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Continuity of Operations Planning

Continuity of Operations (COOP) planning is good business practice and fosters resiliency.

Continuity plans are developed to ensure that Mission Essential Functions (MEFs) will continue under a broad range of circumstances.

What is a COOP?

COOP

COOP plans identify the organization’s MEFs and the critical personnel, resources, systems, and processes necessary to maintain them. COOP plans establish policy and guidance to ensure that MEFs are prioritized over all other functions during operational disruptions, are resumed within 12 hours and maintained for up to 30 days.

All Hazards

All Hazards

COOP planning takes an all-hazards approach, from natural hazards (e.g., tornado, hurricane, or epidemic) to human-caused hazards (e.g., power and communications outage, fire, or explosion).

How does my department develop a COOP plan?

Plan

The University has developed a COOP template to help guide department’s through the process. This web page also breaks down the plan into steps to help departments develop a plan one section at a time. Use the steps to establish your planning timeline.

Step 1.

Download the COOP Plan Template.

Planning Team

Form a COOP Planning Team. Designate key individuals from the department to participate in plan development.

Establish a planning timeline and set meetings for the team to collaborate on each step.

During the first meeting conduct a Hazard Analysis. List and prioritize the threats and hazards that pose the most risk to your department. During this process you will identify the different impacts that each hazard may have on your department. For example, a building fire may damage critical equipment and files, but not disrupt the department’s ability to continue online processes and functions. On the other hand, a cyber attack may not damage critical equipment, but may disrupt the department’s ability to work online and communicate. There may be different losses and costs associated with each of these events.

Step 2.

Describe Your Functions

Identify the principle nature of your department and the key individuals that will maintain the COOP plan. Summarize the department’s mission and list all of its functions.

Using the criteria provided in the template, identify the criticality of each function.

For each function list any dependencies the department has for services, supplies, or support from outside resources.

For each function list the services, supplies, or support the department provides to its “customers”.

Step 3.

Identify Your Staff

Identify department personnel. Describe by job title or function the number of personnel employed for each mission essential function.

Describe by job title or function the number of personnel critical to maintaining the function in a continuity environment.

Consider the least number of staff that could maintain the function.

List the number of personnel able to work remotely, and the resources required. Identify any gaps that prevent personnel from working remotely.

Develop an order of succession within the department’s leadership. Develop protocol for activating this succession. Ensure that the personnel identified have been given proper instruction, authority and access where necessary. Develop an order succession for each function.

Step 4.

Develop Your Communications Plan

Develop a communications plan and call tree to be used to notify staff of a COOP activation. Include the methods of how the department will communicate information regarding a disruption of operations and continuity activities, and the personnel responsible for maintaining communications.

Step 5.

List Your Critical Facilities and Equipment

List the facilities, equipment, and supplies critical to maintaining the department’s mission essential functions. Include the critical systems and records needed to maintain the MEFs.

Step 6.

Develop a Cache

Consider whether excess or additional critical equipment and materials should be packaged or prepared for an evacuation of the primary building. Are there supplies and documents that would facilitate a move of essential functions to another location? If so, develop a cache and list the location where it will be kept.

Identify the critical systems, resources, and workspace needs for MEFs. What would an alternate location need for the department to move in and resume operations?

If the department has identified an alternate worksite and has established agreements for the use of the worksite, list the location, agreement, and key points of contact.

Step 7.

Develop COOP Procedures

First, use this step to establish written policies, procedures, and or action steps that the department will follow to move from the primary facility to an alternate facility.

Next, use this step to establish policies, procedures, and or action steps the department will use to move back into the primary facility, and the steps or phases of returning to normal operations.

Step 8.

Develop COOP Training and Exercises

Develop protocol for training department personnel on the COOP plan.

Identify the method of training and who will be responsible for instruction.

Develop a plan for exercising COOP. Use the building block approach. For example, schedule small discussion-based exercises within the department’s units to go over the plan. This can be followed by unit-level drills to test a task, equipment, or system. A drill can be as simple as sending essential employees home to work remotely and completing the daily tasks of a mission essential function within a set period of time. Second, schedule a larger discussion-based exercise with personnel from multiple units, this can also be followed by a larger drill. Third, schedule a department wide functional exercise to evaluate the department’s ability to activate and implement COOP and move all mission essential functions. All exercises and drills should be documented. Participants should take part in an After Action Review of the exercise to identify what went well and what areas need to be improved. This should be followed by an Improvement Plan that identifies the areas for improvement, who will be responsible for the improvements, and when the improvements will be completed.

The last task of Step 8 is mitigation. Considering the vulnerabilities identified during the hazard analysis and list any actions or improvements that can be made now to reduce risk. For example, vital records should be backed-up to the cloud. How often are vital records backed up? Could the frequency be increased to ensure the most current records are in the cloud at any given time? Another example, ensure class materials and lectures are prepared and placed on FOLIO for a smooth transition to remote learning with little disruption at any time.

Step 9.

Create Quick Reference Guides

Quick Reference Sheets. Use the sheets available in the template or create your own. Ensure that each unit in the department has access to the COOP plan and that each unit has developed protocol and job aids for staff to facilitate a COOP activation.

Helpful Links

FEMA Continuity Tool Kit

Ready.Gov Business Continuity Plan

Ready.gov Business Continuity Suite

Last updated: 3/28/2022

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