Better to COOPThan Just COPE!

Council of State Archivists

Society of American Archivists

Austin, Texas

August 2009

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

BCP

• Business continuity planning life cycle– Analysis– Solution design– Implementation– Testing & acceptance– Maintenance

COOP & BCP

• Methodology to create practiced plan– Analyze– Solve & design– Implement & accept– Train, test & exercise– Revise & maintain readiness

• Scalable to ALL organizations

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

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

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

COOP Personnel

• Team plans & prepares– Management: IDs essential functions assigns staff

allocates resources ensures implementation

– COOP program manager & planning teamGoals & 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

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

Archives: PersonnelPlanning 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

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

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

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 --- $$$$$$$$$$$$$$$$

COOP / BCP Plan

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 Planning

1. Plan: analyze, solve & design

2. Integrate COOP/BCP & disaster planning

3. Implement & accept

Train, test & exercise - implement

Revise & maintain readiness

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

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

COOP Manage, Improve & Maintain

• Review & revise annually– TT&E: lessons learned– Changes: staff, mission/function, IT,

customer needs

• Train, test & exercise

• Allocate resources

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

COOP/BCP Essentials

1. Essential functions2. Personnel

– Who for what & how– Succession planning & authority

3. Resources– Facilities– Interoperable communications– Vital records and databases

4. Ensuring adequate preparedness• Train, test & exercise • Maintain & improve

COOP/BCP Advantages

Good for business

Improves operations Improves information management

You’ll be better prepared