# Presentation: 064962

## Unit Introduction and Overview

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

## The Purpose of a COOP Plan

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

## The Purpose of COOP Planning 

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

## The COOP Planning Model 

**The COOP Planning Model **

**Initiate the COOP Planning Process**

**Design and Build the Plan**

**Test, Train, and Exercise the Plan**

**Distribute, Maintain, and Update the Plan**

**Conduct a Risk Analysis**

**Determine Essential Functions**

**Conduct an Impact Analysis**

## Step 1:  Initiate the COOP Planning Process

**Appoint the COOP Program Manager.**
**Select the planning team.**
**Identify resources required.**
**Establish objectives and milestones.**
**Determine procedures for information gathering and decisionmaking. **

## Step 1:  Initiate the COOP Planning Process

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

## Step 1:  Initiate the COOP Planning Process

**Identifying planning resources:**
**Photocopying**
**Supplies**
**Mileage (or fleet vehicle costs) for travel to potential alternate facilities**
**Training rooms, materials, supplies, equipment, and instructors**
**Meeting rooms**
**Other program needs**

## Step 1:  Initiate the COOP Planning Process

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

## Step 1:  Initiate the COOP Planning Process

**Establish procedures for information gathering and decisionmaking:**
**Focus on gathering needed information.**
**Minimize time and effort spent gathering information.**
**Minimize disagreement by establishing procedures for decisionmaking.**

## Step 2:  Conduct a Risk Analysis

**Risk analysis helps to:**
**Narrow the range of incidents requiring planning.**
**Prioritize according to risk.**
**Plan for the highest-risk hazards first.**

## Step 2:  Conduct a Risk Analysis

**Sources of Information:**
**The local hazard analysis**
**Historical information**
**Directive**

## Step 2:  Conduct a Risk Analysis

**Determine vulnerability to identify risks that are:**
**Inherent to the agency’s location.**
**Inherent to the facility.**
**Most critical for agency personnel.**

## Step 2:  Conduct a Risk Analysis

**Steps for conducting a vulnerability analysis:**
**Develop a hazard profile.**
**Check assumptions.**
**Develop an area profile.**
**Identify vulnerabilities.**

## Step 3:  Conduct an Impact Analysis

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

## Step 4:  Determine Essential Functions

**Use a system:**
**Identify all agency functions.**
**Identify essential functions.**
**Prioritize the functions.**
**Identify critical support resources.**

## Step 5:  Design and Build the Plan

**FPC planning guidance**
**Appendix D Template**

## Step 6:  Test, Train, and Exercise the Plan

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

## Step 7:  Distribute, Maintain, and Update the Plan

**Factors to consider:**
**Accountability**
**Version control**
**Security**

## COOP Plan Organization

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

## Concept of Operations 

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

## Concept of Operations 

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

## Concept of Operations 

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

## Concept of Operations 

**Phase III:  Reconstitution**
**Recovery**
**Mitigation**
**Termination**

## Developing COOP Procedures 

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

## Developing COOP Procedures

## Developing COOP Procedures 

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

## Developing COOP Procedures

## Developing COOP Procedures 

_**Day-to-day operations**_**.  Personnel readiness **
**procedures/instructions:**
**Activation readiness**
**Deployment readiness**
**Operational readiness**
**Family readiness**

## What is Continuity of Operations? 

_**Day-to-day operations**_**.  COOP vital files, records, **
**and databases:**
**Identification of materials and resources**
**Recurring and systematic updates**
**Resource protection measures**

## Phase I:  Activation and Relocation 

**Activation procedures**
**Alert/notification procedures**
**Deployment procedures**

## Phase I:  Activation and Relocation 

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

## Phase I:  Activation and Relocation 

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

## Phase I:  Activation and Relocation 

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

## Phase II:  Alternate Facility Operations 

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

## Phase II:  Alternate Facility Operations 

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

## Phase II:  Alternate Facility Operations 

**Status reporting:**
**Purpose of status reports**
**Report format**
**Preparation, review, and approval**
**Submission**
**Frequency**

## Phase II:  Alternate Facility Operations 

**Communications:**
**Internal/external calling**
**Setting up/changing passwords**
**Accessing voicemail**
**Forwarding/transferring calls**
**Conducting conference calls**
**Using cryptographic ignition keys for secure calls**

## Phase II:  Alternate Facility Operations 

**Information technology:**
**General computer/laptop use**
**Setting up/changing passwords**
**Accessing the network**
**Accessing the Internet**
**Accessing data stored on the server**
**Accessing e-mail**

## Phase II:  Alternate Facility Operations 

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

## Phase III:  Reconstitution 

**Reconstitution procedures:**
**Personnel notification**
**Transfer of COOP materials**

## Phase III:  Reconstitution 

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

## Phase III:  Reconstitution 

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

## Summary and Transition 

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

## Summary and Transition

**Questions?**