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COOP for Smaller CBOs Continuity of Operations

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COOP for Smaller CBOs

Toolkit Continuity of Operations for Smaller Community-based Organizations

Recognize the difference between what is urgent today

and what is important for tomorrow.

Don’t be tempted to underestimate the risk by thinking

“It probably won’t happen to me.”

The purpose of this Toolkit is to introduce community-based organizations to a planning

process that will help them to survive disasters and quickly resume their services to the

community.

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This material was assembled by Volunteer Florida and is available upon request

in Braille, audiotape, large print, and on computer disk. Please call 850-921-

9172 voice/tty for alternative formats.

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Table of Contents

COOP for Smaller Community-Based Organizations 5

Community-based Organizations………………………………………… 5

The COOP for CBOs Toolkit 5

What, exactly, is a COOP?………………………………………………… 6

Tips for Developing a COOP 6

Basic Terminology………………………………………………………… 7

Four Phases of Emergency Management 7

The Planning Process……………………………………………………… 8

The Continuity of Operations Plan 9

Essential Elements of a COOP……………………………………………………. 9

1. Mission Essential Functions 10

2. Current Resources and Capabilities…………………………………… 10

3. Hazards, Risk and Vulnerability 11

4. Direction and Control…………………………………………………… 12

5. Authority and Succession 12

6. Logistics and Administration…………………………………………… 12

7. Security 13

8. Communications………………………………………………………… 13

9. Facilities and Equipment 13

10. Vital Records and Databases…………………………………………. 14

11. People 14

12. Supplies, Products and Services……………………………………… 16

13. Insurance 16

14. Community Relations…………………………………………………. 16

Implementing your COOP 17

Training and Exercise……………………………………………………… 17

Response and Recovery: Activating Your COOP 17

Emergency Protective Actions…………………………………………….. 17

Implement the Recovery Plan 18

Mitigation…………………………………………………………………… 18

Additional Resources 19

Table of Forms, Checklists and Charts……………………………………………… 23

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COOP for Smaller Community-based Organizations

Community-based Organizations

Community-based, nonprofit organizations (CBOs) are a vital part of any community. They

provide services that enhance the quality of life and contribute to the economic vitality of the

community. When a CBO loses its capacity to serve due to a major disaster or even an

unforeseen internal event, the loss is felt not only by the clients it once helped but also by the

community as a whole.

Since 1998 federal government agencies have been required to maintain Continuity of

Operations Plans (COOP) to ensure their continued viability in the event of a natural or

human caused event threatening our safety and security. Federal and state COOP

requirements, however, do not extend to large nonprofits and CBOs, which make up more

than half of all the organizations that provide services in disasters.

In the aftermath of each storm of the 2004 and 2005 hurricane seasons, CBOs vital to the

recovery process were among the casualties. Some never re-opened.

Because we are just as dependent on CBOs as on government agencies in a post-disaster

environment, it is critical to make Continuity of Operations planning a routine part of doing

business. Every organization, regardless of its size, is vulnerable to a variety of hazards. The

survival of each organization and its capacity to serve is the responsibility of the organization

itself.

The COOP for CBOs Toolkit

This Toolkit is designed to help COOP planners to:

• Know the difference between hazards, risk and vulnerability

• Understand the purpose and content of the Continuity of Operations planning process

• Know the essential elements of a COOP

• Be able to apply COOP principles to their own unique organizations

The narrative portion of this Toolkit is intended to explain the planning process and the

essential elements of a COOP and to instill a sense of urgency in organizations whose services

are critical to recovery from disasters. The worksheets, charts and checklists, many

referenced in the text, will help planners to easily gather and record information and identify

specific areas where additional planning is needed.

This Toolkit is a condensed version of COOP for CBOs. If your organization has more than

30 employees, manages multiple sites or operates several programs for different clients or

consumers, you might find yourself asking, “Well, what about…?” If this version seems to be

insufficient for your needs, please refer to the original COOP for CBOs available at

www.volunteerflorida.org.

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What, exactly, is a COOP?

A Continuity of Operations Plan is a tool that will help you persevere in the face of disaster.

It is both a process and a document that will enable you to strengthen your organization.

The COOP process requires careful consideration of these questions:

• What/who are we?

• What could constitute a disaster or emergency for our organization?

• What are our vulnerabilities?

• What can we do to survive?

• Are we flexible enough to redefine our organization’s purposes and processes?

Your COOP document will become:

• A record of your responses to these questions; and

• A set of actions to take before, during and after a disaster to ensure that your

organization can accomplish its essential functions.

Tips for Developing a COOP

A University of Wisconsin 1 study has shown that attitude, adaptability and flexibility are

fundamental requirements for organizational survival. Your COOP will help your

organization survive if you keep in mind that:

• The plan is for the continuance of your operation, not merely a plan for physical

facilities. Traditional structural precautions are necessary to reduce losses to life and

property, but are not sufficient to insure organizational survival.

• Most losses do not occur during or immediately after an event. Agency losses go

beyond initial damage to include business interruption and lost funding, which leads to

loss of employees and other organizational assets.

• Meeting client and consumer needs is the purpose of your organization. Those needs

often drastically change in the wake of a disaster.

• Survivors are flexible, innovative entrepreneurs. Returning to business as usual might

not be the best goal. Survivors often come up with an alternate strategy, such as

moving to a new location, changing their business processes or even changing their

products or services.

The process of developing a COOP will be a satisfying experience, as your organization

systematically plans to ensure that you’ll be there to help when the community needs you

most.

1 Organizations At Risk: What Happens When Small Businesses and Not-For-Profits Encounter Natural

Disasters, University of Wisconsin-Green Bay Center for Organizational Studies, 2001

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Basic Terminology

What is an incident or emergency?

An emergency is any unplanned occurrence that can cause deaths or significant injuries to

employees, customers or the public; or that can shut down your organization, disrupt

operations, cause physical or environmental damage, or threaten the organization’s public

image or financial standing.

What is a disaster?

An emergency is generally considered a disaster if its impacts are so devastating that they are

beyond the capacity of the local community to manage them and additional resources are

needed from outside the impacted area. However, to a small community-based organization,

a structure fire, damaged computer network or the loss of a key manager can have disastrous

effects.

What is emergency management?

Emergency management is the combined actions taken before, during and after an incident to

save lives, protect property and preserve or resume the normal life of a community.

Who is an emergency manager?

You! Every individual has a responsibility to take actions that will minimize the impacts of

disasters on themselves, their families and their places of work. It is individuals, in concert

with local, state and federal government and non-governmental organizations, who will create

the “Culture of Preparedness” 2 that will make this nation and its communities more disaster

resistant and resilient. Developing your Continuity of Operations Plan is an important step

toward that goal.

Four Phases of Emergency Management

The work of managing disasters is done in phases. Every disaster has four phases –

preparedness, mitigation, response and recovery. It is common for an organization or a

community to be in the recovery phase of one disaster and the preparedness phase of another.

• Preparedness – The process of getting ready to withstand the impacts of a disaster and

to implement the other three phases of emergency management

• Mitigation – Preventive measures taken to reduce the risk of experiencing an

emergency, and to reduce vulnerability and minimize damage.

• Response – That part of the emergency management cycle that occurs immediately

before, during, and immediately after an emergency incident. Response is not merely

2 The Federal Response to Hurricane Katrina: Lessons Learned. http://www.whitehouse.gov/reports/katrina-

lessons-learned/chapter6.html

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a reaction; it is a planned set of operations designed to manage and control, to the

extent possible, the event and its consequences.

• Recovery – Consists of restoring the physical and operational elements of an

organization to their pre-disaster state. It may include modified, improved or

alternative solutions.

Continuity of Operations Plans focus on preparedness and mitigation strategies to reduce the

need for response and recovery measures.

The Planning Process

The broadest possible participation in the planning process will help to ensure the buy-in of

employees at all levels and in all departments of your organization. Assemble a COOP

planning team that includes someone from each level and each department, and assign one

person to lead the team. Make sure the team knows it has the support of top management. If

your organization is a two or three-person operation, you are not “excused” from developing a

COOP for lack of a team. It simply means that your “team” has already been assembled and

that a few of the planning steps described in this Toolkit might not apply to your organization.

Prior to writing the plan, baseline information from all operational areas of the organization

should be assembled. Gather current emergency plans and policies, building plans and site

maps. Other baseline information could include: resource lists (equipment, supplies,

services), hazardous materials (including cleaning supplies and chemicals), mutual aid

agreements, security procedures, evacuation plans, information technology inventories and

procedures, employee and volunteer manuals, record retention procedures, organization charts

and delegations of authority.

Codes and regulations affecting the organization’s operations must also be identified. A

general example is the Occupational Safety and Health Administration (OSHA) regulations

that apply to all. Specific examples are the safe food-handling regulations that apply to CBOs

such as soup kitchens and Meals on Wheels, and the confidentiality requirements of agencies

making and receiving client referrals.

The steps in writing the plan are similar to most general planning processes and include the

following:

• Establish goals

• Collect data

• Determine hazards, risks and vulnerabilities of your organization

• Analyze current capabilities

• Prepare first draft

• Review by staff, board of directors and external stakeholders

• Incorporate changes, prepare final draft

• Final review by organization’s board of directors

• Officially accept and adopt as company policy

• Print and distribute

• Train, exercise and regularly update

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The Continuity of Operations Plan

The Continuity of Operations Plan should contain:

• The purpose of the plan

• Key staff names and contact information

• The organization’s mission essential functions

• Methods of alert and notification of staff

• Description of alternate operations

• Standard Operating Procedures, such as, but not limited to:

o Activation procedures

o Management and staff notification procedures and lists

o Building evacuation plan

o Customer and supplier notification plans

o Alternate facilities plans

o Site support procedures

o Resource acquisition plans

o Plans for protection of vital records and databases

o Alternate communications plans

o Facility disaster supply kit and Go Box checklists

o Family preparedness guidance

Essential Elements of a COOP

A Continuity of Operations Plan follows a generally accepted planning process, but contains

certain components and elements that are essential for the plan to be a useful disaster planning

tool. The essential elements that will be found in a comprehensive Continuity of Operations

Plan include:

1. Mission Essential Functions

2. Current Resources and Capabilities

3. Hazard Identification, Risk Assessment and Vulnerability

4. Direction and Control

5. Authority and Succession

6. Logistics and Administration

7. Security

8. Communication

9. Facilities and Equipment

10. Vital Records / Information Technology

11. People

12. Supplies, Products and Services

13. Insurance

14. Community Interface

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1. Mission Essential Functions

Development of the COOP begins with identification of your organization’s mission essential

functions. Mission essential functions are critical activities that are vital to the survival of the

organization and the accomplishment of its mission. These functions must be performed or

the organization ceases to operate. In identifying mission essential functions, consider both

normal day-to-day operations and the organization’s responsibilities during a disaster. 3

To determine how critical a function is, consider the following points.

• Would the function increase, decrease, remain the same or terminate during an

emergency?

• Would elimination or curtailment restrict the organization’s ability to deliver its

product or services?

• Be especially cautious with functions for which performance depends on a single

resource or activity.

• Determine the organizational unit responsible for each function.

• Identify organizational, product and service linkages to each essential function.

• Identify the human and other resources necessary to keep the function operational.

The next step is to prioritize the functions you have determined to be essential to your

organization. Those dealing with life or safety issues must be addressed first, followed by

other functions without which the organization will cease to operate.

2. Current Resources and Capabilities

This essential element enables an organization to understand where it is now, and, in the event

of an emergency, what capabilities and resources need to be developed in order to accomplish

its essential missions.

• Analyze capabilities

• Inventory resources

• Examine organization charts and personnel assignments

• Evaluate lines of authority

• Review internal plans and policies

• Analyze lines of communication

• Determine weaknesses

3 See Chart p. 100

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3. Hazards, Risk and Vulnerability

The terms hazard, risk and vulnerability are similar but the distinctions between them are

important to the Continuity of Operations planning process.

Hazards are the potential incidents that could have a negative impact on you, your

organization or your community.

Risk is the probability or likelihood that a particular hazard will impact your organization,

either directly or indirectly.

Vulnerability is the potential impact of an incident on your organization.

Hazards can be categorized as:

• Natural – including severe weather, flooding, heat and drought, wildfire, sinkholes and

seismic events, agricultural diseases and pests, and human disease epidemic

• Human caused – including structure fire and hazardous materials spills

• Technological – including disruption of utility, information and communications

systems, and environmental health threats

• Criminal and terrorism – including bomb threats, building explosion, suspicious letters

and parcels, chemical and biological weapons, cyber attacks, civil unrest, robbery and

theft

• Other hazards – such as violence in the workplace

This is not a comprehensive list and there might be hazards unique to your agency or location

that will require special planning.

Vulnerability is frequently divided into three principal categories:

• Impact on humans: your employees, customers and clients. Liability and damage to

your reputation are also related to impact on humans.

• Impact on property: facilities and equipment, supplies, stock and product, and such

intangibles as your client lists, databases and other vital proprietary information.

• Impact on your operations: How vulnerable are you if your employees are unable to

report to work, there is an interruption in critical supplies, the transportation system is

disrupted, or utilities are unavailable?

After assessing risks and vulnerabilities 4 , it is important to assess your resources and ability to

respond to each threat. Do you have the internal resources and capabilities to respond? Are

there external resources are available to help you? Can you establish mutual aid agreements?

If the answers to these questions are ‘No,’ you must then determine what can be done to

prepare your organization to respond.

Once the hazards and your organization’s risk and vulnerability are determined, consider who

has the expertise to help with your planning. If there are hazards for which you do not know

how to prepare, contact your local emergency management agency, which can refer you to a

person, agency or department with the needed expertise.

4 See Chart, p. 25

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4. Direction and Control

This element of the COOP addresses the question of who will direct the operations outlined in

your Continuity of Operations Plan. Someone must be in charge during an emergency. In

very small organizations the day-to-day leadership will probably remain in charge. However,

because emergency procedures may differ dramatically from normal day-to-day operations,

the person with primary responsibility for COOP planning or an individual with personal

experience in emergencies may be designated to take charge.

5. Authority and Succession

After an incident has occurred, it is too late to determine who has the authority to do what.

Authority, delegation of authority and lines of succession should be part of a normal course of

business and are essential elements of a Continuity of Operations Plan since roles and

responsibilities will often differ during an emergency.

At a minimum, delegations of authority and orders of succession should:

• Describe which authorities should be delegated and to whom (e.g., the authority to

dismiss staff)

• Describe the circumstances under which the temporary authorities would be exercised

(e.g., worksite is unsafe)

• Describe the circumstances under which normal authority would be resumed

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