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 this
template to meet your needs. !se additional sheets if necessary. The process of 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
DRAFT Princeton University COOP
(% )our Dept*s Continuity of Operations O#&ectives
Considering the above ob+ectives and assumptions, describe your department;s key ob+ectives, functions
and 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 a
long-term emergency.
Consider the priority tasks of your department. List them out and indicate whether they
are performed daily, weekly, monthly, etc.
C% $mer'ency Communication +ystems
,ll employees are responsible for keeping informed of emergencies by monitoring news media reports,
Princeton;s main <eb site, calling the #mergency $otline or listening to <P)".
To rapidly communicate with your employees in an emergency, we encourage all departments to
prepare and maintain a call tree. The #ssential Communications tool available in the :nformation <arehouse
may be helpful in developing contact lists.
=ote below the system>s? you will use to contact your employees in an emergency. :dentify multiple
communication systems that can be used for backup, after hours, when not on campus, or for other
contingencies.
Phone #mail @irect connect >e.g., =e*tel?
Call tree <eb site Pager
:nstant (essaging Other >describe?' AAAAAAAAAAAAAAAAAAAA
D% $mer'ency Access to ,nformation and +ystems
Consider which department information and systems are essential to your department in an emergency. This
may include
:nformation stored on a departmental or O:T server
:nformation on a web site hosted in-house or by O:T
(odes of communication, such as e-mail and phone.
@escribe how your department is backing up this material and making it available in the event that the primary
resource is not available. @escribe how your department will maintain communication with your own staff as
well as other departments and resources. This may include, but is not limited to
)emote access or authorization to allow remote access
"ackup of critical files off-site, on flash drives or e*ternal hard drives, or in hard copy
,lternative e-mail systems, such as Bahoo or C-(ail
#*ternal blogs
"lackberry9Treo
Consider the folloing
,re important reference materials or operating procedures used in your departmentD $ow would these
be replacedD
DRAFT Princeton University COOP
%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
<ould a disaster in your department cause an interruption to any legally re&uired reportingD
Describe here.
$% )our Department*s $ssential Functions
8ist the essential services that your department would provide to the !niversity in the event of an emergency
and who is responsible for performing these functions. Bou may list personnel by name or by title. 8ist also
the names or titles of individuals who can assume these responsibilities in the event that the primary person is
not available. =ote also whether any of these functions can be completed off-site, e.g., via telecommuting. ,s
relevant, please indicate whether these functions or processes have documentation sufficient to aid an alternate
to be able to carry them out. 4or processes that rely on departmental or O:T computer support, the template
provided as Appendix A may prove useful for business continuity and resumption.
he following format may be useful!
"hort description or title of essential function
o Can this be completed off-site#
o $re the processes documented# If so, where is the information stored#
o %rimary person responsible for this function
o &thers who may assume these responsibilities.
"ased on the information above, list the names and primary functions of your departments Eessential
personnelF. %ome departments have already designated essential personnel for short-term emergencies, such
as weather-related emergencies. 4or each person, please indicate whether the person is on the short-term or
long-term list.
!ame Function(s) +"ort-Term
$mer'ency
.on'-Term
$mer'ency
DRAFT Princeton University COOP
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 of
Department/Unit
First +uccessor
+econd +uccessor
T"ird +uccessor
/% Ot"er 0ey ,nternal Dependencies
,ll 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 other internal >Princeton !niversity? departments or units that provide them.
Dependency 'product or service( !
Provider!
Dependency 'product or service( !
Provider!
Dependency 'product or service( !
Provider!
Dependency 'product or service( !
Provider!
Dependency 'product or service( !
Provider!
Dependency 'product or service( !
Provider!
Dependency 'product or service( !
Provider!
DRAFT Princeton University COOP
% 0ey $1ternal Dependencies
8ist 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) %
Fre2uency of +ervice
%rimary $lternate
Provider
Primary Contacts
P"one !um#ers
Dependency (product or service) %
Fre2uency of +ervice
%rimary $lternate
Provider
Primary Contacts
P"one !um#ers
Dependency (product or service) %
Fre2uency of +ervice
%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'
<hat resources are re&uired to perform your priority tasksD This list should include pre-printed
DRAFT Princeton University COOP
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 supplies
available and in placeD "attery back-upD Cenerator 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. %ee Appendix B, Preparedness Planning Checklist.
@eveloping a "usiness Continuity Plan. %ee Appendix 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 becomes
unavailable
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
$H,C 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 Coogle 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.
DRAFT Princeton University COOP
:ndicate a peak time of year and9or a critical day of the week, if any, for each application, as well as any other
peak-load considerations.
Business )unction %eak %eriod &ther considerations
The template provided as Appendix A may also be useful in planning business continuity and recovery relating
to processes that rely on information technology.

*ote! his plan is partially based on a template developed by the +niversity of *orth Carolina,
Chapel ,ill.
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
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 for
outage 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 end
year 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+uest
Sys
,own
Suspendable
A"erage of - transcripts a day
Produce from ,atamall
A"erage of .- transcripts a week
Produce from ,atamall and send
disclaimer regarding currency of data
A"erage of .- transcripts a week
Sys
/p
0o specific action taken return to normal processing of re+uests as they come in
&xample .(
Create P1
Sys
,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
,own
Suspendable
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. $t is
acceptable for the bills to be a week
late.
&nter the latent data into the system with the correct date tag as already billed.
*esume normal business process for bills thereafter. Allow . days of data entry per
week down to enter all the data into the system and resume normal processing.
Critical Processes
Process Name Less Than One Week One to Three Weeks Four To Eight Weeks
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
Very Important Processes
Process Name Less Than One Week One to Three Weeks Four To Eight Weeks
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
Important Processes
Process Name Less Than One Week One to Three Weeks Four To Eight Weeks
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
Somewat Important Processes
Process Name Less Than One Week One to Three Weeks Four To Eight Weeks
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
Suspen!a"le Processes
Process Name Less Than One Week One to Three Weeks Four To Eight Weeks
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
%ys
@own
%ys
!p
Currency of te Business Resumption/Recovery Plan
5ow often and in what context will this business continuity plan be re"iewed and by whom to ensure that the information is kept
current6
#ppen!i$ B% Prepare!ness Plannin& Cecklist
Applica#ility ,ssue !otes
)es !o !ot +ure
'R#ININ(

&ccupants aware of -mergency .uidelines for
the 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 services
provided 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
Applica#ility ,ssue !otes
)es !o !ot +ure
5ey management
Dining ,alls1Cafes
Library
$uditorium
&ther after-hours or special facilities
R+S',R#'I,N
Inventory or other records
3endor arrangements for maintenance1repairs
"ecurity vulnerabilities
'+0P,R#R/ R+*,C#'I,N
"pace needs
Computers
%hones
-2uipment
"ecurity
C,00)NIC#'I,NS
-ssential Communications
Listserves
4adios
&ff-hours contact list for %ublic "afety
&ff-hours contact list for department use
%hone tree
Communication with central administration
Communication with students
Communication with visiting or casual staff
In the absence of power
6eb pages and blogs
Communications tools maintenance and updates
1*,,R P*#NS
%aper or electronic plans
+tility shut-offs
,3$C Controls
S)RVIV#* 2I'S
Departmental
%ersonal