Unit Introduction and Overview

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 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 Conduct a Risk Analysis Distribute, Maintain, and Update the Plan 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. Why are COOP procedures important? Developing COOP Procedures

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

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

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 voicemail • 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 e-mail

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?