ADMINISTRATIVE POLICY
Continuity of Operation Plan (COOP)
Policy Contents

Policy Statement
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Reason for Policy
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Procedures
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Forms/Instructions

Additional Contacts

Definitions

Responsibilities
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Appendices

FAQ

Related Information
 History
Effective Date: April 1997
Last Updated: December 2014
Responsible University Officer:
Vice President for University Services
Policy Owner:
Vice President for University Services
Policy Contact:
Lisa Dressler
POLICY STATEMENT
The University of Minnesota is committed to continuously maintaining operational continuity of
Critical Operating Units and essential operational services for the students, staff, and faculty.
Critical Operating Units
Departments that are essential to carrying out the University's mission are deemed “Critical
Operating Units.” These units must maintain Continuity of Operations Pplans (COOP) as well as
exercise and update their plans regularly. Critical Operating Units must identify a Continuity of
Operations Coordinator responsible for continuity planning. Continuity planning processes for
Critical Operating Units is coordinated through the Department of Emergency Management (DEM).
DEM will work with Continuity of Operations Coordinators for all Critical Operating Units to ensure
departmental review and update of COOP occurs atleast every two years.
Critical Operating Units must include in their COOP clear strategies and procedures needed to
continue operations and execute a recovery in the event of an interruption that compromises the
ability of the Critical Operating Unit to carry out its essential functions. The Officer of the Day or the
individual Unit Administrator will determine when an event is significant enough to trigger execution
of a COOP
Continuity of Operations Coordinators are responsible for training employees with responsibilities
for execution of some portion of a Critical Operating Unit Operational Continuity Plan. New
employees in Critical Operating Units given responsibilities for implementing some portion of the
COOP are expected to be trained by the unit Continuity of Operations Coordinator (COC) on these
responsibilities within60 days of their employment start date or the date they assume the
responsibility. Training compliance is part of a COOP review by DEM.
If any Critical Operating Unit depends on suppliers or other Operating Units to provide its essential
functions, those suppliers or units must also have a continuity plan.
All Other Departments
All other departments are encouraged to have a reasonable COOP using the U of M Continuity of
Operations Plan Operational Continuity Template, to ensure continuation of programs and services
in the event of a major disruption of operations
Incident Management
The University of Minnesota will use the National Incident Management System (NIMS) as its
standard, coordinated, and systematic method for incident management.
The Department of Emergency Management is responsible for ensuring the NIMS approach is
incorporated into the University’s preparedness practices to help the University community prepare
for, respond to, recover from, and reduce the effects of incidents and potential incidents whether
they are intentional, accidental or natural.
University senior executives and staff members who have functional responsibilities associated with
incident management are expected to complete NIMS training requirements as developed by the
National Training Program for NIMS and attend multi-unit, multi-discipline scenario exercises
intended to improve overall University integration and interoperability.
REASON FOR POLICY
To implement Board of Regents Policy: Health and Safety by providing a framework to protect and
provide for our students, faculty, staff and visitors in the event of a major interruption of our mission
and operation. Further, the University recognizes that these obligations extend to a responsibility
for each Critical Operating Unit within the University to be able to meet its individual obligations.
These obligations include the ability to provide the services expected of them and to carry out
functions essential to the mission of the University should an event occur which interrupts the
normal course of operations. Failure to have an adequate continuity plan could lead to unnecessary
injury or loss of life, financial disaster, interruptions of academic classes, failure of research
projects, and delays in completing other mission essential activities.
PROCEDURES
Developing and Managing a Continuity of Operations Plan
FORMS/INSTRUCTIONS
UM 1717: Letter Certifying Compliance with Exercising of Continuity of Operations Plan.
U of M Continuity of Operations Plan.
ADDITIONAL CONTACTS
Subject
Primary
Contact(s)
General Questions
for all Campuses
Contact
Lisa Dressler, Director of
the Department of
Emergency Management
Department of Emergency
Management
Phone
Fax/Email
612-625-9446
dressler@umn.edu
612-625-8047
dem@umn.edu
DEFINITIONS
Back-up Agreement
Written agreement between two parties that identifies and specifies the responsibilities of the
parties as they relate to continuity and recovery in the event of an operational interruption. If the
agreement is with non-University entities, it must be in contractual form. A copy of all Back-up
agreements must be included in the Operating Unit's COOP
Continuity of Operation Plan (COOP)
An effort within individual departments to ensure the continued performance of minimum essential
functions during a wide range of potential emergencies. This is accomplished through development
of the plans, comprehensive procedures, and provision for alternate facilities, personnel, resources,
interoperable communications, and vital records/databases.
Critical Employees
An employee who has been designated as essential to the operations of the University, whose
presence is required regardless of the existence of an emergency condition, and whose absence
from duty could endanger the safety and well-being of the campus population and/or physical plant.
Employees may be designated as critical on a situational basis, e.g., in the event of an emergency.
Critical Operating Units
Operating units with mission essential functions that enable the University to:
 Provide for public safety
 Continue to provide essential services
 Provide essential services or functions that must be continued in all circumstances,
including functions that cannot be interrupted for 6 hours or must be resumed within 30
days
Emergency Management Policy Committee
A committee, appointed by the President, charged to provide general oversight for the entire
emergency planning process, ensure appropriate cross-administration of plans and procedures,
and ensure appropriate level of coordination among discreet emergency response groups
Essential Service/Function
Any task, process or application essential to the ability of the University to provide its services or
perform its activities safely and effectively. The Unit Administrator, with guidance from DEM, is
responsible for determining if a task, application or process is considered essential.
Incident
An incident, regardless of cause, size, location or complexity, that requires a response to protect
life or property, Incidents can, for example, include major disasters, emergencies, terrorist attacks,
terrorist threats, civil unrest, wild land and urban fires, floods, hazardous materials spills, nuclear
accidents, aircraft accidents, earthquakes, hurricanes, tornadoes, tropical storms, tsunamis, warrelated disasters, public health and medical emergencies, and other incidents requiring an
emergency response.
Interruption / Disaster
Any incident that compromises the ability of the Critical Operating Unit to carry out its essential
functions. The determination that an interruption / disaster has occurred may be made by the
individual Unit Administrator or by the Officer of the Day. Operating Units may establish "levels" of
interruption / disaster and of interruption / disaster response.
National Incident Management System (NIMS)
The national directive to enhance emergency response coordination across the United States.
NIMS provides for interoperability and compatibility among Federal, State and local capabilities and
includes a core set of concepts, principles, terminology and technologies covering the incident
command system, unified command, training, management of resources and reporting.
Operating Unit
Any University department or division under the operational control of a Chancellor, Vice President,
Dean, Director, Department Head or Chairperson.
Suppliers
Any contractor, agency, department or Operating Unit that provides services required to support
essential functions of a Critical Operating Unit. Suppliers may or may not be University units.
Unit Administrator
The Chancellor, Vice President, Dean, Director, Department Head or Chairperson in control of an
Operating Unit.
RESPONSIBILITIES
Vice President for University Services
Has overall responsibility for safety, security and emergency response functions at the University,
as delegated by the President in the University Emergency Operations Plan (EOP). Provides
resources, support and funding to facilitate the University’s compliance with this policy. Chairs the
Emergency Management Policy Committee. Serves as the primary Officer of the Day and
administers the scheduling and delegation of that role in their absence.
Department of Emergency Management
Provides guidance and assistance to Operating Units including: Development of Continuity of
Operations Plans ; assessment of Continuity of Operations Plan exercises; coordinate review of
COOP for Critical Operating Units. Maintain accuracy of this policy.
Officer of the Day
Role delegated by the President to be responsible and with the authority to implement the
Emergency Operations Plan and provide overall policy direction of the University of Minnesota
resources during an emergency/disaster situation. The Officer of the Day, in conjunction with the
on-scene Incident Commander, determines the emergency level. The Officer of the Day assesses
emergency/disaster situations and makes recommendation on whether to close all or portion(s) the
Twin Cities Campus in the event of an emergency/disaster. Consults with Chancellors regarding
system campus emergencies/disasters. In the event that limited resources and alternatives require
that the priority for the recovery of one unit be ranked against another unit, the determination and
notification of this priority will be made by the Officer of the Day.
Chancellors
Each system campus chancellor has the responsibility for making decisions relative to closing their
respective campus in the event of severe weather or other emergencies. The Chancellors, in
conjunction with the Officer of the Day, the Department of Emergency Management, the on-scene
Incident Commander, will determine emergency level.
Critical Employees
Those employees deemed "Critical Employees” will be notified of such designation by their
supervisor. Critical employees are required to report to work in the event of a closing unless
specifically informed by their supervisor that they are not to report.
Continuity of Operations Coordinator
Serves as a focal point for COOP planning within the Operating Unit. The Continuity of Operations
Coordinatorwill be a person designated by the Unit Administrator and typical functional
responsibilities include the following: responsible for creating the COOP;, exercising the plan and
training employees to be proficient at their roles within the plan. Biannually, with guidance and
advice from DEM as requested, review and assess the unit COOP, exercise objectives and results.
Update and maintain theCOOP. Evaluate the impact of changes within the unit and their impact on
the unit's ability to recover from a serious operational interruption.
Emergency Management Policy Committee
Provides overall strategic direction to emergency planning and communication activities. Routinely
assesses the emergency preparedness and safety risks of the University and leads efforts to
mitigate these risks.
Unit Administrator
The Unit Administrator, with guidance from DEM, is responsible for determining if the tasks,
applications or processes owned by an Operating Unit are considered essential. Designate the
functional responsibilities of the Continuity of Operations Coordinator.
APPENDICES
Critical Operating Units
FAQ
RELATED INFORMATION
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










Board of Regents Policy: Health and Safety
Administrative Policy: Campus and Building Closing: Twin Cities
Administrative Policy: Information Security
Federal Emergency Management Agency Continuity of Operations Website
Homeland Security Presidential Directive 20: National Continuity Policy
University of Minnesota Department of Emergency Management (DEM)
University of Minnesota Emergency Operations Plan
University of Minnesota Crookston Emergency Preparedness
University of Minnesota Duluth Emergency Preparedness
University of Minnesota Morris Emergency Closing Policy
University of Minnesota Rochester Emergency Preparedness
University of Minnesota Twin Cities Emergency Preparedness
HISTORY
Amended:
December 2014 – Updates the policies, procedures, templete, and letter clarifying compliance to reflect
Federal and State Terminology on Continuity of Operations Plan.
July 2013 – Updates the policies to reflect Federal and State terminology on Continuity of Operations.
December 2010 - Conveys the notification and training requirements for critical employees. Brings
additional key policy statements forward from the Operational Continuity Plan template. Ensures that
responsibilities and definitions reflect current state.
Amended:
July 2008 - Updated contacts section.
Amended:
April 2005 - "Any department or unit required to develop and maintain an operational continuity plan as
specified in state or federal law" added to critical units list in definitions section. This was added to
comply with HIPPA.
Amended:
July 2004 - Policy Statement clarified that departments defined as critical operating units are required to
have formal plans established, and that all departments are encouraged to have some "reasonable
operational continuity plans." Policy Statement also clarified that central coordination of the continuity
planning process for critical units should be available to assist departments. Responsible Officer and
Responsible Office are now Vice President for University Services and the Office of the Vice President
for University Services. Critical Operating Units are now defined in the definitions section. Operational
Continuity Workbook and Planner now available by contacting the Department of Emergency
Management.
Amended:
January 1998 - Added manual on how to prepare an Operational Continuity Plan. The deadline for
compliance with this policy has been extended to January 1, 1999.
Effective:
April 1997