1. 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.

2. 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.

3. 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.

4. 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

5. 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.

6. 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.

7. 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

8. 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.

9. 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.

10. 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.

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

12. 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.

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

14. 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.

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

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

17. 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.

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

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

20. 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)

21. 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

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

23. Concept of Operations Phase III: Reconstitution Recovery Mitigation
Termination

24. 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.

25. Developing COOP Procedures
Why are COOP procedures important?

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

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

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

29. 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

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

31. 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.

32. 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.

33. 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

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

35. 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.

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

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

38. 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

39. 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.

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

41. 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.

42. 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.

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

44. Summary and Transition
Questions?