Unit Introduction and Overview Unit objectives: The purpose of a COOP plan. How to develop an outline for a COOP plan. How to identify procedures required to support your agency’s COOP program.

The Purpose of a COOP Plan The COOP plan is a roadmap for implementing and managing the COOP program. Of all COOP-related documents, the COOP plan is most important. COOP plans are living documents, requiring regular review and revision.

The Purpose of COOP Planning To ensure the continued operation of departments and agencies and their essential functions. To ensure the rapid response to any emergency situation requiring COOP plan implementation.

The COOP Planning Model Initiate the COOP Planning Process Distribute, Maintain, and Update the Plan Conduct a Risk Analysis Test, Train, and Exercise the Plan Conduct an Impact Analysis Design and Build the Plan Determine Essential Functions

Step 1: Initiate the COOP Planning Process Appoint the COOP Program Manager. Select the planning team. Identify resources required. Establish objectives and milestones. Determine procedures for information gathering and decisionmaking.

Step 1: Initiate the COOP Planning Process Selecting the Planning Team Include members from each functional area, and: Information Technology. Human Resources. Accounting/Finance. The Office of General Counsel.

Step 1: Initiate the COOP Planning Process Identifying planning resources: Photocopying Supplies Mileage (or fleet vehicle costs) for travel to potential alternate facilities Training rooms, materials, supplies, equipment, and instructors Meeting rooms Other program needs

Step 1: Initiate the COOP Planning Process Establish Objectives and Milestones Objectives should be measurable so that you: Know when the objective has been met. Know whether the objective is acceptable in terms of quality, timeliness, and other established criteria.

Step 1: Initiate the COOP Planning Process Establish procedures for information gathering and decisionmaking: Focus on gathering needed information. Minimize time and effort spent gathering information. Minimize disagreement by establishing procedures for decisionmaking.

Step 2: Conduct a Risk Analysis Risk analysis helps to: Narrow the range of incidents requiring planning. Prioritize according to risk. Plan for the highest-risk hazards first.

Step 2: Conduct a Risk Analysis Sources of Information: The local hazard analysis Historical information Directive

Step 2: Conduct a Risk Analysis Determine vulnerability to identify risks that are: Inherent to the agency’s location. Inherent to the facility. Most critical for agency personnel.

Step 2: Conduct a Risk Analysis Steps for conducting a vulnerability analysis: Develop a hazard profile. Check assumptions. Develop an area profile. Identify vulnerabilities.

Step 3: Conduct an Impact Analysis 4 = Catastrophic. The agency could not function from its facility. The COOP plan would definitely be implemented. 3 = Major. Agency operations would be disrupted for more than 12 hours. The COOP plan would definitely be implemented. 2 = Moderate. Some functions may be interrupted but the agency could be operational within 12 hours. The COOP plan might be implemented. 1 = Minor: Agency operations could continue with little or no interruption.

Step 4: Determine Essential Functions Use a system: Identify all agency functions. Identify essential functions. Prioritize the functions. Identify critical support resources.

Step 5: Design and Build the Plan FPC planning guidance Appendix D Template

Step 6: Test, Train, and Exercise the Plan Tests confirm whether or not procedures, processes, and systems function as intended. Training ensures that all personnel know what to do, how to do it, and when. Exercises provide practice and verification of whether parts of the plan—or the entire plan— work as intended.

Step 7: Distribute, Maintain, and Update the Plan Factors to consider: Accountability Version control Security

COOP Plan Organization Part I: Introduction Part II: Planning Basis Part III: Procedures for Plan Implementation Part IV: Maintaining COOP Readiness

Concept of Operations Phase I: Activation and Relocation (0-12 hours) Phase II: Onsite Operations (from 12 hours to 30 days) Phase III: Reconstitution (recovery, mitigation, and termination)

Concept of Operations Phase I: Activation and Relocation (0-12 hours) Leadership Orders of succession Delegations of authority Devolution COOP implementation decision process Alert, notification, and implementation

Concept of Operations Phase II: Onsite Operations (from 12 hours to 30 days) Operations Mission-critical systems Vital records and databases

Concept of Operations Phase III: Reconstitution Recovery Mitigation Termination

Developing COOP Procedures Section 10, FPC-65 requires procedures for: Notification and relocation to one or more alternate facilities. Orientation of COOP personnel and conducting operations and administration at alternate facilities. Acquiring resources necessary to continue essential functions and sustain operations for up to 30 days.

Developing COOP Procedures Why are COOP procedures important?

Developing COOP Procedures COOP phases: Phase I: Activation and Relocation Phase II: Alternate Facility Operations Phase III: Reconstitution

Developing COOP Procedures What types of procedures would you develop for Phase I?

Developing COOP Procedures Day-to-day operations. Personnel readiness procedures/instructions: Activation readiness Deployment readiness Operational readiness Family readiness

What is Continuity of Operations? Day-to-day operations. COOP vital files, records, and databases: Identification of materials and resources Recurring and systematic updates Resource protection measures

Phase I: Activation and Relocation Activation procedures Alert/notification procedures Deployment procedures

Phase I: Activation and Relocation Activation procedures: Respond to the alert/notification process. Participate in the call-down as instructed. Obtain “go kits,” if necessary. Follow guidelines in the OEP for activation during duty hours. Prepare to execute deployment procedures to report to an alternate site.

Phase I: Activation and Relocation Alert/notification procedures: Specify roles and responsibilities for all personnel. Identify how employees will be contacted. Indicate the timeframe in which the call-down sequence should be completed. Explain the testing process and schedule for drill alerts. Include prescripted messages.

Phase I: Activation and Relocation Deployment procedures: Deployment instructions Map/directions to the alternate facility Description of “go kits” and instructions for their use Administrative and logistics information

Phase II: Alternate Facility Operations Phase II procedures: Personnel accountability Status reporting Communications/information technology Orders of succession and delegations of authority

Phase II: Alternate Facility Operations Personnel accountability procedures: How attendance will be tracked and by whom. Where personnel should report upon arrival. Who will prepare the attendance report. How the report will be forwarded to senior management.

Phase II: Alternate Facility Operations Status reporting: Purpose of status reports Report format Preparation, review, and approval Submission Frequency

Phase II: Alternate Facility Operations Communications: Internal/external calling Setting up/changing passwords Accessing voicemail Forwarding/transferring calls Conducting conference calls Using cryptographic ignition keys for secure calls

Phase II: Alternate Facility Operations Information technology: General computer/laptop use Setting up/changing passwords Accessing the network Accessing the Internet Accessing data stored on the server Accessing e-mail

Phase II: Alternate Facility Operations Orders of succession/delegations of authority: Who implements the line of succession. Conditions under which transfer of leadership and authority will occur. Who is involved in the process. Who needs to be advised. How transfer back to more senior leadership occurs.

Phase III: Reconstitution Reconstitution procedures: Personnel notification Transfer of COOP materials

Phase III: Reconstitution Personnel notification: Resemble the notification procedures used to alert and activate. Specify the timeframe for notification. Indicate the means of notification. Identify the responsible person/organization to authorize and implement.

Phase III: Reconstitution Information and materials transfer: Tasks required to save and transfer information and materials. Tracking measures for files, documents, etc., that have been modified or created during COOP activation. How and when to save files.

Summary and Transition This unit covered: Key steps in developing COOP plans and procedures.   Next unit: Tests, Training, and Exercises (Unit 8)

Summary and Transition Questions?