse effects of disruption • Recover & restore interrupted critical functions w/in predetermined time • How to stay in business in a disaster • Strategies for continuing to meet users’ needs

6. Functions: Essential & Urgent • Absolutely must perform w/o disruption • If disrupted, unacceptable damage • Legally required MISSION ESSENTIAL FUNCTIONS ? Customers’ needs ? Relationship to parent organization’s essential functions ? Criticality of function

7. Archives: Essential Functions • Support business functions • Back-up tapes & media • Vital records • Financial records • Emergency recovery responsibilities • Institution – State govt – Local govts • Information for public well-being • Vital records • Property records • Student records

8. COOP Personnel • Team plans & prepares • Management: IDs essential functionsassigns staff allocates resources ensures implementation • COOP program manager & planning team Goals & milestones develops plan monitors budget • Knowledge • Emergency planning • Essential functions, resources, equipment • IT, communications, logistics, facilities, legal issues • All staff: resources & support to implement functions

9. COOP Personnel Leader & Emergency Relocation Group • Succession Plan 3-deep when activated notification • Documents specifying legal authority what to whom when • ERG: keep small • Know plan & roles - train • Able to relocate (“go kit”) • Resiliant, flexible, & healthy

10. Archives: Personnel Planning Team:small • Essential functions: staff + resources + alternate facilities + equipment + authority • emergency planning, policies, IT, communications, logistics, legal What will be most critical decisions in emergency? Implications • Personal choices • What if non-essential ? • Unwelcome commitments, obligations • New responsibilities & cross-training • Knowledge transfer • Agency family support planning

11. Archives COOP Personnel ERG: implement essential functions • RM: support business functions • Tape & media retrieval, copying, delivery, reformatting • Vital records retrieval, copying, delivery, reformatting • Emergency operations, assessment & recovery • ICS to organize emergency response • Emergency operations centers • On-scene assessment & recovery • Reference Services: info delivery offsite • Vital records • Maps, infrastructure, environmental quality, & property records • Student records

12. COOP Resources • Facilities • Alternate & secure + Basics to work • Records & Databases • Emergency operating records • Legal & financial records • COOP records for essential functions • Communications • Voice & data • Access to data, systems & services • Immediately activated & interoperable

13. Archives COOP Resources • Facilities & Communications • Threat assessment & mitigation • Records & Databases • operating, legal & financial records • COOP essential functions : records & resources RM: support business functions: records Emergency op, assessment & recovery: location, collections, supplies, transportation Reference Services: records • Redundancy --- $$$$$$$$$$$$$$$$

14. BCP: Minimal Staff contact info Crisis man info Vendor info Offsite data storage Insurance contracts Other info for COOP functions COOP/BCP: Complex Activate COOP, deploy staff & relocate Work recovery Means to reestablish physical records Establish & operate new facility Reconstitution COOP / BCP Plan

15. COOP Planning • Plan: analyze, solve & design • Integrate COOP/BCP & disaster planning 3. Implement & accept Train, test & exercise - implement Revise & maintain readiness

16. Training, tests & exercises • Training & cross-training • Assess plans, policies, & procedures • Learn competencies & skills • Clarify roles & responsibilities • Tests: evaluate capabilities • systems, facility, records recovery • Exercises: progressive practice!! • Evaluate effectiveness & id improvements

17. COOP Exercises • Variety • Hazards & operations • Tabletops, drills, functional & full-scale • Interface w/ other agencies • Scenarios • Destroyed by fire • Inaccessible because of hazardous spill • IT failure for 24 hours • Records center is flooded

18. COOP Manage, Improve & Maintain • Review & revise annually • TT&E: lessons learned • Changes: staff, mission/function, IT, customer needs • Train, test & exercise • Allocate resources

19. COOP • Focus on BIG questions first • Mission essential functions • Records management & redundancy • Mitigation • Fill in details as planning continues & matures • Distribute via intranet – easier to keep up w current copies

20. COOP/BCP Essentials 1. Essential functions • Personnel • Who for what & how • Succession planning & authority • Resources • Facilities • Interoperable communications • Vital records and databases • Ensuring adequate preparedness • Train, test & exercise • Maintain & improve

21. COOP/BCP Advantages Good for business Improves operations Improves information management You’ll be better prepared