Princeton COOP Template

8/12/2019 Princeton COOP Template

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DRAFT Princeton University COOP

DRAFT Princeton University Continuity of Operations Plan (COOP)

Instructions:To be better prepared, all departments and units are asked to complete a Continuity of

Operations Plan to describe how your department will operate during a long-term emergency, such as an

influenza pandemic, and afterward recover to be fully operational. This is your Plan feel free to augment thistemplate to meet your needs. !se additional sheets if necessary. Theprocessof planning for an emergency is

most valuable to your department. "e collaborative when drafting this, and seek comments from your staff and

leadership. #$% is available to assist you in the process, upon re&uest.

Department/Unit

Developer Date Plan Finalized

Plan Development

ead of Operations!ame P"one !um#er Alt P"one !um#er

$mail address

A%O#&ectives and Plannin' Assumptions

Princeton !niversity has established four priorities for managing emergency situations'

Priority 1' Protect the lives of those who learn, work, visit and live at Princeton !niversity

Priority 2' Protect and preserve !niversity property and the environmental. (aintain integrity of

facilities.

Priority 3' )estore !niversity operations, activities and services.

Priority 4' Provide assistance to the local community and e*ternal agencies.

%everal departments provide services essential to achieving these ob+ectives.

Planning Assumptions. lthough we cannot predict how a long-term emergency may affect the

!niversity, when developing your plan, the following assumptions may be useful'

. Classes and public events are suspended for -/ weeks.

0. #mployee absenteeism for your department will be high, up to 1/2 for some portion of the emergency

timeline.3. 4or planning purposes, assume that absent employees include department heads, supervisors and

essential personnel with primary responsibility for essential functions.5. 4ifty percent of your supplies will not be available during the -/ week period.

1. ssume that the incident will occur during the fall or spring semester.

6. ll students who are able to go home will be off campus. ppro*imately 7// students and their

dependents remain.

Alternative Scenarios

8oss of building or part of building due to fire, flood, etc.

#*tended loss of power and9or computing support from O:T


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% our Dept*s Continuity of Operations O#&ectives

Considering the above ob+ectives and assumptions, describe your department;s key ob+ectives, functionsand responsibilities'

Briefly describe the range of services that you provide to others in the event of a long-

term emergency. Do not include your normal operations that can be suspended.

It should be clear why your department must remain functional, at least in part, during along-term emergency.

Consider the priority tasks of your department. List them out and indicate whether theyare performed daily, weekly, monthly, etc.

C% $mer'ency Communication +ystemsll employees are responsible for keeping informed of emergencies by monitoring news media reports,

Princeton;s main


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%hould any departmental forms, supplies, e&uipment, or reference materials be stored in an off-site

locationD :

:dentify the storage and security of original documents and vital records within your department. $ow

would this be replaced if lostD %hould any be stored in a more protected place, e.g., off-site storage,

vault, etcD

re your networked computers being backed up on scheduleD 4or clarification of backup procedures,please review the O:T T%( !sage and Charging Policy.

$ow long can your department perform all of its business functions without the support of O:TD

ssume that this loss occurred during your busiest peak period. (ake a list of each critical business

function and indicate =ot at all, !p to 3 days, !p to one week, !p to a month or :ndefinitely.

$ave you developed back-up or other procedures that can be used to continue operations in the event

that your system is not availableD


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F% .eaders"ip +uccession

8ist here the people who can make operational decisions if the head of your department or unit is absent. This

may differ from your regular organizational structure, based on individuals; responsibilities in an emergency.

!ame Title P"one!um#er

Alt P"one!um#er

ead ofDepartment/Unit

First +uccessor

+econd +uccessor

T"ird +uccessor

% Ot"er 0ey ,nternal Dependenciesll Princeton !niversity departments rely on the #nergy Plant, O:T >for internet, e-mail and central servers?,

Payroll, Purchasing, and Public %afety. 8ist below products and services upon which your department

depends, and the otherinternal >Princeton !niversity? departments or units that provide them.

Dependency'product or service( !Provider!





Dependency'product or service( !

Provider!



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% 0ey $1ternal Dependencies8ist below products and services upon which your department depends, provided by e*ternal suppliers or

providers. Please contact them to determine if they have a continuity of operations plans and whether the

!niversity has priority for their services.

Consider alternate sources for these services and supplies and determine whether or not they are considered

!niversity vendors. .

Dependency'product or service( !

Fre2uency of +ervice

Primary Alternate

Provider

Primary Contacts

P"one !um#ers

Dependency (product or service) %


%rimary $lternate

Provider

Primary Contacts

P"one !um#ers



%rimary $lternate

Provider

Primary Contacts

P"one !um#ers



%rimary $lternate

Provider

Primary Contacts

P"one !um#ers

,3 Relocation or Reallocation@epending on the emergency, your building or physical resources may not be available to you. :n the

event that your department must relocate or share resources with another group, consider the following'


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forms, office e&uipment, computer e&uipment and telecommunication devices. Geep in mind that

the purpose is not to replicate your current situation, but support critical functions.

$ow much space would you needD

@o you have special needs such as refrigeration, temperature9humidity controls, etc.D

:f you were able to remain in your building, but there was an e*tended loss of power, does your

department have e&uipment or materials that would be at riskD re uninterruptible power suppliesavailable and in placeD "attery back-upD enerator powerD

re there special security re&uirementsD

4% 5iti'ation +trate'ies

Considering all of the information provided in this plan regarding your role during an emergency, your

essential function and dependencies, consider steps that your department can take to minimize the impact of a

long-term emergency on your operations. This may be the most important step of your emergency planning

process and may re&uire re-evaluation of your ob+ectives and functions.

8ist mitigations strategies that your department will work on now and in the near future. This may include,

but is not limited to, the following'

)eviewing your departments vulnerabilities. %eeAppendix B,Preparedness Planning Checklist.

@eveloping a "usiness Continuity Plan. %eeAppendix A.

%tocking up on supplies

Creating alternative processes that rely on fewer e*ternal resources

Conducting cross-training and documenting procedures

)eviewing vendor contracts and finding alternative resources

Geeping records indicating where to find replacement e&uipment should mission-critical e&uipment

fail

@eveloping a communications plan in the event that phones, e-mail and9or web access becomesunavailable

Preparing floor plans showing utility shut-offs for the heating and ventilation system, water, power,

etc. and emergency generator coverage. Gnow whether your ventilation system is controlled by the

$HC Control %hop in (ac(illan or from within your building.

Preparing and maintaining survival kits for your department. #ncouraging employees to keep their

own kits for their personal needs.

Creating a backup procedure for your critical information

Obtaining space for a blog on Bahoo or oogle or other free services and developing a skeletal format.

#nsure your staff is aware of these plans. )eview plans with them on a regular basis, such as annually.

03 Restoration

Consider how your department will resume normal operations once the emergency situation has passed. This

could take an e*tended period of time. Consider work backlog, resupply of resources, continued absenteeism

and emotional needs.

4or restoration of computing services, O:T will endeavor to restore the full functionality of every

dministrative %ystem &uickly. Considering your normal operating environment, what timeframe would be

acceptable for your personnel to begin your system>s? data integrity testingD Please list all dministrative

%ystems used in your office.


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Business Resumption/Recovery Plan for

[Project Name]

System Design

Backups

!or the application"s system and data files# state all $ac%ups:

(insert as many rows as are necessary)

!ile &ame's( ) *ocation

Indicate 'S(ystem or '+(ata

,nsite -ac%up

Sched/etention*oc

,ffsite -ac%up

Sched/etention*oc


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Continuation of Business

State the business functions and processes of the application ranked by priority from highest to lowest in the following categories.

!or each describe how these functions will continue to be performed after a disaster and the system is down (manually "ia pc

software etc.) as well as how data will be put into the system and how processing will be affected once it is back up again. Plan foroutage periods of less than a week one to three weeks and four to eight weeks. Specify the "olume of data pro#ected for each time

range. $f a process% category is effected by the period of system una"ailability list the process in the highest category and indicate

the lower "alues in the table cell for that period. Also note if the criticality is different during different business cycles e.g. month endyear end etc. !or each period estimate how long it will take to completely catch up and ha"e processing return to normal.

Samples

Process Name Less Than One Week One to Three Weeks Four To Eight Weeks

&xample '

ranscript *e+uestSys

,own

SuspendableA"erage of - transcripts a day

Produce from ,atamallA"erage of - transcripts a week

Produce from ,atamall and send

disclaimer regarding currency of dataA"erage of - transcripts a week

Sys

/p

0o specific action taken return to normal processing of re+uests as they come in

&xample

Create P1Sys

,own

$f down for more than 2 hours begin generating manual P1 numbers and process with PC backup sustem

,o not bother preser"ing the data as it will not be entered into system when it is back up.

hese P1s will permanently be tracked on paper. Approximately 23 to -3 P1s are generated each hour.

Sys

/p

*eturn to normal processing continue tracking contingency P1s until all are closed and reconciled.

All contingency P1s should ha"e cleared the system in 43 days.

&xample 2

Billing Cycle

Sys

,ownSuspendable Process Bills by hand and mail preser"e data to enter into system when it is back up.

Approximately 333 bills are generated each month.

Sys

/p

0ormal business process. $t isacceptable for the bills to be a week

late.

&nter the latent data into the system with the correct date tag as already billed.

*esume normal business process for bills thereafter. Allow days of data entry per

week down to enter all the data into the system and resume normal processing.


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Critical Processes


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Important Processes


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Suspen!a"le Processes


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Currency of te Business Resumption/Recovery Plan5ow often and in what context will this business continuity plan be re"iewed and by whom to ensure that the information is keptcurrent6


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#ppen!i$ B% Prepare!ness Plannin& Cecklist

Applica#ility ,ssue !otes

es !o !ot +ure

'R#ININ(

&ccupants aware of mergency uidelines forthe Campus Community

mergency $ction %lan in place

&ccupants aware of the mergency $ction %lan

V)*N+R#BI*I'I+S

)ire risk and materials at risk

)loods - e/perience and materials at risk

"evere weather - staffing issues

/tensive absences due to illness

a0ardous materials

%olitical or controversial faculty or research

igh profile visitors

Intentional acts

igh value or rare1difficult to replace e2uipment

3endor arrangements for critical materials

"pecial electrical or mechanical systems

Department mission-critical functions or servicesprovided to others

Department controlled assembly spaces

3ital or sensitive department records

I' ISS)+S

3ital records

Departmental servers or computers

Backup power

4estoration time

Data recovery

Business Continuity %lanning '$ppendi/ $(

+*+C'RIC#* P,-+R

"pecial needs

mergency generator coverage

+ninterruptible power supply

"ource - Cogen %lant or rid

B)I*.IN( S+C)RI'

3isitors

"pecial events

%ersonal security


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Applica#ility ,ssue !otes

es !o !ot +ure

5ey management

Dining alls1Cafes

Library

$uditorium

&ther after-hours or special facilitiesR+S',R#'I,N

Inventory or other records

3endor arrangements for maintenance1repairs

"ecurity vulnerabilities

'+0P,R#R R+*,C#'I,N

"pace needs

Computers

%hones

2uipment

"ecurity

C,00)NIC#'I,NS

ssential Communications

Listserves

4adios

&ff-hours contact list for %ublic "afety

&ff-hours contact list for department use

%hone tree

Communication with central administration

Communication with students

Communication with visiting or casual staff

In the absence of power

6eb pages and blogs

Communications tools maintenance and updates

1*,,R P*#NS

%aper or electronic plans

+tility shut-offs

3$C Controls

S)RVIV#* 2I'S

Departmental

%ersonal

Documents

Princeton COOP Template