Continuity of Operations Self-Assessment Tool

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+---+-------------------------+----+--------------------------+------+
| # | **Criteria and          | *  | **Comments**             | **   |
| # | Reference**             | *S |                          | Loca |
|   |                         | co |                          | tion |
|   |                         | re |                          | of   |
|   |                         | ** |                          | Docu |
|   |                         |    |                          | ment |
|   |                         |    |                          | or   |
|   |                         |    |                          | Su   |
|   |                         |    |                          | ppor |
|   |                         |    |                          | ting |
|   |                         |    |                          | Re   |
|   |                         |    |                          | sour |
|   |                         |    |                          | ce** |
+---+-------------------------+----+--------------------------+------+
| # |                         | *  |                          |      |
| # |                         | * |                          |      |
| # |                         | G  |                          |      |
| # |                         | re |                          |      |
|   |                         | en |                          |      |
| A |                         | ** |                          |      |
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|   |                         | *  |                          |      |
| P |                         | * |                          |      |
| l |                         | Ye |                          |      |
| a |                         | ll |                          |      |
| n |                         | ow |                          |      |
| s |                         | ** |                          |      |
|   |                         |    |                          |      |
| a |                         | *  |                          |      |
| n |                         | * |                          |      |
| d |                         | R  |                          |      |
|   |                         | ed |                          |      |
| P |                         | ** |                          |      |
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+---+-------------------------+----+--------------------------+------+
| # | COOP Plan incorporates  |   |                          |      |
| # | all of the following    | G  |                          |      |
|   | elements: essential     | re |                          |      |
| A | functions; alternate    | en |                          |      |
| . | facility(s); vital      |    |                          |      |
| 1 | records, databases, and |   |                          |      |
|   | systems; orders of      | Ye |                          |      |
|   | succession; delegation  | ll |                          |      |
|   | of authorities; COOP    | ow |                          |      |
|   | implementation plans    |    |                          |      |
|   | and procedures; COOP    |   |                          |      |
|   | responsibilities;       | R  |                          |      |
|   | content and maintenance | ed |                          |      |
|   | of drive-away kits;     |    |                          |      |
|   | interoperable           |    |                          |      |
|   | communications; and     |    |                          |      |
|   | COOP personnel and      |    |                          |      |
|   | other employee contact  |    |                          |      |
|   | lists? (Annex A.1-10    |    |                          |      |
|   | and Annex A.2.e)        |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for activation    |   |                          |      |
| * | and relocation with or  | G  |                          |      |
| A | without warning? (Annex | re |                          |      |
| . | A.1.a)                  | en |                          |      |
| 2 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for notifying the |   |                          |      |
| * | FOC, D/A headquarters,  | G  |                          |      |
| A | subordinate             | re |                          |      |
| . | organizations, other    | en |                          |      |
| 3 | points of contact, COOP |    |                          |      |
| * | related personnel, and  |   |                          |      |
| * | non-COOP related        | Ye |                          |      |
|   | personnel, as required? | ll |                          |      |
|   | (Annex A.1.b and Annex  | ow |                          |      |
|   | A.2.f)                  |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for movement to   |   |                          |      |
| * | alternate operating     | G  |                          |      |
| A | facility(s) to include  | re |                          |      |
| . | directions and maps of  | en |                          |      |
| 4 | routes from primary     |    |                          |      |
| * | location to alternate   |   |                          |      |
| * | operating facility(s)?  | Ye |                          |      |
|   | (Annex A.1.c)           | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for movement of   |   |                          |      |
| * | records for activation  | G  |                          |      |
| A | and relocation, not     | re |                          |      |
| . | pre-positioned, from    | en |                          |      |
| 5 | the primary to the      |    |                          |      |
| * | alternate operating     |   |                          |      |
| * | facility(s)? (Annex     | Ye |                          |      |
|   | A.1.d)                  | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for ordering of   |   |                          |      |
| * | necessary               | G  |                          |      |
| A | equipment/supplies not  | re |                          |      |
| . | already in place?       | en |                          |      |
| 6 | (Annex A.1.e)           |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for reception and |   |                          |      |
| * | in processing of COOP   | G  |                          |      |
| A | personnel? (Annex       | re |                          |      |
| . | A.2.a)                  | en |                          |      |
| 7 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for transition of |   |                          |      |
| * | responsibilities to the | G  |                          |      |
| A | deployed COOP           | re |                          |      |
| . | personnel? (Annex       | en |                          |      |
| 8 | A.2.b)                  |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Guidance for            |   |                          |      |
| * | non-deployed personnel? | G  |                          |      |
| A | (Annex A.2.c)           | re |                          |      |
| . |                         | en |                          |      |
| 9 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Identification of       |   |                          |      |
| * | replacement personnel   | G  |                          |      |
| A | and augmentees, as      | re |                          |      |
| . | necessary? (Annex       | en |                          |      |
| 1 | A.2.d)                  |    |                          |      |
| 0 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Redeployment plans to   |   |                          |      |
| * | phase down alternate    | G  |                          |      |
| A | facility operation and  | re |                          |      |
| . | return operations,      | en |                          |      |
| 1 | personnel, records, and |    |                          |      |
| 1 | equipment to the        |   |                          |      |
| * | primary operating       | Ye |                          |      |
| * | facility, when          | ll |                          |      |
|   | appropriate? (Annex     | ow |                          |      |
|   | A.2.g)                  |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Reconstitution plans    |   |                          |      |
| * | informing all           | G  |                          |      |
| A | personnel, including    | re |                          |      |
| . | non-deployed personnel, | en |                          |      |
| 1 | that the need to COOP   |    |                          |      |
| 2 | no longer exists, and   |   |                          |      |
| * | providing instructions  | Ye |                          |      |
| * | for resumption of       | ll |                          |      |
|   | normal operations?      | ow |                          |      |
|   | (Annex A.3.a)           |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Reconstitution plans    |   |                          |      |
| * | for an orderly return   | G  |                          |      |
| A | to the normal operating | re |                          |      |
| . | facility, or movement   | en |                          |      |
| 1 | to other temporary or   |    |                          |      |
| 3 | permanent facility(s)   |   |                          |      |
| * | using a phased approach | Ye |                          |      |
| * | if conditions           | ll |                          |      |
|   | necessitate? (Annex     | ow |                          |      |
|   | A.3.b)                  |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans to include        |   |                          |      |
| * | notification of the     | G  |                          |      |
| A | status of relocation to | re |                          |      |
| . | the FOC, D/A            | en |                          |      |
| 1 | headquarters, and other |    |                          |      |
| 4 | agency points of        |   |                          |      |
| * | contact, as applicable? | Ye |                          |      |
| * | (Annex A.3.c)           | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans for an            |   |                          |      |
| * | after-action review of  | G  |                          |      |
| A | COOP operations and     | re |                          |      |
| . | effectiveness of plans  | en |                          |      |
| 1 | and procedures as soon  |    |                          |      |
| 5 | as possible,            |   |                          |      |
| * | identifying areas for   | Ye |                          |      |
| * | correction, and         | ll |                          |      |
|   | developing a remedial   | ow |                          |      |
|   | action plan? (Annex     |    |                          |      |
|   | A.3.d)                  |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans have been         |   |                          |      |
| * | reviewed *annually* and | G  |                          |      |
| A | approved by senior D/A  | re |                          |      |
| . | official? (Interagency  | en |                          |      |
| 1 | Recommendation)         |    |                          |      |
| 6 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans include guidance  |   |                          |      |
| * | for accounting for      | G  |                          |      |
| A | personnel? (Interagency | re |                          |      |
| . | Recommendation)         | en |                          |      |
| 1 |                         |    |                          |      |
| 7 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # |                         | *  |                          |      |
| # |                         | * |                          |      |
| # |                         | G  |                          |      |
| # |                         | re |                          |      |
|   |                         | en |                          |      |
| B |                         | ** |                          |      |
| . |                         |    |                          |      |
|   |                         | *  |                          |      |
| E |                         | * |                          |      |
| s |                         | Ye |                          |      |
| s |                         | ll |                          |      |
| e |                         | ow |                          |      |
| n |                         | ** |                          |      |
| t |                         |    |                          |      |
| i |                         | *  |                          |      |
| a |                         | * |                          |      |
| l |                         | R  |                          |      |
|   |                         | ed |                          |      |
| F |                         | ** |                          |      |
| u |                         |    |                          |      |
| n |                         |    |                          |      |
| c |                         |    |                          |      |
| t |                         |    |                          |      |
| i |                         |    |                          |      |
| o |                         |    |                          |      |
| n |                         |    |                          |      |
| s |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Identified essential    |   |                          |      |
| # | functions, which must   | G  |                          |      |
|   | be continued under all  | re |                          |      |
| B | circumstances with      | en |                          |      |
| . | minimal disruption or   |    |                          |      |
| 1 | cannot be interrupted   |   |                          |      |
|   | for more than 12 hours, | Ye |                          |      |
|   | without compromising    | ll |                          |      |
|   | the organization's      | ow |                          |      |
|   | ability to perform its  |    |                          |      |
|   | mission? (Annex B.1)    |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Capable of sustaining   |   |                          |      |
| * | the essential functions | G  |                          |      |
| B | until normal business   | re |                          |      |
| . | activities for up to 30 | en |                          |      |
| 2 | days? (Annex B.1)       |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Essential functions are |   |                          |      |
| * | prioritized based on    | G  |                          |      |
| B | the criticality and     | re |                          |      |
| . | time sensitivity of the | en |                          |      |
| 3 | function? (Annex B.2)   |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Established staffing,   |   |                          |      |
| * | resource requirements,  | G  |                          |      |
| B | and any other           | re |                          |      |
| . | supporting activities   | en |                          |      |
| 4 | needed to perform those |    |                          |      |
| * | functions within 12     |   |                          |      |
| * | hours or less of COOP   | Ye |                          |      |
|   | activation and for up   | ll |                          |      |
|   | to 30 days? (Annex B.3) | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Established a roster of |   |                          |      |
| * | personnel, by position, | G  |                          |      |
| B | needed to perform those | re |                          |      |
| . | essential functions?    | en |                          |      |
| 5 | (Annex B.3.a)           |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Identified personnel    |   |                          |      |
| * | assigned to the         | G  |                          |      |
| B | positions? (Annex       | re |                          |      |
| . | A.2.d)                  | en |                          |      |
| 6 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Identified equipment,   |   |                          |      |
| * | including information   | G  |                          |      |
| B | technology and          | re |                          |      |
| . | telecommunications      | en |                          |      |
| 7 | hardware needed to      |    |                          |      |
| * | perform essential       |   |                          |      |
| * | functions? (Annex       | Ye |                          |      |
|   | B.3.b)                  | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Identified mission      |   |                          |      |
| * | critical data needed to | G  |                          |      |
| B | perform essential       | re |                          |      |
| . | functions? (Annex B.4)  | en |                          |      |
| 8 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Identified consumable   |   |                          |      |
| * | office supplies needed  | G  |                          |      |
| B | to perform essential    | re |                          |      |
| . | functions? (Annex B.5)  | en |                          |      |
| 9 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | COOP plan includes a    |   |                          |      |
| * | statement that          | G  |                          |      |
| B | indicated all functions | re |                          |      |
| . | deemed not essential    | en |                          |      |
| 1 | would be deferred?      |    |                          |      |
| 0 | (Annex B.6)             |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Annual review and       |   |                          |      |
| * | update of listed        | G  |                          |      |
| B | resources required to   | re |                          |      |
| . | perform essential       | en |                          |      |
| 1 | functions? (Annex B)    |    |                          |      |
| 1 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do Essential Functions  |   |                          |      |
| * | identify integrated     | G  |                          |      |
| B | support activities or   | re |                          |      |
| . | dependencies on other   | en |                          |      |
| 1 | organizations where     |    |                          |      |
| 2 | applicable?             |   |                          |      |
| * | (Interagency            | Ye |                          |      |
| * | Recommendation)         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have dependencies been  |   |                          |      |
| * | addressed, where        | G  |                          |      |
| B | applicable, to ensure   | re |                          |      |
| . | availability of         | en |                          |      |
| 1 | necessary? (Interagency |    |                          |      |
| 3 | Recommendation)         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # |                         | *  |                          |      |
| # |                         | * |                          |      |
| # |                         | G  |                          |      |
| # |                         | re |                          |      |
|   |                         | en |                          |      |
| C |                         | ** |                          |      |
| . |                         |    |                          |      |
|   |                         | *  |                          |      |
| D |                         | * |                          |      |
| e |                         | Ye |                          |      |
| l |                         | ll |                          |      |
| e |                         | ow |                          |      |
| g |                         | ** |                          |      |
| a |                         |    |                          |      |
| t |                         | *  |                          |      |
| i |                         | * |                          |      |
| o |                         | R  |                          |      |
| n |                         | ed |                          |      |
| s |                         | ** |                          |      |
|   |                         |    |                          |      |
| o |                         |    |                          |      |
| f |                         |    |                          |      |
|   |                         |    |                          |      |
| A |                         |    |                          |      |
| u |                         |    |                          |      |
| t |                         |    |                          |      |
| h |                         |    |                          |      |
| o |                         |    |                          |      |
| r |                         |    |                          |      |
| i |                         |    |                          |      |
| t |                         |    |                          |      |
| y |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Documentation of the    |   |                          |      |
| # | legal authority for     | G  |                          |      |
|   | officials, including    | re |                          |      |
| C | those below the agency  | en |                          |      |
| . | head, to make key       |    |                          |      |
| 1 | policy decisions during |   |                          |      |
|   | a coop situation?       | Ye |                          |      |
|   | (Annex C.1)             | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Identified the programs |   |                          |      |
| # | and administrative      | G  |                          |      |
|   | authorities needed for  | re |                          |      |
| C | effective operations at | en |                          |      |
| . | all agency levels       |    |                          |      |
| 2 | having essential        |   |                          |      |
|   | functions? (Annex C.2)  | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Documents the necessary |   |                          |      |
| * | authority for           | G  |                          |      |
| C | delineating the limits  | re |                          |      |
| . | of authority and        | en |                          |      |
| 3 | accountability? (Annex  |    |                          |      |
| * | C.3.a)                  |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Documents the necessary |   |                          |      |
| * | authority of an         | G  |                          |      |
| C | official whom authority | re |                          |      |
| . | has been delegated to   | en |                          |      |
| 4 | exercise agency         |    |                          |      |
| * | direction, including    |   |                          |      |
| * | any exceptions, and     | Ye |                          |      |
|   | their authority to      | ll |                          |      |
|   | re-delegate functions   | ow |                          |      |
|   | and activities, as      |    |                          |      |
|   | appropriate? (Annex     |   |                          |      |
|   | C.3.b)                  | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Documents the           |   |                          |      |
| # | circumstances under     | G  |                          |      |
|   | which delegated         | re |                          |      |
| C | authorities would be    | en |                          |      |
| . | exercised and when they |    |                          |      |
| 5 | would terminate? (Annex |   |                          |      |
|   | C.3.c)                  | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Ensure that D/A         |   |                          |      |
| * | officials who might be  | G  |                          |      |
| C | expected to assume      | re |                          |      |
| . | authorities in a COOP   | en |                          |      |
| 6 | situation are trained   |    |                          |      |
| * | to carry out their      |   |                          |      |
| * | emergency duties,       | Ye |                          |      |
|   | conducted at least      | ll |                          |      |
|   | annually? (Annex C.4)   | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * |                         | *  |                          |      |
| * |                         | * |                          |      |
| D |                         | G  |                          |      |
| . |                         | re |                          |      |
| O |                         | en |                          |      |
| r |                         | ** |                          |      |
| d |                         |    |                          |      |
| e |                         | *  |                          |      |
| r |                         | * |                          |      |
| s |                         | Ye |                          |      |
| o |                         | ll |                          |      |
| f |                         | ow |                          |      |
| S |                         | ** |                          |      |
| u |                         |    |                          |      |
| c |                         | *  |                          |      |
| c |                         | * |                          |      |
| e |                         | R  |                          |      |
| s |                         | ed |                          |      |
| s |                         | ** |                          |      |
| i |                         |    |                          |      |
| o |                         |    |                          |      |
| n |                         |    |                          |      |
| * |                         |    |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Establish an order of   |   |                          |      |
| # | succession to the       | G  |                          |      |
|   | position of agency head | re |                          |      |
| D | to include geographical | en |                          |      |
| . | dispersion among        |    |                          |      |
| 1 | regional, field, or     |   |                          |      |
|   | satellite leadership?   | Ye |                          |      |
|   | (Annex D.1.a-b)         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Establish orders of     |   |                          |      |
| # | succession to other key | G  |                          |      |
| # | agency leadership       | re |                          |      |
|   | positions including     | en |                          |      |
| D | Regional Director(s) or |    |                          |      |
| . | other agency leadership |   |                          |      |
| 2 | as necessary? (Annex    | Ye |                          |      |
|   | D.2.a-d)                | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Describe the orders of  |   |                          |      |
| * | succession by positions | G  |                          |      |
| D | or titles rather than   | re |                          |      |
| . | names of individuals?   | en |                          |      |
| 3 | (Annex D.3)             |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Establish the rules and |   |                          |      |
| * | procedures designated   | G  |                          |      |
| D | officials must follow   | re |                          |      |
| . | when facing the issue   | en |                          |      |
| 4 | of succession to        |    |                          |      |
| * | office? (Annex D.4)     |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Include in succession   |   |                          |      |
| * | procedures the          | G  |                          |      |
| D | conditions under which  | re |                          |      |
| . | succession will take    | en |                          |      |
| 5 | place; method of        |    |                          |      |
| * | notification; and, any  |   |                          |      |
| * | temporal, geographical, | Ye |                          |      |
|   | or organizational       | ll |                          |      |
|   | limitations of          | ow |                          |      |
|   | authorities? (Annex     |    |                          |      |
|   | D.5)                    |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Include orders of       |   |                          |      |
| * | succession in the vital | G  |                          |      |
| D | records of the agency   | re |                          |      |
| . | and ensure they are     | en |                          |      |
| 6 | available at the        |    |                          |      |
| * | alternate facility in   |   |                          |      |
| * | the event of COOP       | Ye |                          |      |
|   | activation? (Annex D.6) | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Orders of succession    |   |                          |      |
| * | are revised as          | G  |                          |      |
| D | necessary and           | re |                          |      |
| . | distributed promptly as | en |                          |      |
| 7 | changes occur? (Annex   |    |                          |      |
| * | D.7)                    |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Designate               |   |                          |      |
| * | responsibility for      | G  |                          |      |
| D | updating and            | re |                          |      |
| . | promulgating orders of  | en |                          |      |
| 8 | succession? (Annex D.7) |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Provide annual          |   |                          |      |
| * | briefings to designated | G  |                          |      |
| D | successors on their     | re |                          |      |
| . | responsibilities and on | en |                          |      |
| 9 | any provisions for      |    |                          |      |
| * | their relocation, if    |   |                          |      |
| * | necessary? (Annex D.8)  | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * |                         | *  |                          |      |
| * |                         | * |                          |      |
| E |                         | G  |                          |      |
| . |                         | re |                          |      |
| A |                         | en |                          |      |
| l |                         | ** |                          |      |
| t |                         |    |                          |      |
| e |                         | *  |                          |      |
| r |                         | * |                          |      |
| n |                         | Ye |                          |      |
| a |                         | ll |                          |      |
| t |                         | ow |                          |      |
| e |                         | ** |                          |      |
| O |                         |    |                          |      |
| p |                         | *  |                          |      |
| e |                         | * |                          |      |
| r |                         | R  |                          |      |
| a |                         | ed |                          |      |
| t |                         | ** |                          |      |
| i |                         |    |                          |      |
| n |                         |    |                          |      |
| g |                         |    |                          |      |
| F |                         |    |                          |      |
| a |                         |    |                          |      |
| c |                         |    |                          |      |
| i |                         |    |                          |      |
| l |                         |    |                          |      |
| i |                         |    |                          |      |
| t |                         |    |                          |      |
| i |                         |    |                          |      |
| e |                         |    |                          |      |
| s |                         |    |                          |      |
| * |                         |    |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Performed an all-hazard |   |                          |      |
| # | risk assessment for     | G  |                          |      |
|   | facility(s) considered  | re |                          |      |
| E | for COOP use? (Annex    | en |                          |      |
| . | E.1)                    |    |                          |      |
| 1 |                         |   |                          |      |
|   |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | has the ability to be   | G  |                          |      |
| E | operational within 12   | re |                          |      |
| . | hours of COOP           | en |                          |      |
| 2 | activation? (Annex      |    |                          |      |
| * | E.1.a)                  |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | has the ability to      | G  |                          |      |
| E | sustain operations      | re |                          |      |
| . | until normal business   | en |                          |      |
| 3 | operations can resume   |    |                          |      |
| * | for up to 30 days?      |   |                          |      |
| * | (Annex E.1.a)           | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | is located enough       | G  |                          |      |
| E | distance from any       | re |                          |      |
| . | vulnerable areas or     | en |                          |      |
| 4 | facilities? (Annex      |    |                          |      |
| * | E.1.b)                  |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Access to essential     |   |                          |      |
| * | resources such as food, | G  |                          |      |
| E | water, fuel, medical    | re |                          |      |
| . | facilities, and         | en |                          |      |
| 5 | municipal services from |    |                          |      |
| * | alternate facility(s)?  |   |                          |      |
| * | (Annex E.1.c)           | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Access to               |   |                          |      |
| * | transportation for      | G  |                          |      |
| E | associates or a defined | re |                          |      |
| . | transportation plan     | en |                          |      |
| 6 | that describes          |    |                          |      |
| * | procedures for a        |   |                          |      |
| * | warning/no warning      | Ye |                          |      |
|   | event? (Annex E.1.d)    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | has the ability to run  | G  |                          |      |
| E | emergency power to      | re |                          |      |
| . | allow essential         | en |                          |      |
| 7 | functions and           |    |                          |      |
| * | operations to continue  |   |                          |      |
| * | in any environment?     | Ye |                          |      |
|   | (Annex E.2)             | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | A signed MOU/MOA exists |   |                          |      |
| * | if the alternate        | G  |                          |      |
| E | facility is not owned   | re |                          |      |
| . | or leased by the        | en |                          |      |
| 8 | agency? (Annex E.3 and  |    |                          |      |
| * | Annex E.1-7             |   |                          |      |
| * | "Acquisition Process")  | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | The MOU/MOA is reviewed |   |                          |      |
| * | annually? (Annex E.3)   | G  |                          |      |
| E |                         | re |                          |      |
| . |                         | en |                          |      |
| 9 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | The MOU/MOA takes into  |   |                          |      |
| * | consideration the time  | G  |                          |      |
| E | period from             | re |                          |      |
| . | notification of         | en |                          |      |
| 1 | requirement to          |    |                          |      |
| 0 | availability of         |   |                          |      |
| * | facility for occupancy; | Ye |                          |      |
| * | space and services      | ll |                          |      |
|   | required; and sole use  | ow |                          |      |
|   | of allocated space      |    |                          |      |
|   | during the period of    |   |                          |      |
|   | occupancy? (Annex E.3)  | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | is sized according to   | G  |                          |      |
| E | the scope of staffing   | re |                          |      |
| . | needed for COOP         | en |                          |      |
| 1 | activation? (Annex E.4) |    |                          |      |
| 1 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Plans are developed to  |   |                          |      |
| * | address housing for     | G  |                          |      |
| E | COOP personnel? (Annex  | re |                          |      |
| . | E.5)                    | en |                          |      |
| 1 |                         |    |                          |      |
| 2 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Transportation          |   |                          |      |
| * | resources are           | G  |                          |      |
| E | identified for use at   | re |                          |      |
| . | the alternate           | en |                          |      |
| 1 | facility(s)? (Annex     |    |                          |      |
| 3 | E.6)                    |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Adequate communications |   |                          |      |
| * | exist at alternate      | G  |                          |      |
| E | facility(s) to perform  | re |                          |      |
| . | essential functions?    | en |                          |      |
| 1 | (Annex E.7)             |    |                          |      |
| 4 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | provides physical       | G  |                          |      |
| E | security that meets all | re |                          |      |
| . | requirements            | en |                          |      |
| 1 | established by annual   |    |                          |      |
| 5 | threat assessments and  |   |                          |      |
| * | physical security       | Ye |                          |      |
| * | surveys? (Annex E.8)    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Physical security       |   |                          |      |
| * | capabilities are tested | G  |                          |      |
| E | annually? (Annex E.8)   | re |                          |      |
| . |                         | en |                          |      |
| 1 |                         |    |                          |      |
| 6 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Alternate facility(s)   |   |                          |      |
| * | has sufficient          | G  |                          |      |
| E | perimeter, access, and  | re |                          |      |
| . | internal security       | en |                          |      |
| 1 | functions as required   |    |                          |      |
| 7 | by agency policy?       |   |                          |      |
| * | (Annex E.8)             | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Adequate life support   |   |                          |      |
| * | items are available     | G  |                          |      |
| E | from external sources   | re |                          |      |
| . | and are accessible to   | en |                          |      |
| 1 | the facility in         |    |                          |      |
| 8 | sufficient quantities   |   |                          |      |
| * | to sustain 30 days of   | Ye |                          |      |
| * | operations? (Annex E.9) | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Agency has              |   |                          |      |
| * | pre-positioned or       | G  |                          |      |
| E | detailed site           | re |                          |      |
| . | preparation and         | en |                          |      |
| 1 | activation plans to     |    |                          |      |
| 9 | achieve full            |   |                          |      |
| * | operational capability  | Ye |                          |      |
| * | within 12 hours of      | ll |                          |      |
|   | notification? (Annex    | ow |                          |      |
|   | E.10)                   |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Agency developed        |   |                          |      |
| # | facility maintenance    | G  |                          |      |
| # | and inspection          | re |                          |      |
|   | procedures to ensure    | en |                          |      |
| E | its alternate           |    |                          |      |
| . | facility(s) is able to  |   |                          |      |
| 2 | support COOP essential  | Ye |                          |      |
| 0 | functions and personnel | ll |                          |      |
|   | within 12 hours and for | ow |                          |      |
|   | up to 30 days? (Annex   |    |                          |      |
|   | E.11)                   |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | D/A has addressed the   |   |                          |      |
| * | use of virtual offices  | G  |                          |      |
| E | as an alternate         | re |                          |      |
| . | facility? (Annex        | en |                          |      |
| 2 | E.2.a-c)                |    |                          |      |
| 1 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Agency identified all   |   |                          |      |
| * | alternate facilities    | G  |                          |      |
| E | and provided the        | re |                          |      |
| . | necessary data          | en |                          |      |
| 2 | concerning the          |    |                          |      |
| 2 | facility(s) to GSA?     |   |                          |      |
| * | (Annex E "The Reporting | Ye |                          |      |
| * | Process")               | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # |                         | *  |                          |      |
| # |                         | * |                          |      |
| # |                         | G  |                          |      |
| # |                         | re |                          |      |
|   |                         | en |                          |      |
| F |                         | ** |                          |      |
| . |                         |    |                          |      |
|   |                         | *  |                          |      |
| I |                         | * |                          |      |
| n |                         | Ye |                          |      |
| t |                         | ll |                          |      |
| e |                         | ow |                          |      |
| r |                         | ** |                          |      |
| o |                         |    |                          |      |
| p |                         | *  |                          |      |
| e |                         | * |                          |      |
| r |                         | R  |                          |      |
| a |                         | ed |                          |      |
| b |                         | ** |                          |      |
| l |                         |    |                          |      |
| e |                         |    |                          |      |
|   |                         |    |                          |      |
| C |                         |    |                          |      |
| o |                         |    |                          |      |
| m |                         |    |                          |      |
| m |                         |    |                          |      |
| u |                         |    |                          |      |
| n |                         |    |                          |      |
| i |                         |    |                          |      |
| c |                         |    |                          |      |
| a |                         |    |                          |      |
| t |                         |    |                          |      |
| i |                         |    |                          |      |
| o |                         |    |                          |      |
| n |                         |    |                          |      |
| s |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Agency adequately       |   |                          |      |
| # | identified all          | G  |                          |      |
|   | necessary               | re |                          |      |
| F | communications media    | en |                          |      |
| . | likely to be available  |    |                          |      |
| 1 | and needed in an        |   |                          |      |
|   | emergency situation?    | Ye |                          |      |
|   | (Annex F and Annex F.2) | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | D/A have the equipment  |   |                          |      |
| * | resources to support    | G  |                          |      |
| F | the essential           | re |                          |      |
| . | functions? (Annex F and | en |                          |      |
| 2 | Annex F.2)              |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Interoperable           |   |                          |      |
| * | communications          | G  |                          |      |
| F | capability is           | re |                          |      |
| . | commensurate with       | en |                          |      |
| 3 | agency's essential      |    |                          |      |
| * | functions, including    |   |                          |      |
| * | quantity as per the     | Ye |                          |      |
|   | staffing plan within an | ll |                          |      |
|   | agency COOP? (Annex F.1 | ow |                          |      |
|   | and Annex F.1)          |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Ability to communicate  |   |                          |      |
| * | with D/A COOP           | G  |                          |      |
| F | personnel, other        | re |                          |      |
| . | employees, leadership,  | en |                          |      |
| 4 | and other elements, to  |    |                          |      |
| * | include bureaus,        |   |                          |      |
| * | regions, and field      | Ye |                          |      |
|   | offices? (Annex F.2)    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Ability to communicate  |   |                          |      |
| * | with the FOC and the    | G  |                          |      |
| F | HSOC, other federal     | re |                          |      |
| . | agencies and their COOP | en |                          |      |
| 5 | sites, and critical     |    |                          |      |
| * | customers, as required? |   |                          |      |
| * | (Annex F.3)             | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Access to data,         |   |                          |      |
| * | systems, and services   | G  |                          |      |
| F | necessary to conduct    | re |                          |      |
| . | essential functions and | en |                          |      |
| 6 | support activities?     |    |                          |      |
| * | (Annex F.4)             |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Agency reviewed         |   |                          |      |
| * | redundant IT equipment  | G  |                          |      |
| F | and countermeasures     | re |                          |      |
| . | that provide access to  | en |                          |      |
| 7 | data systems and        |    |                          |      |
| * | services to conduct     |   |                          |      |
| * | essential functions and | Ye |                          |      |
|   | support activities?     | ll |                          |      |
|   | (Annex F.4)             | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Redundant               |   |                          |      |
| * | communications systems  | G  |                          |      |
| F | for use in COOP         | re |                          |      |
| . | implementation and      | en |                          |      |
| 8 | operations within 12    |    |                          |      |
| * | hours of COOP           |   |                          |      |
| * | activation and          | Ye |                          |      |
|   | sustained for up to 30  | ll |                          |      |
|   | days? (Annex F.5-6)     | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Communications and      |   |                          |      |
| * | systems                 | G  |                          |      |
| F | interoperability with   | re |                          |      |
| . | existing field          | en |                          |      |
| 9 | infrastructures? (Annex |    |                          |      |
| * | F.7)                    |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Quarterly testing of    |   |                          |      |
| * | the COOP Communications | G  |                          |      |
| F | Plan? (Annex F.3)       | re |                          |      |
| . |                         | en |                          |      |
| 1 |                         |    |                          |      |
| 0 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | N  |                          |      |
|   |                         | /A |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Validate internal and   |   |                          |      |
| * | external communications | G  |                          |      |
| F | capabilities at all     | re |                          |      |
| . | alternate facilities at | en |                          |      |
| 1 | least quarterly? (Annex |    |                          |      |
| 1 | F.3)                    |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * |                         | *  |                          |      |
| * |                         | * |                          |      |
| G |                         | G  |                          |      |
| . |                         | re |                          |      |
| V |                         | en |                          |      |
| i |                         | ** |                          |      |
| t |                         |    |                          |      |
| a |                         | *  |                          |      |
| l |                         | * |                          |      |
| F |                         | Ye |                          |      |
| i |                         | ll |                          |      |
| l |                         | ow |                          |      |
| e |                         | ** |                          |      |
| s |                         |    |                          |      |
| , |                         | *  |                          |      |
| R |                         | * |                          |      |
| e |                         | R  |                          |      |
| c |                         | ed |                          |      |
| o |                         | ** |                          |      |
| r |                         |    |                          |      |
| d |                         |    |                          |      |
| s |                         |    |                          |      |
| a |                         |    |                          |      |
| n |                         |    |                          |      |
| d |                         |    |                          |      |
| D |                         |    |                          |      |
| a |                         |    |                          |      |
| t |                         |    |                          |      |
| a |                         |    |                          |      |
| b |                         |    |                          |      |
| a |                         |    |                          |      |
| s |                         |    |                          |      |
| e |                         |    |                          |      |
| s |                         |    |                          |      |
| * |                         |    |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Has a vital records     |   |                          |      |
| # | program, with a         | G  |                          |      |
|   | specific purpose and    | re |                          |      |
| G | scope, been officially  | en |                          |      |
| . | established within your |    |                          |      |
| 1 | organization? (Annex    |   |                          |      |
|   | G.1 and Annex G.1.a)    | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does the program assign |   |                          |      |
| * | roles and               | G  |                          |      |
| G | responsibilities?       | re |                          |      |
| . | (Annex G.1.b)           | en |                          |      |
| 2 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does the program        |   |                          |      |
| * | provide for staff       | G  |                          |      |
| G | training? (Annex G.1.c) | re |                          |      |
| . |                         | en |                          |      |
| 3 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Is the program          |   |                          |      |
| * | periodically reviewed   | G  |                          |      |
| G | and tested? (Annex      | re |                          |      |
| . | G.1.d)                  | en |                          |      |
| 4 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Within 12 hours of COOP |   |                          |      |
| * | plan activation, will   | G  |                          |      |
| G | your COOP personnel     | re |                          |      |
| . | have access to the D/A  | en |                          |      |
| 5 | local area network      |    |                          |      |
| * | (LAN)? (Annex G.2.a)    |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Within 12 hours of COOP |   |                          |      |
| * | plan activation, will   | G  |                          |      |
| G | your COOP personnel     | re |                          |      |
| . | have access to the D/A  | en |                          |      |
| 6 | vital electronic        |    |                          |      |
| * | records? (Annex G.2.b)  |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Within 12 hours of COOP |   |                          |      |
| * | plan activation, will   | G  |                          |      |
| G | your COOP personnel     | re |                          |      |
| . | have access to the D/A  | en |                          |      |
| 7 | critical information    |    |                          |      |
| * | systems and data?       |   |                          |      |
| * | (Annex G.2.c)           | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Within 12 hours of COOP |   |                          |      |
| * | plan activation, will   | G  |                          |      |
| G | your COOP personnel     | re |                          |      |
| . | have access to the D/A  | en |                          |      |
| 8 | internal and external   |    |                          |      |
| * | email and archives?     |   |                          |      |
| * | (Annex G.2.d)           | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Within 12 hours of COOP |   |                          |      |
| * | plan activation, will   | G  |                          |      |
| G | your COOP personnel     | re |                          |      |
| . | have access to the D/A  | en |                          |      |
| 9 | vital hard copy         |    |                          |      |
| * | records? (Annex G.2.e)  |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | D/A addressed multiple  |   |                          |      |
| * | redundant media for     | G  |                          |      |
| G | storage of vital        | re |                          |      |
| . | records? (Annex G.2)    | en |                          |      |
| 1 |                         |    |                          |      |
| 0 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your Agency        |   |                          |      |
| * | maintain a complete     | G  |                          |      |
| G | inventory of records    | re |                          |      |
| . | identified under        | en |                          |      |
| 1 | Emergency Operating     |    |                          |      |
| 1 | Records and Legal and   |   |                          |      |
| * | Financial Records,      | Ye |                          |      |
| * | along with location and | ll |                          |      |
|   | access information?     | ow |                          |      |
|   | (Annex G.3)             |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your D/A maintain  |   |                          |      |
| * | Emergency Operating     | G  |                          |      |
| G | Records and Legal and   | re |                          |      |
| . | Financial Records at    | en |                          |      |
| 1 | multiple sites? (Annex  |    |                          |      |
| 2 | G.3)                    |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you performed a    |   |                          |      |
| * | risk assessment to      | G  |                          |      |
| G | identify risks if vital | re |                          |      |
| . | records are retained in | en |                          |      |
| 1 | current locations and   |    |                          |      |
| 3 | medium, and the         |   |                          |      |
| * | difficulty of           | Ye |                          |      |
| * | reconstituting them if  | ll |                          |      |
|   | they are destroyed?     | ow |                          |      |
|   | (Annex G.4.a)           |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you determined if  |   |                          |      |
| * | off site storage is     | G  |                          |      |
| G | necessary? (Annex       | re |                          |      |
| . | G.4.b)                  | en |                          |      |
| 1 |                         |    |                          |      |
| 4 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you determined if  |   |                          |      |
| * | alternative storage     | G  |                          |      |
| G | media is advisable?     | re |                          |      |
| . | (Annex G.4.c)           | en |                          |      |
| 1 |                         |    |                          |      |
| 5 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you determined if  |   |                          |      |
| * | it is necessary to      | G  |                          |      |
| G | duplicate records to    | re |                          |      |
| . | provide a vital records | en |                          |      |
| 1 | copy? (Annex G.4.e)     |    |                          |      |
| 6 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you selected       |   |                          |      |
| * | protection methods for  | G  |                          |      |
| G | vital records? (Annex   | re |                          |      |
| . | G.5)                    | en |                          |      |
| 1 |                         |    |                          |      |
| 7 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have procedures  |   |                          |      |
| * | for routinely updating  | G  |                          |      |
| G | vital records to ensure | re |                          |      |
| . | that they always        | en |                          |      |
| 1 | contain the most        |    |                          |      |
| 8 | current information?    |   |                          |      |
| * | (Annex G.6)             | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you identified     |   |                          |      |
| * | records recovery        | G  |                          |      |
| G | experts and vendors to  | re |                          |      |
| . | assist with recovery in | en |                          |      |
| 1 | the event of records    |    |                          |      |
| 9 | damage? (Annex G.7)     |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you developed and  |   |                          |      |
| * | maintained a vital      | G  |                          |      |
| G | records plan packet?    | re |                          |      |
| . | (Annex G.8)             | en |                          |      |
| 2 |                         |    |                          |      |
| 0 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does you plan packet    |   |                          |      |
| * | contain a hard copy or  | G  |                          |      |
| G | electronic list of key  | re |                          |      |
| . | agency personnel and    | en |                          |      |
| 2 | disaster staff with     |    |                          |      |
| 1 | up-to-date telephone    |   |                          |      |
| * | numbers? (Annex G.8.a)  | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it contain a vital |   |                          |      |
| * | records inventory with  | G  |                          |      |
| G | precise locations of    | re |                          |      |
| . | vital records? (Annex   | en |                          |      |
| 2 | G.8.b)                  |    |                          |      |
| 2 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # | Does it contain the     |   |                          |      |
| # | necessary keys or       | G  |                          |      |
|   | access codes? (Annex    | re |                          |      |
| G | G.8.c)                  | en |                          |      |
| . |                         |    |                          |      |
| 2 |                         |   |                          |      |
| 3 |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it list alternate  |   |                          |      |
| * | operating facility      | G  |                          |      |
| G | locations? (Annex       | re |                          |      |
| . | G.8.d)                  | en |                          |      |
| 2 |                         |    |                          |      |
| 4 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have a listing   |   |                          |      |
| * | of the access           | G  |                          |      |
| G | requirements and lists  | re |                          |      |
| . | of sources of equipment | en |                          |      |
| 2 | necessary to access the |    |                          |      |
| 5 | records? (Annex G.8.e)  |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it list records    |   |                          |      |
| * | recovery experts and    | G  |                          |      |
| G | vendors? (Annex G.8.f)  | re |                          |      |
| . |                         | en |                          |      |
| 2 |                         |    |                          |      |
| 6 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have a copy of   |   |                          |      |
| * | the agency\'s disaster  | G  |                          |      |
| G | recovery plan (e.g.     | re |                          |      |
| . | COOP or Vital Records   | en |                          |      |
| 2 | Recovery Plan)? (Annex  |    |                          |      |
| 7 | G.8.g)                  |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you periodically     |   |                          |      |
| * | review the packet to    | G  |                          |      |
| G | ensure that the         | re |                          |      |
| . | information is current? | en |                          |      |
| 2 | (Annex G.8)             |    |                          |      |
| 8 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Is a copy securely      |   |                          |      |
| * | maintained at the       | G  |                          |      |
| G | agency\'s alternate     | re |                          |      |
| . | operating facilities?   | en |                          |      |
| 2 | (Annex G.8)             |    |                          |      |
| 9 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Have you developed a    |   |                          |      |
| * | training program for    | G  |                          |      |
| G | all staff involved in   | re |                          |      |
| . | the vital records       | en |                          |      |
| 3 | program to include      |    |                          |      |
| 0 | periodic briefings to   |   |                          |      |
| * | managers about the      | Ye |                          |      |
| * | vital records program   | ll |                          |      |
|   | and its relationship to | ow |                          |      |
|   | their records and       |    |                          |      |
|   | business needs and      |   |                          |      |
|   | staff training focusing | R  |                          |      |
|   | on the identification,  | ed |                          |      |
|   | inventorying,           |    |                          |      |
|   | protection, storage,    |    |                          |      |
|   | access to, and updating |    |                          |      |
|   | of the vital records?   |    |                          |      |
|   | (Annex G.9)             |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you periodically     |   |                          |      |
| * | review the vital        | G  |                          |      |
| G | records program to      | re |                          |      |
| . | address any new         | en |                          |      |
| 3 | security issues,        |    |                          |      |
| 1 | identify problem areas, |   |                          |      |
| * | update information, and | Ye |                          |      |
| * | identify additional     | ll |                          |      |
|   | vital records that may  | ow |                          |      |
|   | result from new agency  |    |                          |      |
|   | programs or functions   |   |                          |      |
|   | from organizational     | R  |                          |      |
|   | changes? (Annex G.10)   | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have             |   |                          |      |
| * | capabilities for        | G  |                          |      |
| G | protecting unclassified | re |                          |      |
| . | and/or classified vital | en |                          |      |
| 3 | records and databases   |    |                          |      |
| 2 | and providing access to |   |                          |      |
| * | them from the alternate | Ye |                          |      |
| * | operating facility?     | ll |                          |      |
|   | (Annex G.11)            | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Is this                 |   |                          |      |
| * | capability-tested semi  | G  |                          |      |
| G | annually? (Annex G.11)  | re |                          |      |
| . |                         | en |                          |      |
| 3 |                         |    |                          |      |
| 3 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # |                         | *  |                          |      |
| # |                         | * |                          |      |
| # |                         | G  |                          |      |
| # |                         | re |                          |      |
|   |                         | en |                          |      |
| H |                         | ** |                          |      |
| . |                         |    |                          |      |
|   |                         | *  |                          |      |
| H |                         | * |                          |      |
| u |                         | Ye |                          |      |
| m |                         | ll |                          |      |
| a |                         | ow |                          |      |
| n |                         | ** |                          |      |
|   |                         |    |                          |      |
| C |                         | *  |                          |      |
| a |                         | * |                          |      |
| p |                         | R  |                          |      |
| i |                         | ed |                          |      |
| t |                         | ** |                          |      |
| a |                         |    |                          |      |
| l |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | dismissal or closure to | en |                          |      |
| 1 | employees that are      |    |                          |      |
| * | reviewed at least       |   |                          |      |
| * | annually? (Annex H-4)   | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | identifying emergency   | en |                          |      |
| 2 | employees who must      |    |                          |      |
| * | report for work under   |   |                          |      |
| * | various situations to   | Ye |                          |      |
|   | continue Government     | ll |                          |      |
|   | operations? (Annex H-4) | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | notifying these         | en |                          |      |
| 3 | employees in writing    |    |                          |      |
| * | that they are so        |   |                          |      |
| * | designated? (Annex H-4) | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | notifying               | en |                          |      |
| 4 | \"non-emergency         |    |                          |      |
| * | employees\" or          |   |                          |      |
| * | \"non-special           | Ye |                          |      |
|   | categories of           | ll |                          |      |
|   | employees\" to report   | ow |                          |      |
|   | for or remain at work   |    |                          |      |
|   | when Government         |   |                          |      |
|   | operations are          | R  |                          |      |
|   | disrupted? (Annex H-4)  | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | determining, at least   | en |                          |      |
| 5 | annually, when an       |    |                          |      |
| * | employee\'s formal or   |   |                          |      |
| * | informal telework       | Ye |                          |      |
|   | agreement must be       | ll |                          |      |
|   | amended for telework    | ow |                          |      |
|   | employees who may be    |    |                          |      |
|   | required to continue to |   |                          |      |
|   | work at their           | R  |                          |      |
|   | alternative worksites   | ed |                          |      |
|   | on their telework-day   |    |                          |      |
|   | when the agency is      |    |                          |      |
|   | closed? (Annex H-4)     |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | notifying employees     | en |                          |      |
| 6 | that if they are        |    |                          |      |
| * | required to report for  |   |                          |      |
| * | work and are not        | Ye |                          |      |
|   | otherwise granted       | ll |                          |      |
|   | excused absence, they   | ow |                          |      |
|   | will be charged absence |    |                          |      |
|   | without leave (AWOL)    |   |                          |      |
|   | for the period not      | R  |                          |      |
|   | worked and may          | ed |                          |      |
|   | potentially be          |    |                          |      |
|   | disciplined for the     |    |                          |      |
|   | AWOL at the agency\'s   |    |                          |      |
|   | discretion? (Annex H-4) |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | requiring managers to   | en |                          |      |
| 7 | be responsible for      |    |                          |      |
| * | determining closure,    |   |                          |      |
| * | dismissal, and leave    | Ye |                          |      |
|   | policies for employees  | ll |                          |      |
|   | on shift work and for   | ow |                          |      |
|   | informing employees of  |    |                          |      |
|   | these policies. (Annex  |   |                          |      |
|   | H-5)                    | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | familiarizing employees | en |                          |      |
| 8 | with the methods of     |    |                          |      |
| * | communications put into |   |                          |      |
| * | place at their agency,  | Ye |                          |      |
|   | as well as the means of | ll |                          |      |
|   | notification used to    | ow |                          |      |
|   | inform and instruct     |    |                          |      |
|   | employees? (Annex H-5)  |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | encouraging employees   | en |                          |      |
| 9 | to remain aware and be  |    |                          |      |
| * | attentive to suspicious |   |                          |      |
| * | activities? (Annex H-5) | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | regularly testing its   | en |                          |      |
| 1 | fire and safety public  |    |                          |      |
| 0 | address systems? (Annex |   |                          |      |
| * | H-5)                    | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for          | re |                          |      |
| . | providing supplies in   | en |                          |      |
| 1 | the case of             |    |                          |      |
| 1 | shelter-in-place        |   |                          |      |
| * | response to an          | Ye |                          |      |
| * | emergency? (Annex H-5)  | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for posting  | re |                          |      |
| . | clear signage for       | en |                          |      |
| 1 | evacuation routes?      |    |                          |      |
| 2 | (Annex H-5)             |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having a | re |                          |      |
| . | protocol for safety and | en |                          |      |
| 1 | security personnel to   |    |                          |      |
| 3 | maintain communications |   |                          |      |
| * | in an emergency? (Annex | Ye |                          |      |
| * | H-5)                    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place an overtime    | en |                          |      |
| 1 | pay policy for Standby  |    |                          |      |
| 4 | Duty, when employees    |   |                          |      |
| * | are required to remain  | Ye |                          |      |
| * | in a state of readiness | ll |                          |      |
|   | to perform work during  | ow |                          |      |
|   | an emergency? (Agency   |    |                          |      |
|   | H-6)                    |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a policy to    | en |                          |      |
| 1 | utilize compressed work |    |                          |      |
| 5 | schedules during an     |   |                          |      |
| * | extended emergency?     | Ye |                          |      |
| * | (Agency H-6)            | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having a | re |                          |      |
| . | policy for              | en |                          |      |
| 1 | implementation for the  |    |                          |      |
| 6 | Biweekly Premium Pay    |   |                          |      |
| * | Limitation? (Agency     | Ye |                          |      |
| * | H-6)                    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having a | re |                          |      |
| . | policy for              | en |                          |      |
| 1 | implementation for the  |    |                          |      |
| 7 | Annual Premium Pay      |   |                          |      |
| * | Limitation? (Agency     | Ye |                          |      |
| * | H-6)                    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 1 | emergency or special    |    |                          |      |
| 8 | staffing needs for      |   |                          |      |
| * | excepted appointments   | Ye |                          |      |
| * | (Temporary Emergency    | ll |                          |      |
|   | Need (Up To 1 Year) and | ow |                          |      |
|   | 30-Day Critical Need)?  |    |                          |      |
|   | (Agency H-7)            |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 1 | emergency or special    |    |                          |      |
| 9 | staffing needs for      |   |                          |      |
| * | reemploying annuitants? | Ye |                          |      |
| * | (Agency H-7)            | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 2 | emergency or special    |    |                          |      |
| 0 | staffing needs for      |   |                          |      |
| * | reemploying buyout      | Ye |                          |      |
| * | recipients? (Agency     | ll |                          |      |
|   | H-7)                    | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 2 | emergency or special    |    |                          |      |
| 1 | staffing needs for      |   |                          |      |
| * | direct-hire authority?  | Ye |                          |      |
| * | (Agency H-7)            | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 2 | emergency or special    |    |                          |      |
| 2 | staffing needs for      |   |                          |      |
| * | contract with private   | Ye |                          |      |
| * | sector temporary firms  | ll |                          |      |
|   | for services to meet    | ow |                          |      |
|   | its emergency needs?    |    |                          |      |
|   | (Agency H-7)            |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 2 | emergency or special    |    |                          |      |
| 3 | staffing needs for      |   |                          |      |
| * | competitive service     | Ye |                          |      |
| * | appointments of 120     | ll |                          |      |
|   | days or less without    | ow |                          |      |
|   | clearing its Career     |    |                          |      |
|   | Transition Assistance   |   |                          |      |
|   | Plan (CTAP) or the      | R  |                          |      |
|   | Interagency Career      | ed |                          |      |
|   | Transition Assistance   |    |                          |      |
|   | Plan (ICTAP)? (Agency   |    |                          |      |
|   | H-7)                    |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | in place a plan to fill | en |                          |      |
| 2 | emergency or special    |    |                          |      |
| 4 | staffing need for       |   |                          |      |
| * | reemployment priority   | Ye |                          |      |
| * | list (RPL)? (Agency     | ll |                          |      |
|   | H-8)                    | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your COOP plan     |   |                          |      |
| * | include agency          | G  |                          |      |
| H | procedures for having   | re |                          |      |
| . | access to \"A Federal   | en |                          |      |
| 2 | Employee\'s Emergency   |    |                          |      |
| 5 | Guide,\" from the       |   |                          |      |
| * | Office of Personnel     | Ye |                          |      |
| * | Management\'s (OPM\'s)  | ll |                          |      |
|   | Web site?               | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * |                         | *  |                          |      |
| * |                         | * |                          |      |
| I |                         | G  |                          |      |
| . |                         | re |                          |      |
| T |                         | en |                          |      |
| e |                         | ** |                          |      |
| s |                         |    |                          |      |
| t |                         | *  |                          |      |
| , |                         | * |                          |      |
| T |                         | Ye |                          |      |
| r |                         | ll |                          |      |
| a |                         | ow |                          |      |
| i |                         | ** |                          |      |
| n |                         |    |                          |      |
| i |                         | *  |                          |      |
| n |                         | * |                          |      |
| g |                         | R  |                          |      |
| a |                         | ed |                          |      |
| n |                         | ** |                          |      |
| d |                         |    |                          |      |
| E |                         |    |                          |      |
| x |                         |    |                          |      |
| e |                         |    |                          |      |
| r |                         |    |                          |      |
| c |                         |    |                          |      |
| i |                         |    |                          |      |
| s |                         |    |                          |      |
| e |                         |    |                          |      |
| P |                         |    |                          |      |
| r |                         |    |                          |      |
| o |                         |    |                          |      |
| g |                         |    |                          |      |
| r |                         |    |                          |      |
| a |                         |    |                          |      |
| m |                         |    |                          |      |
| * |                         |    |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your agency test   |   |                          |      |
| * | program include         | G  |                          |      |
| I | quarterly testing of    | re |                          |      |
| . | COOP alert,             | en |                          |      |
| 1 | notification, and       |    |                          |      |
| * | activation procedures?  |   |                          |      |
| * | (Annex I.1.a)           | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you semi-annually    |   |                          |      |
| * | test plans for the      | G  |                          |      |
| I | recovery of vital       | re |                          |      |
| . | classified and          | en |                          |      |
| 2 | unclassified records,   |    |                          |      |
| * | critical information    |   |                          |      |
| * | systems, services, and  | Ye |                          |      |
|   | data? (Annex I.1.b)     | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you test, quarterly, |   |                          |      |
| * | your COOP               | G  |                          |      |
| I | communications          | re |                          |      |
| . | capabilities? (Annex    | en |                          |      |
| 3 | I.1.c)                  |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you annually test    |   |                          |      |
| * | primary and backup      | G  |                          |      |
| I | infrastructure systems  | re |                          |      |
| . | and services at         | en |                          |      |
| 4 | alternate operating     |    |                          |      |
| * | facilities (e.g.,       |   |                          |      |
| * | power, water, fuel)?    | Ye |                          |      |
|   | (Annex I.1.d)           | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your agency        |   |                          |      |
| * | training program        | G  |                          |      |
| I | include an Annual COOP  | re |                          |      |
| . | awareness briefing (or  | en |                          |      |
| 5 | other means of          |    |                          |      |
| * | orientation) for the    |   |                          |      |
| * | entire workforce?       | Ye |                          |      |
|   | (Annex I.2.a)           | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Annual team training    |   |                          |      |
| * | for COOP personnel?     | G  |                          |      |
| I | (Annex I.2.b)           | re |                          |      |
| . |                         | en |                          |      |
| 6 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Annual team training    |   |                          |      |
| * | for agency personnel    | G  |                          |      |
| I | (and host or contractor | re |                          |      |
| . | personnel) assigned to  | en |                          |      |
| 7 | activate, support, and  |    |                          |      |
| * | sustain COOP operations |   |                          |      |
| * | at alternate operating  | Ye |                          |      |
|   | facilities? (Annex      | ll |                          |      |
|   | I.2.c)                  | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Annual exercise that    |   |                          |      |
| * | incorporates the        | G  |                          |      |
| I | deliberate and          | re |                          |      |
| . | pre-planned movement of | en |                          |      |
| 8 | the COOP personnel to   |    |                          |      |
| * | an alternate operating  |   |                          |      |
| * | facility? (Annex I.2.d) | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | A comprehensive         |   |                          |      |
| * | debriefing conducted    | G  |                          |      |
| I | after each exercise for | re |                          |      |
| . | the participants to     | en |                          |      |
| 9 | identify systemic       |    |                          |      |
| * | weakness in plans and   |   |                          |      |
| * | procedures and          | Ye |                          |      |
|   | recommend COOP plans    | ll |                          |      |
|   | revisions? (Annex       | ow |                          |      |
|   | I.2.e)                  |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your exercise      |   |                          |      |
| * | program provide an      | G  |                          |      |
| I | opportunity for COOP    | re |                          |      |
| . | personnel to            | en |                          |      |
| 1 | demonstrate their       |    |                          |      |
| 0 | familiarity with COOP   |   |                          |      |
| * | plans and the           | Ye |                          |      |
| * | capability to continue  | ll |                          |      |
|   | essential functions?    | ow |                          |      |
|   | (Annex I.3.a)           |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you annually conduct |   |                          |      |
| * | a deliberate and        | G  |                          |      |
| I | pre-planned movement of | re |                          |      |
| . | COOP personnel to an    | en |                          |      |
| 1 | alternate operating     |    |                          |      |
| 1 | facility? (Annex I.3.b) |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you annually test    |   |                          |      |
| * | your communications     | G  |                          |      |
| I | capabilities and inter- | re |                          |      |
| . | and intra-agency        | en |                          |      |
| 1 | dependencies? (Annex    |    |                          |      |
| 2 | I.3.c)                  |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have plans to    |   |                          |      |
| * | notify the FOC and      | G  |                          |      |
| I | other agency points of  | re |                          |      |
| . | contact, as applicable? | en |                          |      |
| 1 | (Annex I.3.c)           |    |                          |      |
| 3 |                         |   |                          |      |
| * |                         | Ye |                          |      |
| * |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| # |                         | *  |                          |      |
| # |                         | * |                          |      |
| # |                         | G  |                          |      |
| # |                         | re |                          |      |
|   |                         | en |                          |      |
| J |                         | ** |                          |      |
| . |                         |    |                          |      |
|   |                         | *  |                          |      |
| D |                         | * |                          |      |
| e |                         | Ye |                          |      |
| v |                         | ll |                          |      |
| o |                         | ow |                          |      |
| l |                         | ** |                          |      |
| u |                         |    |                          |      |
| t |                         | *  |                          |      |
| i |                         | * |                          |      |
| o |                         | R  |                          |      |
| n |                         | ed |                          |      |
|   |                         | ** |                          |      |
| o |                         |    |                          |      |
| f |                         |    |                          |      |
|   |                         |    |                          |      |
| C |                         |    |                          |      |
| o |                         |    |                          |      |
| n |                         |    |                          |      |
| t |                         |    |                          |      |
| r |                         |    |                          |      |
| o |                         |    |                          |      |
| l |                         |    |                          |      |
|   |                         |    |                          |      |
| a |                         |    |                          |      |
| n |                         |    |                          |      |
| d |                         |    |                          |      |
|   |                         |    |                          |      |
| D |                         |    |                          |      |
| i |                         |    |                          |      |
| r |                         |    |                          |      |
| e |                         |    |                          |      |
| c |                         |    |                          |      |
| t |                         |    |                          |      |
| i |                         |    |                          |      |
| o |                         |    |                          |      |
| n |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your plan for      |   |                          |      |
| * | devolution identify     | G  |                          |      |
| J | prioritized essential   | re |                          |      |
| . | functions and determine | en |                          |      |
| 1 | necessary resources to  |    |                          |      |
| * | facilitate their        |   |                          |      |
| * | immediate and seamless  | Ye |                          |      |
|   | transfer to a           | ll |                          |      |
|   | devolution site? (Annex | ow |                          |      |
|   | J.1)                    |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your plan for      |   |                          |      |
| * | devolution include a    | G  |                          |      |
| J | roster identifying      | re |                          |      |
| . | fully equipped and      | en |                          |      |
| 2 | trained personnel at    |    |                          |      |
| * | the designated          |   |                          |      |
| * | devolution site with    | Ye |                          |      |
|   | the authority to        | ll |                          |      |
|   | perform essential       | ow |                          |      |
|   | functions and           |    |                          |      |
|   | activities when the     |   |                          |      |
|   | devolution option of    | R  |                          |      |
|   | COOP is activated?      | ed |                          |      |
|   | (Annex J.2)             |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it identify the    |   |                          |      |
| * | likely triggers that    | G  |                          |      |
| J | would initiate or       | re |                          |      |
| . | activate the devolution | en |                          |      |
| 3 | option? (Annex J.3)     |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it specify how and |   |                          |      |
| * | when direction and      | G  |                          |      |
| J | control of agency       | re |                          |      |
| . | operations will be      | en |                          |      |
| 4 | transferred to the      |    |                          |      |
| * | devolution site? (Annex |   |                          |      |
| * | J.4)                    | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it list the        |   |                          |      |
| * | necessary resources     | G  |                          |      |
| J | (people, equipment, and | re |                          |      |
| . | materials) to           | en |                          |      |
| 5 | facilitate the ability  |    |                          |      |
| * | to perform essential    |   |                          |      |
| * | functions at the        | Ye |                          |      |
|   | devolution site? (Annex | ll |                          |      |
|   | J.5)                    | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it establish       |   |                          |      |
| * | reliable processes and  | G  |                          |      |
| J | procedures to acquire   | re |                          |      |
| . | resources necessary to  | en |                          |      |
| 6 | continue essential      |    |                          |      |
| * | functions and sustain   |   |                          |      |
| * | operations for extended | Ye |                          |      |
|   | periods? (Annex J.6)    | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does it establish       |   |                          |      |
| * | capabilities to restore | G  |                          |      |
| J | or reconstitute agency  | re |                          |      |
| . | authorities to their    | en |                          |      |
| 7 | pre-event status upon   |    |                          |      |
| * | termination of          |   |                          |      |
| * | devolution? (Annex J.7) | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your Devolution    |   |                          |      |
| * | site and personnel have | Y  |                          |      |
| J | the capability to       | es |                          |      |
| . | support all COOP        |    |                          |      |
| 8 | essential functions and |   |                          |      |
| * | activities? (Annex J)   | No |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * |                         | *  |                          |      |
| * |                         | * |                          |      |
| K |                         | G  |                          |      |
| . |                         | re |                          |      |
| R |                         | en |                          |      |
| e |                         | ** |                          |      |
| c |                         |    |                          |      |
| o |                         | *  |                          |      |
| n |                         | * |                          |      |
| s |                         | Ye |                          |      |
| t |                         | ll |                          |      |
| i |                         | ow |                          |      |
| t |                         | ** |                          |      |
| u |                         |    |                          |      |
| t |                         | *  |                          |      |
| i |                         | * |                          |      |
| o |                         | R  |                          |      |
| n |                         | ed |                          |      |
| O |                         | ** |                          |      |
| p |                         |    |                          |      |
| e |                         |    |                          |      |
| r |                         |    |                          |      |
| a |                         |    |                          |      |
| t |                         |    |                          |      |
| i |                         |    |                          |      |
| o |                         |    |                          |      |
| n |                         |    |                          |      |
| s |                         |    |                          |      |
| * |                         |    |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your Agency have   |   |                          |      |
| * | an executable plan to   | G  |                          |      |
| K | transition from COOP    | re |                          |      |
| . | status to an efficient  | en |                          |      |
| 1 | normal operations       |    |                          |      |
| * | status once a threat or |   |                          |      |
| * | disruption has passed?  | Ye |                          |      |
|   | (Annex K1)              | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Does your agency have   |   |                          |      |
| * | coordinated and         | G  |                          |      |
| K | pre-planned options for | re |                          |      |
| . | the reconstitution of   | en |                          |      |
| 2 | the agency regardless   |    |                          |      |
| * | of the level of         |   |                          |      |
| * | disruption causing      | Ye |                          |      |
|   | implementation of its   | ll |                          |      |
|   | COOP plan? (Annex K.2)  | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do your pre-planned     |   |                          |      |
| * | options include         | G  |                          |      |
| K | movement back from the  | re |                          |      |
| . | COOP or devolution      | en |                          |      |
| 3 | location to the         |    |                          |      |
| * | original operating site |   |                          |      |
| * | or a new operating      | Ye |                          |      |
|   | facility if necessary?  | ll |                          |      |
|   | (Annex K.3)             | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have             |   |                          |      |
| * | reconstitution          | G  |                          |      |
| K | procedures that inform  | re |                          |      |
| . | all personnel that the  | en |                          |      |
| 4 | threat of or actual     |    |                          |      |
| * | emergency no longer     |   |                          |      |
| * | exists, and provide     | Ye |                          |      |
|   | instructions for        | ll |                          |      |
|   | resumption of normal    | ow |                          |      |
|   | operations? (Annex K)   |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have             |   |                          |      |
| * | reconstitution          | G  |                          |      |
| K | procedures that         | re |                          |      |
| . | supervise an orderly    | en |                          |      |
| 5 | return to the normal    |    |                          |      |
| * | operating facility or   |   |                          |      |
| * | movement to other       | Ye |                          |      |
|   | temporary or permanent  | ll |                          |      |
|   | operating facility?     | ow |                          |      |
|   | (Annex K)               |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have             |   |                          |      |
| * | reconstitution          | G  |                          |      |
| K | procedures that verify  | re |                          |      |
| . | that all systems,       | en |                          |      |
| 6 | communications, and     |    |                          |      |
| * | other required          |   |                          |      |
| * | capabilities are        | Ye |                          |      |
|   | available and           | ll |                          |      |
|   | operational and that    | ow |                          |      |
|   | the agency(s) are fully |    |                          |      |
|   | capable of              |   |                          |      |
|   | accomplishing all       | R  |                          |      |
|   | essential               | ed |                          |      |
|   | functions/operations at |    |                          |      |
|   | the new or restored     |    |                          |      |
|   | facility? (Annex K)     |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have             |   |                          |      |
| * | reconstitution          | G  |                          |      |
| K | procedures that         | re |                          |      |
| . | instruct the Agency POC | en |                          |      |
| 7 | to reports status of    |    |                          |      |
| * | the relocation to the   |   |                          |      |
| * | FOC and other points of | Ye |                          |      |
|   | contact, as necessary?  | ll |                          |      |
|   | (Annex K)               | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Do you have             |   |                          |      |
| * | reconstitution          | G  |                          |      |
| K | procedures that provide | re |                          |      |
| . | for the conduct of an   | en |                          |      |
| 8 | after-action review of  |    |                          |      |
| * | COOP operations and the |   |                          |      |
| * | effectiveness of plans  | Ye |                          |      |
|   | and procedures,         | ll |                          |      |
|   | identify areas for      | ow |                          |      |
|   | correction, and develop |    |                          |      |
|   | a remedial action plan  |   |                          |      |
|   | as soon as possible     | R  |                          |      |
|   | after the               | ed |                          |      |
|   | reconstitution? (Annex  |    |                          |      |
|   | K)                      |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * |                         | *  |                          |      |
| * |                         | * |                          |      |
| L |                         | G  |                          |      |
| . |                         | re |                          |      |
| A |                         | en |                          |      |
| g |                         | ** |                          |      |
| e |                         |    |                          |      |
| n |                         | *  |                          |      |
| c |                         | * |                          |      |
| y |                         | Ye |                          |      |
| H |                         | ll |                          |      |
| e |                         | ow |                          |      |
| a |                         | ** |                          |      |
| d |                         |    |                          |      |
| R |                         | *  |                          |      |
| e |                         | * |                          |      |
| s |                         | R  |                          |      |
| p |                         | ed |                          |      |
| o |                         | ** |                          |      |
| n |                         |    |                          |      |
| s |                         |    |                          |      |
| i |                         |    |                          |      |
| b |                         |    |                          |      |
| i |                         |    |                          |      |
| l |                         |    |                          |      |
| i |                         |    |                          |      |
| t |                         |    |                          |      |
| i |                         |    |                          |      |
| e |                         |    |                          |      |
| s |                         |    |                          |      |
| * |                         |    |                          |      |
| * |                         |    |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Establishes agency COOP |   |                          |      |
| * | Program? (12.a.1)       | G  |                          |      |
| L |                         | re |                          |      |
| . |                         | en |                          |      |
| 1 |                         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Appoints a senior       |   |                          |      |
| * | executive as the agency | G  |                          |      |
| L | COOP program            | re |                          |      |
| . | point-of-contact?       | en |                          |      |
| 2 | (12.a.2)                |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Developed a COOP        |   |                          |      |
| * | Multi-Year Strategy and | G  |                          |      |
| L | Program Management Plan | re |                          |      |
| . | that includes a program | en |                          |      |
| 3 | budget to support a     |    |                          |      |
| * | viable COOP capability? |   |                          |      |
| * | (12.a.3)                | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Developed, approved and |   |                          |      |
| * | maintains agency COOP   | G  |                          |      |
| L | plans and procedures    | re |                          |      |
| . | for headquarters and    | en |                          |      |
| 4 | all subordinate         |    |                          |      |
| * | elements? (12.a.4)      |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Conducts tests,         |   |                          |      |
| * | training, and exercises | G  |                          |      |
| L | of agency COOP plans at | re |                          |      |
| . | least annually, to      | en |                          |      |
| 5 | include COOP personnel, |    |                          |      |
| * | and essential systems   |   |                          |      |
| * | and equipment, to       | Ye |                          |      |
|   | ensure timely and       | ll |                          |      |
|   | reliable implementation | ow |                          |      |
|   | of COOP plans and       |    |                          |      |
|   | procedures? (12.a.5)    |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Participates in         |   |                          |      |
| * | interagency COOP        | G  |                          |      |
| L | exercises to ensure     | re |                          |      |
| . | effective interagency   | en |                          |      |
| 6 | coordination and mutual |    |                          |      |
| * | support? (12.a.6)       |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Notifies the FOC and    |   |                          |      |
| * | other appropriate       | G  |                          |      |
| L | agencies upon any       | re |                          |      |
| . | implementation of COOP  | en |                          |      |
| 7 | plans? (12.a.7)         |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Provides updates on     |   |                          |      |
| * | COOP status to the FOC  | G  |                          |      |
| L | as designated or if the | re |                          |      |
| . | agency's COOP status    | en |                          |      |
| 8 | changes? (12.a.8)       |    |                          |      |
| * |                         |   |                          |      |
| * |                         | Ye |                          |      |
|   |                         | ll |                          |      |
|   |                         | ow |                          |      |
|   |                         |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Coordinates             |   |                          |      |
| * | intra-agency COOP       | G  |                          |      |
| L | efforts and initiatives | re |                          |      |
| . | with policies, plans,   | en |                          |      |
| 9 | and activities in       |    |                          |      |
| * | accordance with         |   |                          |      |
| * | directives related to   | Ye |                          |      |
|   | terrorism, Critical     | ll |                          |      |
|   | Infrastructure          | ow |                          |      |
|   | Protection, and         |    |                          |      |
|   | all-hazards             |   |                          |      |
|   | preparedness? (12.a.9)  | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+
| * | Contingency planning    |   |                          |      |
| * | efforts such as         | G  |                          |      |
| L | Disaster Recovery       | re |                          |      |
| . | Plans, Information      | en |                          |      |
| 1 | Assurance, National     |    |                          |      |
| 0 | Response Plan, Business |   |                          |      |
| * | Continuity Plans, etc., | Ye |                          |      |
| * | are integrated into the | ll |                          |      |
|   | agency's COOP plan?     | ow |                          |      |
|   | (12.a.9)                |    |                          |      |
|   |                         |   |                          |      |
|   |                         | R  |                          |      |
|   |                         | ed |                          |      |
+---+-------------------------+----+--------------------------+------+