Continuity of Operations (COOP) Plan Template Instructions

######## Federal Emergency Management Agency {#federal-emergency-management-agency .unnumbered}

######## 500 C ST, SW  {#c-st-sw .unnumbered}

######## ![](media/image1.wmf){width="2.8472222222222223in" height="1.3125in"}Washington, D.C. 20472  {#washington-d.c.-20472 .unnumbered}

**Guide Instructions**

This guide provides instructions for developing a Continuity of
Operations (COOP) Plan according to *Department of Homeland Security
(DHS) Headquarters Continuity of Operations (COOP) Guidance Document,
dated April 2004*. Although general guidance and sample information is
provided in this guide for reference, organizations are encouraged to
tailor COOP Plan development to meet their own needs and requirements.
These instructions accompany an electronic template that may be
downloaded from the Federal Emergency Management Agency (FEMA) Office of
National Security Coordination (ONSC) website at the following address:
<http://www.fema.gov/government/coop/index.shtm>

Questions concerning this guide can be directed to:

Office of National Security Coordination

Federal Emergency Management Agency

500 C Street, SW

Washington, DC 20472

\(202\) 646 3754

##   {#section .Phase-Heading}

Table of Contents

[I. Executive Summary 2](#executive-summary)

[II. Introduction 2](#introduction)

[III. Purpose 2](#purpose)

[IV. Applicability and Scope 2](#applicability-and-scope)

[V. Essential functions 2](#essential-functions)

[VI. Authorities and References 3](#authorities-and-references)

[VII. Concept of Operations 3](#concept-of-operations)

[A. Phase I: Activation and Relocation
3](#phase-i-activation-and-relocation)

[1. Decision Process 4](#decision-process)

[2. Alert, Notification, and Implementation Process
4](#alert-notification-and-implementation-process)

[3. Leadership 4](#leadership)

[B. Phase II: Alternate Facility Operations
5](#phase-ii-alternate-facility-operations)

[1. Mission Critical Systems 5](#mission-critical-systems)

[2. Vital Files, Records, and Databases
6](#vital-files-records-and-databases)

[C. Phase III: Reconstitution 7](#phase-iii-reconstitution)

[VIII. COOP Planning Responsibilities
7](#coop-planning-responsibilities)

[IX. Logistics 8](#logistics)

[A. Alternate Location 8](#alternate-location)

[B. Interoperable Communications 9](#interoperable-communications)

[X. Test, Training, and Exercises 9](#test-training-and-exercises)

[XI. Multi-Year Strategy and program Management Plan
9](#multi-year-strategy-and-program-management-plan)

[XII. COOP Plan Maintenance 10](#coop-plan-maintenance)

[Annex A: Authorities and References
10](#annex-a-authorities-and-references)

[Annex B: Operational Checklists 10](#annex-b-operational-checklists)

[Annex C: Alternate Location/Facility Information
10](#annex-c-alternate-locationfacility-information)

[Annex D: Maps and Evacuation Routes
11](#annex-d-maps-and-evacuation-routes)

[Annex E: Definitions and Acronyms
11](#annex-e-definitions-and-acronyms)

#  {#section-1 .unnumbered}

# Executive Summary

The executive summary should briefly outline the organization and
content of the COOP Plan and describe what it is, whom it affects, and
the circumstances under which it should be executed. Further, it should
discuss the key elements of COOP planning and explain the organization's
implementation strategies.

# Introduction

The introduction to the COOP Plan should explain the importance of COOP
planning to the organization. It may also discuss the background for
planning, referencing recent events that have led to the increased
emphasis on the importance of a COOP capability for the organization.

# Purpose

The purpose section should explain why the organization is developing a
COOP Plan. It should briefly discuss applicable Federal guidance and
explain the overall purpose of COOP planning, which is to ensure the
continuity of mission essential functions. Because of today's changing
threat environment, this section should state that the COOP Plan is
designed to address the all hazard threat.

# Applicability and Scope

This section describes the applicability of the plan to the organization
as a whole, headquarters as well as subordinate activities, co-located
and geographically disperse, and to specific personnel groups of the
organization. It should also include the scope of the plan. Ideally,
plans should address the full spectrum of potential threats, crises and
emergencies (natural as well as man-made).

# Essential functions

The essential functions section should include a list of the
organization's prioritized essential functions. Essential functions are
those organizational functions and activities that must be continued
under any and all circumstances.

> Organizations should:

(1) Identify all functions, then determine which must be continued under
    all circumstances

(2) Prioritize these essential functions

(3) Establish staffing and resource requirements

(4) Integrate supporting activities

(5) Develop a plan to perform additional functions as the situation
    permits.

*For additional information on essential functions, see Section X of the
DHS HQ COOP Guidance Document.*

**\
SAMPLE**

The following table shows examples of prioritized essential functions
for a fictitious organization, the Bureau of Water Management:

  -----------------------------------------------------------------------
  **Priority**       **Essential Functions**
  ------------------ ----------------------------------------------------
  1                  Administer programs to protect the region's water
                     supply and the health of the public.

  2                  Ensure the protection of fish and aquatic life.

  3                  Ensure pollution prevention and compliance
                     assurance.

  4                  Provide technical support and information to assist
                     in planning and restoration.

  5                  Approve and oversee cleanups of contaminated sites.

  6                  Plan and implement regional flood control programs.
  -----------------------------------------------------------------------

# Authorities and References

This section should reference an annex that outlines all supporting
authorities and references that have assisted in the development of this
COOP Plan.

*Annex A of the DHS COOP Guidance Document provides a list of
authorities and references.*

# Concept of Operations

This section should explain how the organization will implement its COOP
Plan, and specifically, how it plans to address each critical COOP
element. This section should be separated into three phases: activation
and relocation, alternate facility operations, and reconstitution.

## Phase I: Activation and Relocation

The Phase I section should explain COOP Plan activation procedures and
relocation procedures from the primary facility to the alternate
facility. This section should also address procedures and guidance for
non-relocating personnel.

### Decision Process

This section should explain the logical steps associated with
implementing a COOP Plan, the circumstances under which a plan may be
activated (both with and without warning), and should identify who has
the authority to activate the COOP Plan. This process can be described
here or depicted in a graphical representation.

### Alert, Notification, and Implementation Process

This section should explain the events following a decision to activate
the COOP Plan. This includes employee alert and notification procedures
and the COOP Plan implementation process.

### Leadership

#### Orders of Succession

This section should identify orders of succession to key positions
within the organization. Orders should be of sufficient depth to ensure
the organization's ability to manage and direct its essential functions
and operations. The conditions under which succession will take place,
the method of notification, and any temporal, geographical, or
organizational limitations of authority should also be identified in
this section.

*For additional information on succession, see Section XI.I of the DHS
HQ COOP Guidance Document.*

**\
SAMPLE**

The following table shows the order of succession for the Director of
the Bureau of Water Management:

  -----------------------------------------------------------------------
  **Successors**
  -----------------------------------------------------------------------
  Director, Bureau of Water Management

  Deputy Director, Bureau of Water Management

  Division Head, Enforcement and Remediation Division

  Division Head, Standards and Planning Division
  -----------------------------------------------------------------------

#### Delegations of Authority

This section should identify, by position, the authorities for making
policy determinations and decisions at headquarters, field levels, and
other organizational locations, as appropriate. Generally,
pre-determined delegations of authority will take effect when normal
channels of direction are disrupted and terminate when these channels
have resumed. Such delegations may also be used to address specific
competency requirements related to one or more essential functions that
are not otherwise satisfied by the order of succession. For example,
once again referring to the Bureau of Water Management sample: because
of particular technical skill, the authority to remediate contaminated
sites could be pre-delegated directly to the Division Head, Enforcement
and Remediation Division, bypassing the intervening successor.
Delegations of authority should document the legal authority for making
key decisions, identify the programs and administrative authorities
needed for effective operations, and establish capabilities to restore
authorities upon termination of the event. Pre-determined delegations of
authority may be particularly important in a devolution scenario.

*For additional information on delegations of authority, see Section
XI.2 of the DHS HQ COOP Guidance Document*.

#### Devolution

The devolution section should address how an organization will identify
and conduct its essential functions in the aftermath of a worst-case
scenario, one in which the leadership is incapacitated. The organization
should be prepared to transfer all of their essential functions and
responsibilities to personnel at a different office or location.

*For additional information on Devolution, see Section XI.3 of the DHS
HQ COOP Guidance Document.*

## Phase II: Alternate Facility Operations

The Phase II section should identify initial arrival procedures as well
as operational procedures for the continuation of essential functions.

### Mission Critical Systems

The section should address the organization's mission critical systems
necessary to perform essential functions and activities. Organizations
must define these systems and address the method of
transferring/replicating them at an alternate site.

**\
SAMPLE**

The following table shows examples of mission critical systems for the
Bureau of Water Management:

  -----------------------------------------------------------------------
  **System Name**                **Current           **Other Locations**
                                 Location**          
  ------------------------------ ------------------- --------------------
  Hazardous Spill Cleanup Unit   Warehouse 11        Storage Unit B,
                                                     Storage Unit C

  Mobile Analytical Laboratory   Primary Facility    Alternate Facility

  Mobile Operations Center       Primary Facility    Alternate Facility
  -----------------------------------------------------------------------

### Vital Files, Records, and Databases

This section should address the organization's vital files, records, and
databases, to include classified or sensitive data, which are necessary
to perform essential functions and activities and to reconstitute normal
operations after the emergency ceases. Organizational elements should
pre-position and update on a regular basis those duplicate records,
databases, or back-up electronic media necessary for operations.

There are three categories of records to be reviewed and prioritized,
then transferred (either hard copy or electronic media) to an alternate
location:

-   Emergency operations records;

-   Legal/financial records; and,

-   Records used to perform national security preparedness functions and
    activities (EO 12656).

*For additional information on vital files, records, and databases, see
Section XV of the DHS HQ COOP Guidance Document.*

**\
SAMPLE**

The following table shows examples of vital files, records, and
databases for the Bureau of Water Management:

  ----------------------------------------------------------------------------------
  **Vital File,        **Form of       **Pre-positioned   **Hand        **Backed up
  Record, or           Record (e.g.,   at Alternate       Carried to    at Third
  Database**           hardcopy,       Facility**         Alternate     Location**
                       electronic)**                      Facility**    
  -------------------- --------------- ------------------ ------------- ------------
  GIS Mapping Database Electronic      X                                X

  List of Licensed     Hardcopy                           X             
  Spill Cleanup                                                         
  Contractors                                                           

  List of Regional     Hardcopy                           X             
  Dams                                                                  

  Pollution/Chemical   Electronic      X                                
  Incident Database                                                     

  Public and Private   Electronic      X                                X
  Sewage System                                                         
  Records                                                               

  Water Treatment      Hardcopy                           X             
  Regulations                                                           

  Flood Control        Hardcopy                           X             
  Policies                                                              

  Federal Water        Hardcopy                           X             
  Facilities Contact                                                    
  List                                                                  
  ----------------------------------------------------------------------------------

The following table shows sample vital files, records, and databases
pertaining to COOP coordination for the Bureau of Water Management:

  -------------------------------------------------------------------------------
  **Vital File,     **Form of       **Pre-positioned   **Hand        **Backed up
  Record, or        Record (e.g.,   at Alternate       Carried to    at Third
  Database**        hardcopy,       Facility**         Alternate     Location**
                    electronic)**                      Facility**    
  ----------------- --------------- ------------------ ------------- ------------
  COOP Plan         Electronic      X                                X

  Phone Roster      Hardcopy                           X             

  Devolution        Hardcopy                           X             
  Contact List                                                       

  Legal Authority   Electronic      X                                
  List                                                               

  Emergency Water   Hardcopy                           X             
  Resources List                                                     
  -------------------------------------------------------------------------------

## Phase III: Reconstitution

The Phase III section should explain the procedures for returning to
normal operations -- a time phased approach may be most appropriate.
This section may include procedures for returning to the primary
facility, if available, or procedures for acquiring a new facility
through General Services Administration (GSA). Notification procedures
for all employees returning to work must also be addressed. The conduct
of an After Action Report (AAR), to determine the effectiveness of COOP
plans and procedures should be considered.

# COOP Planning Responsibilities

This section should include additional delineation of COOP
responsibilities of each key staff position, to include individual
Emergency Relocation Group (ERG) members, those identified in the order
of succession and delegation of authority, and others, as appropriate.

**\
SAMPLE**

The following table shows examples of some COOP responsibilities for the
Bureau of Water Management:

  -----------------------------------------------------------------------
  **Responsibility**          **Position**
  --------------------------- -------------------------------------------
  Update COOP plan annually.  Division Head, Standards and Planning
                              Division

  Update telephone rosters    Communications Specialist, Standards and
  monthly.                    Planning Division

  Review status of vital      Records Specialist, Standards and Planning
  files, records, and         Division
  databases.                  

  Conduct alert and           Communications Specialist, Standards and
  notification tests.         Planning Division

  Develop and lead COOP       Training Specialist, Standards and Planning
  training.                   Division

  Plan COOP exercises.        Training Specialist, Standards and Planning
                              Division
  -----------------------------------------------------------------------

# Logistics

## Alternate Location

The alternate location section should explain the significance of
identifying an alternate facility, the requirements for determining an
alternate facility, and the advantages and disadvantages of each
location. Senior managers should take into consideration the operational
risk associated with each facility. Performance of a risk assessment is
vital in determining which alternate location will best satisfy an
organization's requirements.

Alternate facilities should provide:

\(1\) Sufficient space and equipment

\(2\) Capability to perform essential functions within 12 hours, up to
30 days

\(3\) Reliable logistical support, services, and infrastructure systems

\(4\) Consideration for health, safety, and emotional well-being of
personnel

\(5\) Interoperable communications

\(6\) Computer equipment and software

*For additional information on alternate facilities, see Section XII of
the DHS HQ COOP Guidance Document.*

## Interoperable Communications

The interoperable communications section should identify available and
redundant critical communication systems that are located at the
alternate facility. These systems should provide the ability to
communicate within the organization and outside the organization.

Interoperable communications should provide:

\(1\) Capability commensurate with an agency's essential functions

\(2\) Ability to communicate with essential personnel

\(3\) Ability to communicate with other agencies, organizations, and
customers

\(4\) Access to data and systems

\(5\) Communications systems for use in situations with and without
warning

\(6\) Ability to support COOP operational requirements

\(7\) Ability to operate at the alternate facility within 12-hours, and
for up to 30 days

\(8\) Interoperability with existing field infrastructures

*For additional information on interoperable communications, see Section
XIII of the DHS COOP Guidance Document.*

# Test, Training, and Exercises

This section should address the organization's Test, Training, and
Exercise (TT&E) Plan. Tests, Training, and Exercises familiarize staff
members with their roles and responsibilities during an emergency,
ensure that systems and equipment are maintained in a constant state of
readiness, and validate certain aspects of the COOP Plan. Managers may
be creative when it comes to COOP readiness and include snow days, power
outages, server crashes, and other ad-hoc opportunities to assess
preparedness.

:COOP TT&E plans should provide:

\(1\) Individual and team training of agency personnel

\(2\) Internal agency testing and exercising of COOP plans and
procedures

\(3\) Testing of alert and notification procedures

\(4\) Refresher orientation for COOP personnel

\(5\) Joint interagency exercising of COOP plans, if appropriate

*For additional information on TT&E, see Section XVII of the DHS COOP
Guidance Document.*

# Multi-Year Strategy and program Management Plan

This section should discuss how the organization plans to develop their
Multi- Year Strategy and Program Management Plan (MYSPMP). The MYSPMP
should address short and long term COOP goals, objectives, and
timelines, budgetary requirements, planning and preparedness
considerations, and planning milestones or tracking systems to monitor
accomplishments. It should be developed as a separate document.

*For additional information on MYSPMP development, see Section XVIII of
the DHS HQ COOP Guidance Document.*

# COOP Plan Maintenance

This section should address how the organization plans to ensure that
the COOP Plan contains the most current information. Federal guidance
states that organizations should review the entire COOP Plan at least
annually. Key evacuation routes, roster and telephone information, as
well as maps and room/building designations of alternate locations
should be updated as changes occur.

*For additional information on COOP Plan maintenance, see Section XIX of
the DHS HQ COOP Guidance Document.*

#### Annex A: Authorities and References {#annex-a-authorities-and-references .Annex}

This annex should cite a list of authorities and references that mandate
the development of this COOP Plan, and provide guidance towards
acquiring the requisite information contained in this COOP Plan.

#### Annex B: Operational Checklists {#annex-b-operational-checklists .Annex}

This section should contain operational checklists for use during a COOP
event. A checklist is a simple tool that ensures all required tasks are
accomplished so that the organization can continue operations at an
alternate location. Checklists may be designed to list the
responsibilities of a specific position or the steps required to
complete a specific task. Telephone Cascade

> Sample operational checklists may include:

-   Emergency Calling Directory

-   Key Personnel Roster and Essential Functions Checklist

-   Senior Emergency Response Team (SERT) Roster

-   Emergency Relocation Team Checklist

-   Alternate Site Acquisition Checklist

-   Emergency Operating Records and IT Checklist

-   Emergency Equipment Checklist

#### Annex C: Alternate Location/Facility Information {#annex-c-alternate-locationfacility-information .Annex}

This annex should include general information about the alternate
location/facility. Examples include the address, points of contact, and
available resources at the alternate location.

#### Annex D: Maps and Evacuation Routes {#annex-d-maps-and-evacuation-routes .Annex}

This annex should provide maps, driving directions, and available modes
of transportation from the primary facility to the alternate location.
Evacuation routes from the primary facility should also be included.

#### Annex E: Definitions and Acronyms {#annex-e-definitions-and-acronyms .Annex}

This annex should contain a list of key words, phrases, and acronyms
used throughout the COOP Plan and within the COOP community. Each key
word, phrase and acronym should be clearly defined.