U.S. Department of Homeland Security
Washington, D.C. 20472

Federal Emergency Management Agency
Directives Management System 

FEDERAL PREPAREDNESS  CIRCULAR

Date		          			Office
FPC 65                 June 15, 2004               		  Office of National Security Coordination	

TO: 	HEADS OF FEDERAL DEPARTMENTS AND AGENCIES
SUBJECT:	FEDERAL EXECUTIVE BRANCH CONTINUITY OF OPERATIONS (COOP)

1.	PURPOSE:  This Federal Preparedness Circular (FPC) provides guidance to Federal 
Executive Branch departments and agencies for use in developing contingency plans and 
programs for continuity of operations (COOP).  COOP planning facilitates the performance 
of department/agency essential functions during any emergency or situation that may disrupt 
normal operations.

2.	APPLICABILITY AND SCOPE:  The provisions of this FPC are applicable to all Federal 
Executive Branch departments, agencies, and independent organizations, hereinafter referred 
to as "agencies."  The COOP elements outlined herein are for use at all levels of Federal 
Executive Branch organizations, regardless of location. 

3.	SUPERSESSION:  The provisions of this FPC supersede:
	a.	Federal Preparedness Circular 65, Federal Executive Branch Continuity of 
		Operations, dated July 26, 1999.
	b.	Federal Preparedness Circular 66, Test, Training and Exercise Program for Continuity 
		of Operations, dated April 30, 2001.
	c.	Federal Preparedness Circular 67, Acquisition of Alternate Facilities For Continuity 
		of Operations, dated April 30, 2001.

4.	AUTHORITIES:
	a.	The National Security Act of 1947, dated July 26, 1947, as amended.
	b.	The Homeland Security Act of 2002 (Public Law 107-296), dated November 25, 2002.
	c.	Executive Order 12148, Federal Emergency Management, dated July 20, 1979, as amended.
	d.	Executive Order 12472, Assignment of National Security and Emergency  Preparedness 
		Telecommunications Functions, dated April 3, 1984.
	e.	Executive Order 12656, Assignment of Emergency Preparedness Responsibilities 
		dated November 18, 1988, as amended.
	f.	Executive Order 13286, Establishing Office of Homeland Security, dated February 
		28, 2003.
	g.	Presidential Decision Directive 67, Enduring Constitutional Government and 
		Continuity of Government Operations, dated October 21, 1998.

5.	REFERENCES:
	a.	41 Code of Federal Regulations 101.20.103-4, Occupant Emergency Program, 
		revised as of July 1, 2000
	b.	36 Code of Federal Regulations, Part 1236, Management of Vital Records, revised as 
		of July 1, 2000.
	c.	Presidential Decision Directive 62, Protection Against Unconventional Threats to the 
		Homeland and Americans Overseas, dated May 22,1998.  
	d.	Homeland Security Presidential Directive 3, Homeland Security Advisory System, 
		dated March 11, 2002.
	e.	Homeland Security Presidential Directive 5, Management of Domestic Incidents, 
		dated February 28, 2003.
	f.	Homeland Security Presidential Directive 7, Critical Infrastructure Identification, 
		Prioritization, and Protection, dated December 17, 2003.
	g.	Homeland Security Presidential Directive 8, National Preparedness, dated December 
		17, 2003.
	h.	Federal Preparedness Circular 60, Continuity of the Executive Branch of the Federal 
		Government at the Headquarters Level During National Security Emergencies, dated 
		November 20, 1990.

6.  POLICY:  It is the policy of the United States to have in place a comprehensive and effective 
program to ensure continuity of essential Federal functions under all circumstances.  To 
support this policy the Federal Executive Branch has implemented the Continuity of 
Operations (COOP) Program.  COOP is defined as the activities of individual departments 
and agencies and their sub-components to ensure that their essential functions are performed. 
This includes plans and procedures that delineate essential functions; specify succession to 
office and the emergency delegation of authority; provide for the safekeeping of vital records 
and databases; identify alternate operating facilities; provide for interoperable 
communications; and validate the capability through tests, training, and exercises. All 
Federal agencies, regardless of location, shall have in place a viable COOP capability to 
ensure continued performance of essential functions from alternate operating sites during any 
emergency or situation that may disrupt normal operations.  

7. BACKGROUND:  COOP planning is simply a "good business practice"part of the 
fundamental mission of agencies as responsible and reliable public institutions.  Today's 
changing threat environment and the potential for no-notice emergencies, including localized 
acts of nature, accidents, technological emergencies, and military or terrorist attack-related 
incidents, have increased the need for COOP capabilities and plans that enable agencies to 
continue their essential functions across a broad spectrum of emergencies.  This, coupled 
with the potential for terrorist use of weapons of mass destruction, has emphasized the 
importance of COOP programs that ensure continuity of essential government functions 
across the Federal Executive Branch.  

To provide oversight and coordination of this effort, Presidential Decision Directive (PDD) 
67 established the Federal Emergency Management Agency (FEMA) as the lead agency for 
Federal Executive Branch COOP.  This authority was transferred to the Department of 
Homeland Security on March 1, 2003, and then delegated to the Emergency Preparedness 
and Response Directorate (FEMA).  FEMA's Office of National Security Coordination has 
been designated as DHS's lead agent for the Federal Executive Branch COOP program. 
Included in this responsibility is the requirement to formulate guidance and establish 
common standards for agencies to use in developing viable, executable COOP plans; 
facilitate interagency coordination as appropriate; and oversee and assess the status of COOP 
capabilities of Federal Executive Branch agencies.  Additionally, each Federal Executive 
Branch agency is responsible for appointing a senior Federal government executive as an 
emergency coordinator to serve as program manager and agency point of contact for 
coordinating agency COOP activities, to include planning, programming, and budgeting for a 
viable and executable COOP program that conforms to this FPC.

8.  OBJECTIVES:  COOP planning is an effort to ensure that the capability exists to continue 
essential agency functions across a wide range of all hazard emergencies.  The objectives of a 
viable COOP plan include:
	a.	Ensuring the performance of an agency's essential functions/operations during a 
		COOP event;
	b.	Reducing loss of life, minimizing damage and losses;
	c.	Executing as required, successful succession to office with accompanying authorities 
		in the event a disruption renders agency leadership unable, unavailable, or incapable 
		of assuming and performing their authorities and responsibilities of office;
	d.	Reducing or mitigating disruptions to operations;
	e.	Ensuring that agencies have alternate facilities from which to continue to perform 
		their essential functions during a COOP event;
	f.	Protecting essential facilities, equipment, vital records, and other assets;
	g.	Achieving a timely and orderly recovery from an emergency and reconstitution of 
		normal operations that allows resumption of essential functions for both internal and 
		external clients; and
	h.	Ensuring and validating COOP readiness through a dynamic, integrated test, training, 
		and exercise program to support the implementation of COOP plans.  

9. PLANNING REQUIREMENTS FOR VIABLE COOP CAPABILITY:  Viable 
department and agency COOP capability consists, at a minimum, of the following elements:
	a.	Must be capable of implementation both with and without warning;
	b.	Must be operational within a minimal acceptable period of disruption for essential 
		functions, but in all cases within 12 hours of COOP activation; 
	c.	Must be capable of maintaining sustained operations until normal business activities 
		can be reconstituted, which may be up to 30 days; 
	d.	Must include regularly scheduled testing, training, and exercising of agency 
		personnel, equipment, systems, processes, and procedures used to support the agency 
		during a COOP event;
	e.	Must provide for a regular risk analysis of current alternate operating facility(ies);
	f.	Must locate alternate operating facilities in areas where the ability to initiate, 
		maintain, and terminate continuity operations is maximized;
	g.	Should consider locating alternate operating facilities in areas where power, 
		telecommunications, and internet grids would be distinct from those of the primary;
	h.	Should take maximum advantage of existing agency field infrastructures and give 
		consideration to other options, such as telecommuting locations, work-at-home, 
		virtual offices, and joint or shared facilities; 
	i.	Must consider the distance of alternate operating facilities from the primary facility 
		and from the threat of any other facilities/locations (e.g., nuclear power plants or 
		areas subject to frequent natural disasters); and
	j.	Must include the development, maintenance, and annual review of agency COOP 
		capabilities using a multi-year strategy and program management plan.  The multi-
		year strategy and program management plan will outline the process the agency will 
		follow to:
		
		(1)	Designate and review essential functions and resources, 
		(2)	Define short and long-term COOP goals and objectives, 
		(3)	Forecast COOP budgetary requirements, 
		(4)	Identify COOP program issues, concerns, potential obstacles, and the strategy 
			for addressing these, as appropriate.
		(5)	Establish COOP planning, training, and exercise activities and milestones for 
			these activities.  

10.	ELEMENTS OF A VIABLE COOP CAPABILITY: At a minimum, all agency COOP 
plans and programs shall include the following elements:  
	
	a.	PLANS AND PROCEDURES.  A COOP plan shall be developed and documented 
		that, when implemented, will provide for continued performance of an organization's 
		essential functions under all circumstances.  At a minimum, the plan must:
		
		(1)	Delineate essential functions and activities, agency interdependencies, and the 
			resources needed to perform them;
		(2)	Establish orders of succession to key agency positions and establish and 
			maintain current roster(s) of fully equipped and trained COOP personnel with 
			the authority to perform essential functions, to include a devolution of control 
			plan;
		(3)	Provide for the identification and preparation of alternate operating facilities 
			for continuity operations;
		(4)	Outline a decision process for determining appropriate actions in 
			implementing COOP plans and procedures;
		(5)	Provide procedures for the notification and relocation of COOP personnel to 
			one or more alternate operating facilities;
		(6)	Provide procedures for the orientation of COOP personnel and for conducting 
			operations and administration at alternate operating facilities;
		(7)	Provide for operational capability at the COOP site as soon as possible with 
			minimal disruption to operations, but in all cases within 12 hours of 
			activation; 
		(8)	Establish reliable processes and procedures to acquire resources necessary to 
			continue essential functions and sustain operations until normal business 
			activities can be reconstituted, which could be up to 30 days;
		(9)     Provide for the ability to coordinate activities with non-COOP personnel; and
		(10)    Provide for reconstitution of agency capabilities, and transition from 
			continuity operations to normal operations

See Annex A- Plans and Procedures.

		b.	ESSENTIAL FUNCTIONS.  The identification and prioritization of essential 
			functions is a prerequisite for COOP because it establishes the planning parameters 
			that drive the agency's efforts in all other planning and preparedness areas.  Essential 
			functions are those functions that enable agencies to provide vital services, exercise 
			civil authority, maintain the safety and well being of the general populace, and sustain 
			the industrial/economic base in an emergency.  

Agencies should carefully review all of their organization's missions and functions 
before determining those that are essential.  Improper identification of essential 
functions can have a negative impact on the entire COOP plan, because other aspects 
of the COOP plan are designed around supporting these functions.  If an agency fails 
to identify a function as essential, it will not make the necessary arrangements to 
perform that function.  If it identifies too many functions as essential, it risks being 
unable to adequately address all of them.  In either case, the agency increases the risk 
that it will not be able to perform its essential functions in a COOP situation.

Planning related to essential functions must also include identification of partners 
integral to program delivery, testing data exchanges between partners, developing 
complementary COOP plans, sharing key information on readiness with other 
partners and the public, and taking steps to ensure that the agency's essential 
functions will continue in a COOP situation.  Careful consideration must be given to 
department and agency interdependencies to ensure the continued delivery and 
performance of essential functions across the full spectrum of threats and "All 
Hazards" emergencies. 

See Annex B  Essential Functions.  

c.	DELEGATIONS OF AUTHORITY.  To ensure rapid response to any emergency 
situation requiring COOP plan implementation, agencies should pre-delegate 
authorities for making policy determinations and other decisions at headquarters, field 
levels, and other organizational locations, as appropriate.  Clearly established 
delegations of authority are vital to ensuring all agency personnel know who has 
authority to make key decisions in a COOP situation.  Generally, pre-determined 
delegations of authority will take effect when normal channels of direction and 
control are disrupted and will terminate when these channels are restored.

See Annex C  Delegations of Authority

d.	ORDERS OF SUCCESSION.  Agencies are responsible for establishing, 
promulgating, and maintaining orders of succession to key positions.  Such orders of 
succession are an essential part of an agency's COOP plan to ensure agency 
personnel know who has authority and responsibility if agency leadership is 
incapacitated or unavailable in a COOP situation.  Orders should be of sufficient 
depth to ensure the agency's ability to manage and direct its essential functions and 
operations while remaining a viable part of the Federal government throughout any 
emergency. 

See Annex D  Orders of Succession

e.	ALTERNATE OPERATING FACILITY(IES).  All agencies must identify and 
prepare alternate operating facilities as part of their COOP plans, and prepare their 
personnel for the possibility of unannounced relocation of essential functions and/or 
COOP personnel to these facilities.  As a minimum, alternate operating facilities must 
provide:

(1)	Sufficient space and equipment to sustain the relocating agency;
(2)	Capability to perform essential functions as soon as possible with minimal 
	disruption of operations, but in all cases within 12 hours of activation and 
	until normal business activities can be reconstituted, which could be up to 30 
	days under various threat conditions, including threats involving weapons of 
	mass destruction; 
(3)	Reliable logistical support, services, and infrastructure systems;
(4)	Consideration for the health, safety, security, and emotional well being of 
	relocated employees; 
(5)	Interoperable communications, including means for secure communications, 
	with all identified essential internal and external organizations, customers, and 
	the public; and
(6)	Computer equipment, software, and other automated data processing 
	equipment necessary to carry out essential functions.

See Annex E  Alternate Operating Facilities.

f.   INTEROPERABLE COMMUNICATIONS.  The ability of an agency to execute its 
essential functions at its alternate operating facilities is dependent upon the 
identification, availability, and redundancy of critical communications and 
information technology (IT) systems to support connectivity between key government 
leadership, internal elements, other agencies, critical customers, and the public (e.g. 
secure and non-secure phone, video conferencing, fax, and messaging capabilities, 
etc.) during crisis, disasters, or wartime conditions. All necessary and required 
communications and IT capabilities must be operational as soon as possible following 
COOP activation, but in all cases within twelve hours of notification.  Departments 
and agencies listed in the COOP Communications Plan (CCP) must test the 
communications capabilities at their alternate operating facilities quarterly. All other 
organizations should also validate their internal and external communications 
capabilities at their alternate operating facilities quarterly.

See Annex F  Interoperable Communications.

g.	VITAL RECORDS AND DATABASES.  The identification, protection, and ready 
availability of electronic and hardcopy documents, references, records, and 
information systems needed to support essential functions during a COOP situation is 
another critical element of a viable COOP plan.  Agency personnel must have access 
to and be able to use these records and systems in conducting their essential 
functions.  They must also have procedures for protecting and updating them.  As a 
minimum, categories of these types of records are:
	
(1)	Emergency Operating Records.  These include records and databases essential 
to the continued functioning or reconstitution of an agency during and after a 
COOP event.  Examples are emergency plans and directives, orders of 
succession, delegations of authority, staffing assignments, and related records 
of a policy or procedural nature that provide agency COOP personnel with the 
guidance and information resources necessary for conducting operations 
during a COOP situation, and for resuming normal operations at its 
conclusion.

(2)	Legal and Financial Records. These include vital records critical to carrying 
out an agency's essential legal and financial functions and protecting the legal 
and financial rights of individuals directly affected by its activities. Included 
are records having such value that their loss would significantly impair the 
execution of essential agency functions, to the detriment of the legal or 
financial rights and/or entitlements of the agency or of the affected 
individual(s).  Examples of this category of vital records are accounts 
receivable; contracting and acquisition files; official personnel records; Social 
Security, payroll, retirement, and insurance records; and property management 
and inventory records. 

	The COOP Plan must account for the identification and protection of the vital 
records, systems, and data management software and equipment, to include classified 
or other sensitive data, as applicable, necessary to perform essential functions, and to 
reconstitute normal agency operations after the emergency. To the extent possible, 
agencies should pre-position and update on a regular basis duplicate records or back-
up electronic files.

See Annex G  Vital Records and Databases.

h.  HUMAN CAPITAL.  COOP human capital planning and preparedness encompasses 
the following areas:  

(1)	Agency planning and readiness;

(2)	Designation of emergency employees and other special categories of 
	employees;

(3)	Dismissal or closure procedures;

(4)	OPM and media announcements on government operating status;

(5)	Status of non-emergency employees and non-special categories of employees;

(6)	Sample agency guidelines for communicating to employees; 

(7)	Methods of employee communications,

(8)	Employee awareness of changes in building operations,

(9)	Pay flexibilities,

(10)  Staffing flexibilities,

(11)  Benefit issues,

(12)  Employee roles and responsibilities.

See Annex H  Human Capital. 

i.	TEST, TRAINING AND EXERCISES.  Testing, training, and exercising of COOP 
capabilities are essential to assessing, demonstrating and improving the ability of 
agencies to execute their COOP plans and programs. Tests and exercises serve to 
assess, validate, or identify for a subsequent corrective action program, specific 
aspects of COOP plans, policies, procedures, systems, and facilities used in response 
to an emergency situation.   Training familiarizes COOP personnel with the 
procedures and tasks they must perform in executing COOP plans.  All agencies must 
plan, conduct, and document periodic tests, training, and exercises to demonstrate the 
plan's viability and identify deficiencies.  Deficiencies and actions taken to correct 
them must be documented.  

Specific objectives of a COOP TT&E program are to:

(1)	Assess and validate COOP plans, policies, and procedures;

(2)	Ensure that agency personnel are familiar with alert, notification, and 
	deployment procedures;

(3)	Test alert, notification and deployment procedures and systems at least 
	annually; 
	
(4)	Ensure COOP personnel are sufficiently trained to carry out agency essential 
	functions in a COOP situation;

(5)	Conduct individual and team training of agency COOP personnel to ensure 
	currency of knowledge and integration of skills necessary to implement 
	COOP plans and carry out essential functions;

(6)	Exercise procedures by deploying designated personnel and equipment to the 
	alternate operating facilities to ensure an agency's ability to perform essential 
	functions and operations during a COOP situation;

(7)	Ensure that backup data and records required to support essential functions at 
	the alternate operating facilities are sufficient, complete, and current;

(8)	Test and validate equipment to ensure both internal and external 
	interoperability;

(9)	Ensure agency personnel understand the procedures to phase out COOP 
	operations and transition to normal activities (reconstitution) when 
	appropriate;

(10)  Conduct refresher orientation for COOP personnel;  

(11)  Document completed COOP training and identify training requirements; and

(12) Develop a Multi-Year Test, Training, and Exercise (TT&E) Plan that 
	addresses COOP TT&E requirements, resources to support these activities, 
	and a TT&E planning calendar.
	
See Annex I  Test, Training, and Exercises.

j.  DEVOLUTION OF CONTROL AND DIRECTION.  Devolution planning supports 
overall COOP planning and addresses the full spectrum of threats and all-hazards 
emergencies that may render an agency's leadership and staff unavailable to or 
incapable of supporting the execution of its essential functions from either its primary 
or alternate location(s).  The devolution option of COOP shall be developed to 
address how an agency will identify and conduct its essential functions during 
increased threat situations or in the aftermath of a catastrophic emergency. 

See Annex J  Devolution of Control and Direction.

k.  RECONSTITUTION.  Extensive coordination is necessary to procure a new operating 
site once an agency suffers a facility loss or in the event that collateral damage from a 
disaster renders the structure unsafe for reoccupation.  Reconstitution embodies the 
ability of an agency to recover from a catastrophic event and consolidate the 
necessary resources that allow it to return to a fully functional entity of the Federal 
Government. 

See Annex K  Reconstitution.

11.	COOP IMPLEMENTATION: A COOP plan involves the deliberate and pre-planned 
movement of selected key principals and supporting staff to an alternate operating facility.  
Relocation may be required to accommodate a variety of emergency scenarios. Examples 
include scenarios in which:

a.	An agency headquarters is unavailable and operations can shift to a regional or field 
	location;

b.	A single agency facility is temporarily unavailable and the agency can share one of its 
	own facilities or that of another agency; or

c.	Many, if not all, agencies must evacuate the immediate area.

While these scenarios involve the unavailability of a facility, the distinction must be made 
between a situation requiring evacuation only and one dictating the need to implement COOP 
plans.  As an example, a sudden emergency, such as a fire or hazardous materials incident, 
may require the evacuation of an agency building with little or no advance notice, but for 
only a short duration.  Alternatively, an emergency so severe that an agency facility is 
rendered unusable and likely will be for a period long enough to significantly impact normal 
operations, may require COOP plan implementation. 

Agencies should develop an executive decision process that allows for a review of the 
emergency and determination of the best course of action for response and recovery. This 
will preclude premature or inappropriate activation of an agency COOP plan.  The phasing 
for COOP activation and relocation, alternate operating facility operations, and reconstitution 
are as follows:

a.	ACTIVATION AND RELOCATION (0-12 HOURS)
Activate plans, procedures, and schedules to transfer essential functions, personnel, 
records, and equipment to alternate operating facilities.  Agency Headquarters POCs 
must notify the FEMA Operations Center (FOC), (540) 665-6100/1-800-634-7084, 
and other appropriate agencies of any COOP activation regardless of agency location 
and the time of execution or activation of call-down procedures. The FOC will relay 
notification information to the Homeland Security Operations Center (HSOC) and the 
Office of National Security Coordination (ONSC).

b.	ALTERNATE OPERATING FACILITY OPERATIONS  
Provide additional guidance to COOP personnel and all other employees.  Notify the 
FOC and all other appropriate agencies immediately of the agency's alternate 
location, operational and communications status, and the anticipated duration of 
relocation, if known.  Commence full execution of essential functions at the alternate 
operating facility(ies).  The FOC will relay this information to the HSOC and the 
ONSC.

c.	RECONSTITUTION (TERMINATION AND RETURN TO NORMAL 
OPERATIONS)
Inform all organizational personnel that the necessity to COOP no longer exists and 
provide instructions for resumption of normal operations.  Supervise an orderly return 
to the normal operating facility, or movement to other temporary or permanent 
facility(ies).  Report the status of relocation to the FOC and other agency points-of-
contact, as applicable. The FOC will relay this information to the HSOC and the 
ONSC.

12.	RESPONSIBILITIES:  The following responsibilities must be clearly outlined in agency 
	COOP plans and internal documents:

	a.	Each agency head is responsible for:

		(1)	Establishing an agency COOP program;

		(2)	Appointing a senior executive as the agency COOP program point-of-contact;

		(3)	Developing a COOP Multi-Year Strategy and Program Management Plan that 
			includes a program budget to support a viable COOP capability;

		(4)	Developing, approving, and maintaining agency COOP plans and procedures 
			for headquarters and all subordinate elements; 

		(5)	Conducting tests, training, and exercises of agency COOP plans at least 
			annually, to include COOP personnel, and essential systems and equipment, to 
			ensure timely and reliable implementation of COOP plans and procedures;

		(6)	Participating in interagency COOP exercises to ensure effective interagency 
			coordination and mutual support;

		(7)	Notifying the FOC and other appropriate agencies upon any implementation 
			of COOP plans; 

		(8)	Providing updates on COOP status to the FOC as designated or if the agency's 
			COOP status changes; and

		(9)	Coordinating intra-agency COOP efforts and initiatives with policies, plans, 
			and activities in accordance with directives related to terrorism, Critical 
			Infrastructure Protection, and all-hazards preparedness. Contingency planning 
			efforts such as Disaster Recovery Plans, Information Assurance, National 
			Response Plan, Business Continuity Plans etc., should be integrated into the 
			agency's COOP plan.  

	b.	FEMA is responsible for:

		(1)	Serving as the Department of Homeland Security's designated Lead Agent 
			for Federal Executive Branch COOP;

		(2)	Coordinating and monitoring COOP activities of Federal Executive Branch 
			agencies;

		(3)	Issuing COOP guidance, in cooperation with the General Services 
			Administration and the Office of Personnel Management, to promote 
			understanding of, and compliance with, the requirements and objectives of 
			governing directives;

		(4)	Chairing the COOP Working Group (CWG), which serves as the principal 
			interagency forum for discussion of COOP matters such as policy guidance, 
			plans, and procedures, and for dissemination of information to agencies for 
			developing and improving their individual COOP plans; 

		(5)	Conducting periodic assessments of Executive Branch COOP capabilities and 
			reporting the results to the National Security Council and the Homeland 
			Security Council. 

		(6)	Conducting a government-wide COOP exercise every other year as an 
			assessment and validation tool of Federal COOP readiness; 

		(7)	Assisting as required, the Federal legislative and judicial branches with 
			COOP planning and implementation; and

		(8)	Providing oversight for the development of COOP training courses that are 
			available to all agencies.

	c.  General Services Administration (GSA) is responsible for: 

		(1)	Developing and conducting a COOP training program available to all 
			agencies; and

		(2)	Maintaining a database of all alternate operating facilities.

	d.  Office of Personnel Management (OPM) is responsible for:

		(1)	Maintaining and revising Human Capital management guidance for 
			emergency situations.

		(2)	Assisting the heads of other departments and agencies with personnel 
			management and staffing during national security emergencies.

13.	POINT OF CONTACT:  Should you have any questions or need additional assistance with 
the information contained in this FPC, please contact the Director, Office of National 
Security Coordination, at 202.646.4145. 

14.	DISTRIBUTION:  This FPC is distributed to the heads of Federal departments and 
agencies, senior policy officials, emergency planners, and other interested parties. 

						_____________________________
						Michael D. Brown
Under Secretary
						Emergency Preparedness and Response 

ANNEX A  PLANS AND PROCEDURES
ANNEX B  ESSENTIAL FUNCTIONS
ANNEX C  DELEGATIONS OF AUTHORITY
ANNEX D  ORDERS OF SUCCESSION
ANNEX E  ALTERNATE FACILITIES
ANNEX F  INTEROPERABLE COMMUNICATIONS
ANNEX G  VITAL RECORDS AND DATABASES
ANNEX H  HUMAN CAPITAL
ANNEX I  TEST, TRAINING, AND EXERCISES
ANNEX J  DEVOLUTION OF CONTROL AND DIRECTION
ANNEX K  RECONSTITUTION 
ANNEX L  GLOSSARY 					

ANNEX A- PLANS AND PROCEDURES

A Continuity of Operations (COOP) plan shall be developed and documented by each 
Federal department and agency to minimize disruption of business operations and 
provide for continued performance of essential functions under all circumstances. 

Comprehensive COOP plans should include appropriate provisions and lists developed in 
advance of COOP activation to ensure a viable COOP capability.

As a minimum, agencies must incorporate lists for the following elements of their COOP 
plans: 

1.	Essential functions and other critical activities; 

2.	Identification and preparation of alternate operating facilities for continuity 
	operations;

3.	Vital records, databases and systems and where/how they are stored;

4.	Orders of succession for key organizational leadership positions;

5.	Delegation of authorities;

6.	Decision process for determining appropriate actions in implementing COOP 
	plans and procedures;

7.	Responsibilities of the individuals who have COOP roles (leadership, planners, 
	COOP personnel); 

8.	Recommended content and maintenance of drive-away kits;

9.	Interoperable communications systems and contact numbers; and 

10.	COOP personnel and other employee contact lists.

Additionally, agencies should develop action plans for each stage of COOP 
implementation.  The following are the types of actions agencies must, as a minimum 
plan for: 

1.	ACTIVATION AND RELOCATION 

a.	Decision matrix for COOP:
(1)	With warning.
(2)	Without warning during duty hours, and during non-duty hours.

b.	Notification of:
(1)	Alternate facilities.
(2)	Department and Agency (D/A) HQs are required to notify the 
FEMA Operations Center (FOC), (540) 665-6100/1-800-634-
7084) of COOP activation and relocation.  The FOC will relay this 
information to the Homeland Security Operations Center (HSOC) 
and the ONSC.  Subordinate D/A organizations will notify their 
respective D/A HQs of COOP activation and relocation, which, in 
turn, will notify the FOC.)
(3)	Other points of contact, as appropriate.
(4)	Employees (COOP essential personnel and non-deployed 
personnel).

c.  Movement to alternate operating facility(ies); directions and maps of routes 
from primary location to alternate operating facilities.

d.  Movement of records, not pre-positioned, from the primary to the alternate 
operating facility(ies).

e.  Ordering of necessary equipment/supplies not already in place.

2.	ALTERNATE OPERATING FACILITY OPERATIONS 

a.	Reception and in processing of COOP personnel.

b.	Transition of responsibilities to the deployed COOP personnel.

c.	Guidance for non-deployed personnel.

d.	Identification of replacement personnel and augmentees, as necessary.

e.	Execution of all essential functions at the alternate operating facility(ies).

f.	Notification of the FOC and all other appropriate points of contact of the 
agency's alternate location, operational and communications status, and 
anticipated duration of relocation, if known. The FOC will notify agencies 
of any additional COOP reporting requirements.

g.	Redeployment plans to phase down alternate facility operations and return 
operations, personnel, records, and equipment to the primary operating 
facility, when appropriate.

3.	RECONSTITUTION (TERMINATION AND RETURN TO NORMAL 
OPERATIONS)

a.	Informing all personnel, including non-deployed personnel, that the need 
to COOP no longer exists, and providing instructions for resumption of 
normal operations.
		
b.	An orderly return to the normal operating facility, or movement to other 
temporary or permanent facility(ies) using a phased approach if conditions 
necessitate; and the transition of responsibilities from deployed COOP 
personnel.

c.	Notification of the status of relocation to the FOC and other agency points 
of contact, as applicable.

d.	An after-action review of COOP operations and effectiveness of plans and 
procedures as soon as possible, identifying areas for correction, and 
developing a remedial action plan.

ANNEX B- ESSENTIAL FUNCTIONS

All agencies must identify and prioritize their essential functions as the basis for COOP 
planning.  Essential functions are those functions that enable an organization to provide vital 
services, exercise civil authority, maintain the safety of the general public, and sustain the 
industrial/economic base during an emergency.  The goal of this annex is to assist with the 
identification, prioritization, and resourcing of these essential functions.  During preparations 
for Y2K, the Office of Management and Budget (OMB) identified Federal programs having 
high impact on the public.  Lists of these programs are included as tables B-3 and B-4.  These 
tables are not all-inclusive and may provide examples of potential essential functions for 
consideration and planning purposes:  

In identifying essential functions, agencies must:

1.	Determine which functions must be continued under all circumstances.  When 
	identifying essential functions, agencies must consider those functions that must 
	continue with minimal disruption or cannot be interrupted for more than 12 hours, 
	without compromising the organization's ability to perform its mission.  Agencies 
	must be capable of sustaining these essential functions until normal business activities 
	can resume which may be up to 30 days.  Agencies must also consider the following 
	when identifying essential functions:  

	a.	The function can be documented as an essential mission or responsibility 
		explicitly assigned to the agency by law, or by order of the President.  Consult 
		Presidential Decision Directives, Executive Orders, Homeland Security and 
		National Security Presidential Directives, and other Federal Executive Branch 
		directives for the presence of compulsory essential functions.

	b.	The function has been determined by the agency head to be essential or is 
		implicit in complying with a federal law or order issued by the President.

	c.	The function provides vital support to an essential function performed by 
		another Federal Executive Branch department or agency.  Such functions 
		reflect interdependency between two or more agencies because they must act 
		in concert in order to perform the function successfully.  Many agency 
		functions rely on the availability of resources or functions controlled by 
		another organization, including other agencies, state and local governments, 
		and private entities.  (For example, the Department of the Treasury's Financial 
		Management Service receives and makes payments for most federal agencies.)  

2.	Prioritize these functions based on the criticality and time sensitivity of the function 
(see Table B-1).  To the extent possible, agencies should prioritize these functions 
against likely COOP triggers and scenarios. Note that the prioritization of essential 
functions might be situation dependent.   

3.	Establish staffing, resource requirements, and any other supporting activities needed to 
perform these functions within 12 hours, or less, of COOP activation and until normal 
business activities can resume which may be up to 30 days.

	a.	Establish a roster of personnel, hereinafter referred to as "COOP personnel" or 
		the "Emergency Relocation Group" (ERG), needed to perform these essential 
		functions.  COOP personnel must be fully equipped, properly trained, and 
		possess the authority to perform essential functions.

		(1)	Based on an agency's essential functions, determine the necessary 
			knowledge, skills, and abilities required for COOP personnel.

		(2)	Determine any security clearance requirements for COOP personnel.
	
		(3)	Determine, from among the qualified personnel, those who are able to 
			serve as COOP personnel.  In doing so, the agency should consider 
			extenuating circumstances such as medical conditions, family 
			responsibilities, and any other circumstances that may prevent an 
			individual from serving as COOP personnel.

		(4)	Select the appropriate mix of personnel to satisfy the knowledge, skills, 
			abilities, and security clearance requirements required to perform 
			essential functions.  The agency should attempt to minimize the number 
			of COOP personnel, but designation should ultimately be determined 
			by what is needed to support the organization's essential functions.

	b.	Identify equipment, including information technology and telecommunications 
		(ITT) hardware needed to perform essential functions.
	
4.	Identify mission critical data needed to perform essential functions.

5.	Identify consumable office supplies needed to perform essential functions.

6.	Include a statement that indicates all functions deemed not essential will be deferred. 

Lists of resources required to perform essential functions must be reviewed annually and 
updated as necessary.

The following table can assist agencies in identifying and documenting their essential 
functions and supporting information.

Table B-1: Essential functions and supporting information.

Priority
Essential Function
Number of 
Personnel
Equipment
and Systems
Vital Records 
and Databases

Supplies
1	
2	
3
4	

The following table can assist agencies in identifying COOP personnel and their contact 
information.

Table B-2: COOP Personnel information

Name
Title
Contact Information
     
     
Office Phone:	     
Home Phone:	     
Cell Phone:	     
Pager:		     
Email:		     
     
     
Office Phone:	     
Home Phone:	     
Cell Phone:	     
Pager:		     
Email:		     
     
     
Office Phone:	     
Home Phone:	     
Cell Phone:	     
Pager:		     
Email:		     

The following table prepared by the Office of Management and Budget (OMB), includes 
examples of functions that may assist in determining what is essential to an agency's overall 
mission and responsibilities. This listing is not all-inclusive. Each agency must review all of 
its functions to determine those functions that enable agencies to provide vital services, 
exercise civil authority, maintain the safety and well being of the general populace, and 
sustain the industrial/economic base in an emergency.  
Table B-3:  High Impact Programs and Responsible Agency
Agency
High-impact programs
Agriculture
Food safety inspection

Child nutrition programs

Food stamps

Special supplemental nutrition program for women, 
infants, and children
Commerce
Patent and trademark processing

Weather service
Education
Student aid
Energy
Federal electric power generation and delivery
Federal Emergency Management Agency
Disaster relief
Health and Human Services
Disease monitoring and warnings

Indian health services

Medicaid

Medicare

Organ transplants

Child care

Child support enforcement

Child welfare

Low income home energy assistance

Temporary assistance for needy families
Housing and Urban Development
Community development block grants

Housing loans

Mortgage insurance

Section 8 rental assistance

Public housing
Interior
Bureau of Indian Affairs programs
Justice
Federal prisons

Immigration*
Labor
Unemployment insurance
Office of Personnel Management
Federal employee health benefits

Federal employee life insurance

Federal employee retirement benefits
Social Security Administration
Social security benefits
State
Passport applications and processing
Transportation
Air traffic control system

Maritime search and rescue*
Treasury
Cross-border inspection services*
Veterans Affairs
Veterans' benefits

Veterans' health care
Source: Office of Management & Budget (OMB) Y2K Guidance
* Organizations responsible for these functions are now part of the U.S. Department of Homeland Security.

The following table prepared by OMB, provides examples that can further assist agencies to 
identify COOP essential functions. This listing is not all-inclusive.  Component agencies and 
others must further review their missions and responsibilities to develop a broader listing of 
essential functions.

Table B-4: Component Agencies with High-Impact Program Responsibilities
Department
Component
High-impact programs
Department of Commerce
National Oceanic and 
Atmospheric Administration
Weather service

Patent and Trademark Office
Patent and trademark processing
Department of Health and 
Human Services
Centers for Disease Control and 
Prevention
Disease monitoring and warning

Center for Medicare and 
Medicaid Services
Medicare and Medicaid

Food and Drug Administration
Organ transplants

Indian Health Service
Indian health services
Department of Housing and 
Urban Development
Government National Mortgage 
Association
Housing loans

Office of Community Planning 
and Development
Community development block 
grants

Office of Housing
Section 8 rental assistance and 
mortgage insurance

Office of Public and Indian 
Housing
Public housing
Department of Interior
Bureau of Indian Affairs
Indian affairs programs
Department of Transportation
Federal Aviation Administration
Air traffic control system

U.S. Coast Guard*
Maritime search and rescue
Department of the Treasury
U.S. Customs Service*
Cross-border inspection services
Department of Veterans Affairs
Veterans Benefits 
Administration
Veterans' benefits
Source: Office of Management & Budget (OMB) Y2K Guidance
* Organizations responsible for these functions are now part of the U.S. Department of Homeland Security.

ANNEX C- DELEGATION OF AUTHORITY

To ensure rapid response to any emergency situation and minimize disruptions requiring 
COOP implementation, agencies should pre-delegate authorities for making policy 
determinations and decisions at headquarters, regional, field, satellite, and other agency 
locations, as appropriate.  Delegations of authority specify who is authorized to act on 
behalf of the agency head or other officials for specified purposes.  To the extent 
possible, individuals should be identified by title or position, not by name.  Generally, 
pre-determined delegations of authority will take effect when normal channels of 
direction are disrupted and terminate when these channels have been reestablished.  To 
ensure legal sufficiency and clarity, these delegations of authority must:

1.	Document the legal authority for officials, including those below agency head, to 
make key policy decisions during a COOP situation.

2.	Identify the programs and administrative authorities needed for effective 
operations at all agency levels having essential functions.

3.	Document the necessary authorities where essential functions may be required to 
include:

a.	Delineating the limits of authority and accountability;

b.	A statement that explicitly outlines the authority of an official to whom 
authority has been delegated to exercise agency direction, including any 
exceptions, and their authority to re-delegate functions and activities, as 
appropriate; and

c.	The circumstances under which delegated authorities would be exercised 
and when they would terminate.

4.	Ensure that officials who might be expected to assume authorities in a COOP 
situation are trained to carry out their emergency duties.  Training of these 
officials should be conducted at least annually.

ANNEX D  ORDERS OF SUCCESSION

Agencies are responsible for establishing, promulgating, and maintaining orders of 
succession to key positions.  Succession to office is critical in the event agency leadership 
is debilitated or incapable of performing their legal authorized duties, roles, and 
responsibilities.  Orders of succession allow for an orderly, and pre-defined, transition of 
leadership within the organization.  Orders of succession are an essential part of an 
agency's COOP plan and should be of sufficient depth to ensure the agency is able to 
perform its essential functions while remaining a viable part of the Federal government 
through any emergency.    

As a minimum, orders of succession must:

1.	Establish an order of succession to the position of agency head.  A designated 
official serves as acting head of the agency until appointed by the President or 
otherwise relieved.

a.	Geographical dispersion, including regional, field, or satellite 
leadership in the standard agency line of succession is encouraged and 
ensures roles and responsibilities can transfer in all contingencies.

b.	Where a suitable field structure exists, appropriate personnel located 
outside the subject region should be considered in the order of 
succession.

2.	Establish orders of succession to other key agency leadership positions. 

a.	Establish an order of succession to the position of Regional Director or 
equivalent. 

b.	Establish an order of succession to the position of Field Office 
Director or equivalent.

c.	Establish an order of succession to the position of Satellite Office 
Director or equivalent, etc. 

d.	Establish orders of succession to other agency leadership as necessary.

3.	To the extent possible, describe orders of succession by positions or titles, 
rather than names of individuals.  Consider coordinating Orders of Succession 
with General Counsel for legal sufficiency.

4.	Establish the rules and procedures designated officials must follow when 
facing the issue of succession to office.

5.	Include in succession procedures the conditions under which succession will 
take place; method of notification; and, any temporal, geographical, or 
organizational limitations of authorities.

6.	Include orders of succession in the vital records of the agency and ensure they 
are available at the alternate facility in the event of COOP activation.

7.	Revise orders of succession as necessary, and distribute revised versions 
promptly as changes occur.  Designate responsibility for updating and 
promulgating orders of succession.

8.	Provide briefings to designated successors to the position of agency head, 
when named, on their responsibilities as successors and on any provisions for 
their relocation.  Designated successors must be provided annual refresher 
briefings.

The following table can assist agencies in developing their organizational succession 
plan.

Table D-1: Succession Plan

Official  (Title)
Designated Successors 
(Title)
Conditions
Program
Responsibility
     
1.       
2.       
3.       

     
1.       
2.       
3.       

     
1.       
2.       
3.       

     
1.       
2.       
3.       

     
1.       
2.       
3.       

ANNEX E- ALTERNATE OPERATING FACILITIES
All agencies shall designate alternate operating facilities as part of their COOP plans, and 
prepare their personnel for the possibility of an unannounced relocation to these facilities.  
Identifying and acquiring alternate operating facilities should, at a minimum, include 
consideration of the following:
1.	Geographical location of the facility.
2.	Power, telecommunications and internet grids serving the facility.
3.	Performing a risk assessment.
4.	Ensuring the availability of necessary logistics and infrastructure so that the organization 
can continue to perform their essential functions during an emergency from an alternate 
location.
5.	Reducing or mitigating disruptions to relocated or transferred operations.
6.	Safety and security of relocated personnel.
7.	Achieving a timely and orderly recovery from an emergency and resuming full and 
normal operations.

PLANNING CONSIDERATIONS:  
The following is provided for the identification and preparation of alternate operating facilities 
for continuity operations:
1.	Location of Facilities.  Agencies should perform an all-hazard risk assessment for all 
facility(ies) being considered for COOP use.  This all hazards analysis should include 
identification of all natural hazards that may affect the facility; the potential for the 
facility to be impacted by technological accidents such as fixed-facility and in-transit 
releases of hazardous materials; the ability to secure the facility against crime, sabotage, 
and terrorist attacks; and the capabilities of on-site and/or local first responders.  
Alternate operating facilities must be located in an area where disruption to the agency's 
ability to initiate, maintain, and terminate operations is minimized.  Maximum use should 
be made of existing agency local or field infrastructures, and consideration should also be 
given to other options such as telecommuting locations, work-at-home agreements, 
virtual offices, and joint or shared facilities.  Additionally, decisions concerning alternate 
operating facility locations should take into consideration the following:
a.	The ability to be operational as soon as possible with minimal disruption of 
operations, but in all cases within 12 hours after COOP activation and to sustain 
operations until normal business operations can resume, which may be up to 30 
days.
b.	The distance from the threat area to any other vulnerable facilities/locations (e.g. 
hazardous materials/nuclear power plants, or areas subject to natural disaster).
c.	Access to essential resources such as food, water, fuel, medical facilities, and 
municipal services (e.g. fire, police).
d.	The accessibility of transportation for associates or a defined transportation plan 
that describes procedures for a warning/no warning event.
2.	Construction.  Since alternate operating facilities will be located at a sufficient distance 
from the affected facility and in a relatively low-risk environment, no specific 
construction requirements are identified.  However, an agency's entire alternate facility 
space should have the ability to run emergency power to allow essential functions and 
operations to continue in any environment. At a minimum, facilities should be 
constructed such that they are not uniquely susceptible to natural disaster risk factors 
(e.g., earthquakes, tornadoes, hurricanes, floods, etc.). 
3.	Memorandum of Agreement (MOA)/Memorandum of Understanding (MOU).  If the 
facility is not owned or leased by the agency, a signed MOA/MOU must be prepared with 
the owner or occupant of the facility.  This MOA/MOU must be reviewed annually.  Pre-
coordination with the General Services Administration (GSA) to provide assistance in 
sourcing potential relocation sites is recommended.  MOA/MOUs should include the 
following:
a.	Time period from notification of requirement to availability of facility for 
occupancy.
b.	Space and services to be provided.
c.	Sole use of allocated space during the period of occupancy.
4.	Space.  Agency alternate facility space requirements should be sized according to the 
scope of their staffing plan for Personnel within the COOP. Contiguous space is 
desirable; however, non-contiguous space may be acceptable if adequate communications 
are in place to ensure effective operations of the relocated agency.
5.	Billeting.  If the alternate facility is located at a distance from the primary site, plans 
should be developed to address housing for COOP personnel (e.g. billeting within 
facility, local motels).
6.	Site Transportation.  Transportation resource requirements, if any, should be met at the 
relocation sites (e.g. buses, automobiles).
7.	Communications.  Communications at the alternate facility is required to be consistent 
with your agency COOP staffing plan during any event. Communications should be 
provided in sufficient quantity and mode/media to effectively interface with other agency 
elements (e.g. regional offices), other agencies, and other government and private sector 
organizations (including key operations centers) critical to the performance of agency 
essential functions.  Secure/non-secure communications requirements should be 
incorporated.
8.	Security.  Alternate facilities must provide physical security that meets all requirements 
established by annual threat assessments and physical security surveys conducted by the 
agency's security office, the Federal Protective Service, or a qualified contractor.  
Required physical security capabilities must be tested/exercised annually and be in place 
within 12 hours of COOP plan activation.  Sufficient personnel should be designated to 
provide perimeter, access, and internal security functions as required by agency policy.  
Technologies for access, surveillance, and early warning of intrusion should also be 
considered as part of an alternate facility physical security program.
9.	Life Support.  Most life support items should be available from external sources (e.g. 
food, water, medical services, sanitation, power); however, if not, they must be accessible 
to the facility in sufficient quantities to sustain 30 days of operations.  In addition, unique 
items such as medical supplies, medical records, or housekeeping supplies should be 
brought to the facility with the relocated personnel or maintained within the facility.
10.	Preparation.  After selecting appropriate sites for COOP, pre-positioning of critical 
resources, coordination with the site facility managers, and agreements between the 
agency and property owners are necessary to ensure the continued availability of facility 
space and services.  Agencies must have pre-positioned or have detailed site preparation 
and activation plans in order to achieve full operational capability within 12 hours of 
notification.  
11.	Maintenance.  Agencies should develop facility maintenance and inspection procedures 
to ensure that their alternate operating facilities are able to support COOP essential 
functions and personnel as soon as possible with minimal disruption of operations, but in 
all cases within 12 hours of COOP activation and for up to 30 days.
THE ACQUISITION PROCESS:  
The alternate facility acquisition process consists of, at a minimum, three steps:  alternate 
operating facility requirements identification; candidate alternate operating facilities selection 
and acquisition; and alternate operating facility reevaluation.  All three steps should be taken in 
consultation with GSA as necessary.
Candidate Alternate Operating Facilities Selection and Acquisition.  In this step, an agency 
should consider any and all possibilities for identifying and obtaining alternate operating 
facilities.  Some of these options are as follows:
1.	Existing agency space.
a.	Remote/offsite training facilities  Facilities may include an agency training 
facility that is located nearby their normal operating facility, but far enough away 
to provide for geographical dispersion.
b.	Regional or Field Offices  Some agencies have a Regional Office or Field Office 
that could operate as an alternate operating facility.
c.	Remote headquarters operations  Some agency headquarters are of such size that 
their operations and facilities extend beyond the limits of their host city.  One of 
these locations could act as an alternate operating facility.
2.	Virtual offices.
a.	Work at Home  Many agencies have programs to allow employees to work from 
home.  This arrangement could be utilized for some COOP personnel to fulfill 
their essential functions.
b.	Telecommuting facilities  Several areas of the country have federally funded 
telecommuting facilities.  These facilities may accommodate some COOP 
personnel on a prearranged basis so that they can fulfill their essential functions.
c.	Mobile office concept  This concept envisions using such assets as a specially 
equipped vehicle that can serve as an office and laptop computers that 
communicate via wireless technology.
3.	MOA/MOU for co-location with another agency.  One agency may relocate to another 
agency's facilities.  The relocating agency could occupy available space in the other 
agency's headquarters, training facility, field office, or other available agency space.
4.	Acquisition of an agency specific alternate operating facility.
a.	Agency procured and maintained space  For this option, an agency with the 
authority to procure their own space may do so to meet their alternate operating 
facilities requirements.
b.	GSA procured and maintained space  An agency may request GSA to assign 
federally owned or leased space to accommodate their alternate operating 
facilities needs.
5.	Another agency procured and maintained space.  Some agencies (other than GSA) offer 
space procurement services that could be used by agencies to fulfill their alternate 
operating facilities needs.
6.	Participation in a joint-use alternate operating facility.  
a.	Single-use total space, multi-use limited space  Several agencies may pool their 
resources to acquire space for an alternate operating facility.  If a COOP incident 
occurred, the affected agency would relocate to the facility.  However, if the 
incident affected several or all of the agencies, sufficient space may not be 
available.
b.	Multiple agencies, individual spaces  An agency may decide to collocate with 
another agency, but each would have individually designated space to meet their 
alternate operating facilities needs.
c.	Multiple uses (COOP/telecommute/training)  An agency may acquire an 
alternate operating facility, but ordinarily use it for purposes other than COOP.  
For instance, an agency may use the facility as a remote telecommuting facility or 
as a remote training facility.
Care must be taken to ensure that shared facilities are not over-committed during a COOP 
situation.
7.	Alternate operating facility reevaluation.  Identified alternate operating facilities must be 
periodically reevaluated for suitability and functionality.  This is recommended at least 
annually and whenever the agency's COOP is reviewed and updated to ensure that 
alternate operating facilities continue to meet agency needs. 

THE REPORTING PROCESS:
As directed by Presidential Decision Directive (PDD) 67, a central database of all alternate operating 
facilities will be created and maintained by GSA.  All agencies are required to identify alternate 
operating facilities and provide the necessary data concerning the facilities to GSA.  To facilitate the 
reporting process, GSA has developed a form, SF 336: GSA Alternate Facility Reporting Form.  
Agencies should complete this form and return it to GSA's Emergency Management Office or your 
regional GSA office, as appropriate.  

ANNEX F  INTEROPERABLE COMMUNICATIONS

When identifying communications requirements, agencies should take maximum 
advantage of the entire spectrum of communications media likely to be available and 
needed in any emergency situation.  These services may include, but are not limited to: 
secure and non-secure voice, video, fax, and data connectivity; Internet access; and e-
mail.  Elements of a viable interoperable communications program include:

1.	Capability commensurate with an agency's essential functions, including quantity 
as per the staffing plan within an agency COOP.

2.	Ability to communicate with COOP personnel, other agency employees, 
leadership, and other agency elements, to include bureaus, regions, and field 
offices.

3.	Ability to communicate with the FEMA Operations Center and the Homeland 
Security Operations Center, other Federal agencies and their COOP sites, and 
critical customers.

4.	Access to data, systems, and services necessary to conduct essential functions and 
support activities. Agencies are required to review redundant IT equipment 
countermeasures that provide access to data systems and services to conduct 
essential functions and support activities.

5.	Redundant communications systems for use in COOP implementation. 

6.	Redundant communications systems available to support COOP operational 
requirements within 12-hours of COOP activation and sustained for up to 30-
days. 

7.	Interoperability with existing field infrastructures.

To identify required interoperable communications systems, agencies must:

1.	Based on their essential functions, determine the communications system      
requirements necessary to support essential functions.

2.	Evaluate potential communications systems that satisfy these requirements.  
Consider the full spectrum of communications media that may be available during 
an emergency. 

3.	If the agency is listed in the COOP Communications Plan, test on a quarterly 
basis, the agency's COOP communications systems, including the ability to 
communicate with the FOC, the HSOC, other Federal agencies, and their COOP 
sites.  All other organizations should also validate their internal and external 
communications capabilities at their alternate operating facilities quarterly or 
more frequently as directed.

ANNEX G  VITAL FILES, RECORDS AND DATABASES

The identification, protection, and ready availability of vital records, databases, and 
hardcopy documents needed to support essential functions under the full spectrum of 
emergencies are critical elements of a successful COOP plan.  

An effective viable vital records program must account for:

1.	The official establishment of a vital records program and assignment of program 
responsibility within the organization that:

a.	Specifies the purpose and scope of the program;

b.	Assigns roles and responsibilities;

c.	Provides for staff training; and

d.	Requires periodic review and testing of the program.

2.	Appropriate medium for accessing vital records. As soon as possible after COOP 
activation, but in all cases within 12 hours of COOP plan activation, COOP 
personnel at the alternate operating facility must have access to:

a.	A local area network (LAN);

b.	Vital electronic records;

c.	Critical information systems and data;

d.	Internal and external email and archives; and

e.	Vital hard copy records.

In most cases, agencies choose to maintain these records electronically because of 
the ease of updating the records and copying them at an offsite location.  
Agencies should strongly consider multiple redundant media for storage of vital 
records.

3.	Maintenance of a complete inventory of records identified under Emergency 
Operating Records and Legal and Financial Records, along with location and 
access information.  This inventory should be maintained at a number of different 
sites.

4.	Performance of a risk assessment to:

a.	Identify the risks involved if vital records are retained in their current 
locations and medium, and the difficulty of reconstituting them if they are 
destroyed.

b.	Determine if off site storage is necessary.

c.	Determine if alternative storage media is advisable.

d.	Determine if it is necessary to duplicate records to provide a vital records 
copy.

5.	Selection of appropriate protection methods for vital records.  This may include 
dispersal to other agency locations or off-site storage.  When determining 
protection methods, it is important to take into account special media needs. 
Microforms, paper photographs, and computer disks, tapes and drives all have 
different protection requirements.  Some require equipment to facilitate access.

6.	Procedures for routinely updating vital records to ensure that they always contain 
the most current information.

7.	Identification of records recovery experts and vendors to assist with recovery in 
the event of records damage.

8.	Development and maintenance of a vital records plan packet that includes:

a.	A hard copy or electronic list of key agency personnel and disaster staff 
with up-to-date telephone numbers.

b.	A vital records inventory with precise locations of vital records.

c.	Necessary keys or access codes.

d.	Alternate operating facility locations.

e.	Access requirements and lists of sources of equipment necessary to access 
the records (i.e. this may include hardware and software and microfilm 
readers, Internet access, and/or dedicated telephone lines).

f.	Lists of records recovery experts and vendors.

g.	A copy of the agency's disaster recovery plan (e.g. COOP or Vital 
Records Recovery Plan).

This packet should be periodically reviewed to ensure that the information is 
current.  A copy should be securely maintained at the agency's alternate operating 
facilities and other locations where it can be easily accessible to appropriate 
personnel when needed.

9.	Development of a training program for all staff involved in the vital records 
program.  This should include periodic briefings to managers about the vital 
records program and its relationship to their records and business needs.  Staff 
training should focus on the identification, inventorying, protection, storage, 
access to, and updating of the vital records.

10.	Periodic review of the vital records program to address any new security issues, 
identify problem areas, update information, and identify additional vital records 
that may result from new agency programs or functions from organizational 
changes.  The review will provide an opportunity to familiarize staff with all 
aspects of the vital records program.  It would be appropriate to conduct a review 
of the vital records program in conjunction with COOP exercises.

11.	Capabilities for protecting classified and unclassified vital records and databases 
and providing access to them from the alternate operating facility must be tested 
semi-annually.

The following table may be useful in identifying and managing vital files, records, and 
databases.

Table G-1:  Vital files, records, databases

Vital File, Record, 
or Database
Form of Record 
(e.g., hardcopy, 
electronic)
Pre-Positioned 
at Alternate 
Facility
Hand Carried 
to Alternate 
Facility
Storage
Location(s)
Maintenance 
Frequency
     
     
0
0
     
     
     
     
0
0
     
     
     
     
0
0
     
     
     
     
0
0
     
     

ANNEX H  HUMAN CAPTIAL 

Agency Planning and Readiness

Each agency is responsible to design, update, and carry out comprehensive plans to take 
into account and respond to the threats that its employees are most likely to face.  These 
plans interact with and impact on human capital management.  Agency managers should 
be familiar with the many human capital resources and flexibilities that exist to assist 
managers and employees in an emergency.

Certain Government wide or agency-specific events, such as:

1.	COOP (contingency plans for continuity of operations);

2.	OEP (Occupant Emergency Plan); and

3.	Dismissals or closures used in emergency situations that prevent most employees 
from reporting for work may require:

a.	Designation of emergency employees or special categories of employees 
(e.g., COOP, emergency, mission-critical, etc., as appropriate);

b.	Adjustments in work schedules;

c.	Use of special compensation (pay and leave) tools and flexibilities;

d.	Temporary staffing arrangements, etc.

Agency managers should:

1.	Be fully informed and understand human capital tools, flexibilities, and 
strategies;

2.	Review regularly and update human capital information and resources to assure 
that the agency's policies remain current and relevant to changing environments 
or evolving threats; 

3.	Conduct regular exercises and simulations;

4.	Ensure employees have a clear understanding of what they are to do in an 
emergency;

5.	Maintain specific protocols for designating and activating special needs 
employees; and

6.	Develop, review, and update emergency guides as needed.

Please see "Federal Manager's/Decision Maker's Emergency Guide," which is posted on 
the Office of Personnel Management's (OPM's) Web site (www.opm.gov).

Also, title 5, United States Code, provides for the general authorities to govern an agency, 
delegate authorities, and review agency operations:

AGENCY AUTHORITIES, TITLE 5, UNITED STATES CODE
5 U.S.C. 301.  Departmental Regulations.
"The head of an Executive department or military department may prescribe regulations 
for the government of his department, the conduct of its employees"
5 U.S.C. 302.  Delegation of Authority.
"(b) In addition to the authority to delegate conferred by other law, the head of an agency 
may delegate to subordinate officials the authority vested in him--
(1) By law to take final action on matters pertaining to the employment, direction, 
and general administration of personnel under his agency; and"
5 U.S.C. 305.  Systematic agency review of operations
"(b) Under regulations prescribed and administered by the President, each agency shall 
review systematically the operations of each of its activities, functions, or organization 
units, on a continuing basis.
(c) The purpose of the reviews includes--
(1) Determining the degree of efficiency and economy in the operation of the 
agency's activities, functions, or organization units"
  

Designation of Emergency Employees and other Special Categories of Employees

Each agency head has the authority and responsibility to identify and designate those 
personnel that he or she judges to be critical to agency operations in any given emergency 
situation such as COOP, OEP, dismissal or closure procedures used in emergency 
situations that prevent employees from reporting for work.

There are no standard definitions or categories in this regard, and agency heads (or 
their designees, as applicable) are free to make such determinations based on the agency's 
unique mission requirements and/or circumstances; such designations may even vary 
according to the particular nature of an exigency.  Such designations should be part of an 
agency's emergency response/continuity of operations plans and should be 
communicated in advance to those so designated, so that they can be prepared to support 
and sustain agency operations in an emergency.

Dismissal or Closure Procedures

Agencies in the Washington, DC, area should follow the "Washington, DC, Area 
Dismissal or Closure Procedures" in emergency situations that prevent significant 
numbers of employees from reporting for work on time or which require agencies to 
close all or part of their activities.  (These procedures are available on OPM's Web site 
(www.opm.gov) and are updated annually.)

Federal Executive Boards and Federal Executive Associations coordinate similar 
dismissal or closure procedures in other major metropolitan areas.     

OPM and Media Announcements on Government Operating Status

Agency managers and employees should be thoroughly familiar with the current meaning 
of terms used by OPM and the media to announce the operating status of the 
Government.  The current terms are defined in the "Washington, DC, Area Dismissal or 
Closure Procedures" which is available on OPM's Web site.  Current (2004) terms 
include:

1.	OPEN
2.	OPEN under an UNSCHEDULED LEAVE policy
3.	OPEN under a DELAYED ARRIVAL policy
4.	OPEN under a DELAYED ARRIVAL/UNSCHEDULED LEAVE policy
5.	EARLY DISMISSAL
6.	CLOSED

Status of Non-Emergency Employees and Non-Special Categories of Employees

In the event of severe hazardous conditions, disruption of public services, or other 
emergency situations of short duration, employees may be instructed not to report for 
work.

If an employee is prevented from working because he or she has been instructed by the 
head of his or her agency or other authorized official not to report for work, the employee 
normally will be excused from work without loss of pay or charge to leave.  Agency 
management also may wish to consider use of alternative worksites, where appropriate 
and feasible.  

In emergencies, emergency employees and special categories of employees will be 
activated by the agency to perform assigned duties.  Only designated employees 
participate in training and practice exercises.  In both instances, agencies are responsible 
for managing their other human capital resources, i.e., the employees who are not 
activated.

1.	Agencies must determine if and when it will be appropriate to recall additional 
employees to work at their normal worksite or at alternative worksites as the 
emergency continues.  Further, the agency must communicate how, and the 
extent to which, employees are expected to remain in contact with their agencies 
during any closure situation.  Agencies may wish to issue communications and 
other equipment to certain categories of employees to facilitate contact in these 
situations.

2.	In the event of a prolonged shutdown due to severe or hazardous conditions, 
disruption of public services, or other emergency situations, an agency may find 
it necessary to furlough non-emergency employees.  Such an action places an 
employee in a non-duty, non-pay status for the duration of the furlough.  If the 
agency finds that the shutdown may last longer than 1 year or is permanent, the 
agency would use reduction in force procedures to separate or demote an 
employee from an excess position.
 
3.	There are no fixed solutions that will automatically apply to all agencies in every 
emergency.  Agency managers should work closely with their Chief Human 
Capital Officer or Director of Human Resources, as applicable.  For Government 
wide and many other types of emergencies, OPM will likely provide guidance on 
its Web site (or other means) to agency Chief Human Capital Officers.     

Sample Agency Guidelines for Communicating to Employees

1.	Establish and disseminate written procedures for dismissal or closure to 
employees at least annually;

2.	Identify employees who must report for work under various emergency 
situations and projected scenarios to continue Government operations and notify 
these employees in writing that they are so designated;

3.	Identify when work may or must be performed at the regular worksite or 
alternative worksite(s);

4.	Establish a procedure for notifying "non-emergency employees" or "non-
special categories of employees" to report for or remain at work when 
Government operations are disrupted;

5.	Determine when an employee's formal or informal telework agreement may need 
to be amended when telework employees may be required to continue to work at 
their alternative worksites on their teleworkday when the agency is closed.  At 
least annually, agencies should remind all teleworkers of this requirement;

6.	Notify employees that if they are required to report for work and are not 
otherwise granted excused absence, they will be charged absence without leave 
(AWOL) for the period not worked and may potentially be disciplined for the 
AWOL at the agency's discretion; and

7.	Require managers to be responsible for determining closure, dismissal, and leave 
policies for employees on shift work and for informing employees of these 
policies.

Methods of Employee Communications

Employees should be encouraged to familiarize themselves with the procedures that have 
been put into place at their agency, as well as the means of notification that an agency 
will use to inform and instruct employees.  Activities to support communications with 
employees include:

1.	Convening town hall meetings;

2.	Soliciting employee comments and suggestions;

3.	Communicating plans and changes, including recurring distribution of emergency 
guides;

4.	Maintaining current contact information on senior executives;

5.	Working with unions to support and strengthen communication activities; and

6.	Advising employees of support services available through agency Employee 
Assistance Programs (EAPs).

Employee Awareness of Changes in Building Operations

Management responsibilities with regard to facility operations include:

1.	Remaining aware, and encouraging employees to be attentive to suspicious 
activities;
2.	Regular testing of fire and safety public address systems;

3.	Assuring availability of supplies in the case of shelter-in-place response to an 
emergency;

4.	Posting clear signage for evacuation routes; and

5.	Developing a protocol for safety and security personnel to maintain 
communications in an emergency.

Pay Flexibilities

Each Federal agency has the authority and responsibility to establish work schedules for 
its employees within general legal and regulatory guidelines.  Most agencies are required 
to comply with title 5, United States Code, and OPM's regulations when establishing 
regularly scheduled administrative workweeks for their employees.

The work schedule for most employees is determined in advance, and temporary periods 
of extended work hours in emergency situations are usually quite different than the 
employees' regularly scheduled administrative workweek.  Agencies must schedule or 
reschedule an employee's regularly scheduled administrative workweek so that it 
corresponds with the employee's actual work requirements for specific days and hours.

1.	Standby Duty.  When employees are required to remain in a state of readiness 
to perform work during an emergency, they may be entitled to overtime pay for 
standby duty.  Usually, an employee is in a standby duty status if, for work-
related reasons, the employee is restricted to an agency's work premises (or so 
close thereto that the employee's time may not be used effectively for his or her 
own purposes) and is required to remain in a state of readiness to perform work.  

2.	Compressed Work Schedules.  Agencies may implement a compressed work 
schedule (CWS) instead of a traditional fixed work schedule (e.g., 8 hours per 
day, 40 hours per week).  For example, if an employee is required to work more 
than 8 hours a day, an agency may implement a fixed schedule that is 
compressed, enabling employees to complete the basic 80-hour biweekly work 
requirement in fewer than 10 workdays.  OPM guidance permits an agency to 
establish a CWS when necessary for certain periods or seasons of the year.  
Therefore, an agency could establish a CWS to be used by employees only during 
an extended emergency.  The CWS is established and fixed solely by the agency, 
and the employee has no flexibility in establishing his or her hours.  If an 
employee is in a bargaining unit, the agency must successfully negotiate a CWS 
program with the union prior to implementation.

3.	Biweekly Premium Pay Limitation.  A biweekly limitation provides that 
premium pay cannot be paid which causes the total of basic pay, overtime pay, 
the dollar value of compensatory time off, night pay, annual premium pay, 
Sunday premium pay, and holiday premium pay to exceed the greater of the 
biweekly rate for (1) GS-15, step 10 (including any applicable special salary rate 
or locality rate of pay), or (2) the rate for level V of the Executive Schedule.  The 
biweekly premium pay limitation does not apply to wage employees or to Fair 
Labor Standards Act overtime pay.

4.	Annual Premium Pay Limitation.  In certain emergency or mission critical 
situations, an agency has the authority, without OPM approval, to apply an 
annual premium pay cap instead of a biweekly premium pay cap.  In this regard, 
the agency head, or his or her designee, or OPM may determine that an 
emergency exists.

a.	For any pay period in which the head of an agency/designee or OPM 
determines that an emergency exists, the agency must apply an annual cap 
to certain types of premium pay for employees performing work in 
connection with an emergency, including work performed in the 
aftermath of such an emergency.

b.	An "emergency" is defined in 5 CFR 550.103, as a temporary condition 
posing a direct threat to human life or property, including a forest 
wildfire.

c.	In addition, agencies may approve the use of an annual cap instead of a 
biweekly cap whenever the agency determines that employees are 
performing work critical to the mission of the agency as provided in 5 
CFR 550.106(b).  (When an annual cap is applied, employees may receive 
premium pay only to the extent that the aggregate of basic pay and 
premium pay for the calendar year does not exceed the greater of the 
annual rate for (1) GS-15, step 10 (including any applicable special 
salary rate or locality rate of pay), or (2) level V of the Executive 
Schedule.)  

For further information concerning your agency, consult with your agency's Chief 
Human Capital Officer, Technical Advisor to the Chief Human Capital Officer, or 
Director of Human Resources, as applicable.

Also see OPM's Web site (www.opm.gov) for fact sheets, regulations, and additional 
information.

Staffing Flexibilities
Agencies may fill emergency or special staffing needs by considering one or more of the 
following staffing flexibilities:
1.	Excepted Appointments (Temporary Emergency Need (Up To 1 Year) and 30-
Day Critical Need);

2.	Reemploying Annuitants;

3.	Reemploying Buyout Recipients;

4.	Direct-Hire Authority;

5.	Contract with private sector temporary firms for services to meet its emergency 
needs;

6.	Competitive service appointments of 120 days or less without clearing its Career 
Transition Assistance Plan (CTAP) or the Interagency Career Transition 
Assistance Plan (ICTAP); and

7.	Reemployment Priority List (RPL)

For further information concerning your agency, consult with your agency's Chief 
Human Capital Officer, Technical Advisor to the Chief Human Capital Officer, or 
Director of Human Resources, as applicable.

Also see OPM's Web site (www.opm.gov) for fact sheets, regulations, and additional 
information.

Benefits Issues

Neither details nor extended assignments to an alternate worksite have an impact on an 
employee's retirement, health insurance, or life insurance benefits.  Employees covered 
under special group provisions of the Civil Service Retirement System or the Federal 
Employees' Retirement System, such as law enforcement officers or firefighters; continue 
under the special group provisions while on detail.

 Employee Roles and Responsibilities

While agency management is responsible for designing employee status, employees also 
have an important role in assuring the safety of themselves and teammates in the 
workplace.  Employees should:

1.	Become Familiar with agency procedures and the means of notification that an 
agency will use to inform and instruct employees; 

2.	Ask questions about the agency procedures and talk to managers about any 
suggestions which could improve safety;

3.	Volunteer to assist in evacuation procedures and other duties during an 
emergency;

4.	Become familiar with agency protocol, including knowledge of garments (arm 
bands, caps, etc.) worn by floor team leaders, monitors and other volunteers; 

5.	Create a personal safety kit for emergencies and store it at the workspace. 
Appropriate items might includerequired medication, bottled water, long-
sleeved shirt or jacket, and emergency contact numbers;

6.	Follow the instructions of designated emergency personnel; and

7.	Remain vigilant, and report any suspicious circumstances.

Additional information for employees is available in "A Federal Employee's Emergency 
Guide," which is posted on the Office of Personnel Management's (OPM's) Web site 
(www.opm.gov).

ANNEX I  TEST, TRAINING AND EXERCISE (TT&E) PROGRAM

Testing, training, and exercising of COOP capabilities is essential to demonstrating, 
assessing, and improving the ability of agencies to execute their COOP plans.  Training 
familiarizes COOP personnel with the essential functions they may have to perform in an 
emergency.  Tests and exercises serve to assess, validate, or identify for subsequent 
correction, specific aspects of COOP plans, policies, procedures, systems, and facilities 
used in response to an emergency situation.  Periodic testing also ensures that equipment 
and procedures are maintained in a constant state of readiness.  

Agencies must develop and maintain a COOP test, training and exercise program for 
conducting and documenting TT&E.

1.  The agency test program must include:

a.	Quarterly testing of COOP alert, notification, and activation procedures;
b.	Semi-annual testing of plans for the recovery of vital classified and 
unclassified records, critical information systems, services, and data; 
c.	Quarterly testing of COOP communications capabilities; and,
d.	Annual testing of primary and backup infrastructure systems and services at 
alternate operating facilities (e.g., power, water, fuel).

2.  The agency training program must include:

a.	Annual COOP awareness briefing (or other means of orientation) for the 
entire workforce;
b.	Annual team training for COOP personnel;
c.	Annual team training for agency personnel (and host or contractor personnel) 
assigned to activate, support, and sustain COOP operations at alternate 
operating facilities;
d.	Annual exercise that incorporates the deliberate and pre-planned movement of 
the COOP personnel to an alternate operating facility; and,
e.	A comprehensive debriefing conducted after each exercise for the participants 
to identify systemic weakness in plans and procedures and recommend COOP 
plans revisions.

3.  The agency exercise program, conducted annually at a minimum, must require:

a.	An opportunity for COOP personnel to demonstrate their familiarity with 
COOP plans and the capability to continue essential functions; and
b.	The deliberate and pre-planned movement of COOP personnel to an alternate 
operating facility.
c.	Communications capabilities and inter- and intra-agency dependencies.

The following table may be useful in developing a training program plan.

Table I-1:  Training Program Plan

Program
Method(s)
Audience
Frequency

The following table may be useful in developing an exercise program plan.
Table I-2:  Exercise Program Plan

Type
Participants
Frequency
Location

ANNEX J  DEVOLUTION OF CONTROL AND DIRECTION

The full spectrum of threats, including notice and no-notice catastrophic attacks, and all-
hazards emergencies has prompted the Federal Executive Branch to review contingency 
planning scenarios for COOP.  The possibility that threats or attacks could render Federal 
Government operations unavailable, for even the slightest period, is unacceptable, as 
essential functions must continue.  Therefore, the need to address catastrophic 
possibilities and the concept of devolution is critical to ensure the continuation of 
essential functions.  

Devolution planning supports overall COOP planning and addresses catastrophic or other 
disasters rendering an agency's leadership and staff unavailable to or incapable of 
performing its essential functions from either its primary or alternate facility(ies). The 
COOP devolution option should be developed to address how an agency will identify and 
transfer its essential functions.  At a minimum the plan should:

1.	Identify prioritized essential functions and determine necessary resources to 
facilitate their immediate and seamless transfer to a devolution site;

2.	Include a roster identifying fully equipped and trained personnel at the designated 
devolution site with the authority to perform essential functions and activities 
when the devolution option of COOP is activated;

3.	Identify the likely triggers that would initiate or activate the devolution option;

4.	Specify how and when direction and control of agency operations will be 
transferred to the devolution site;

5.	List necessary resources (people, equipment, and materials) to facilitate the ability 
to perform essential functions at the devolution site;

6.	Establish reliable processes and procedures to acquire resources necessary to 
continue essential functions and sustain operations for extended periods; and

7.	Establish capabilities to restore or reconstitute agency authorities to their pre-
event status upon termination of devolution.

The devolution site and personnel must be capable of supporting all the COOP essential 
functions and activities of the devolving organization, as listed in this FPC. 

ANNEX K  RECONSTITUTION OPERATIONS

Agencies must identify and outline a plan to return to normal operations once agency 
heads or their successors determine reconstitution operations can begin to resume normal 
business operations.  Agencies must:

1.	Provide an executable plan to transition from COOP status to an efficient normal 
operations status once a threat or disruption has passed.

2.	Coordinate and pre-plan options for reconstitution of an agency regardless of the 
level of disruption causing implementation of its COOP plan.  These options must 
include movement from the COOP or devolution location to the originating 
operating facility or a new operating site if necessary.

3.	Outline procedures necessary to affect a smooth transition from a relocation site, 
whether standard COOP or devolution scenario, to a new or restored headquarters 
facility.

Implementation:

1.	Inform all personnel that the threat of or actual emergency no longer exists, and   
provide instructions for resumption of normal operations.

2.	Supervise an orderly return to the normal operating facility or movement to other 
temporary or permanent operating facility. 

3.	Verify that all systems, communications, and other required capabilities are 
available and operational and that the agency(ies) are fully capable of 
accomplishing all essential functions/operations at the new or restored facility.

4.	Agency HQ POC reports status of the relocation to the FEMA Operations Center 
(FOC) and other points of contact, as necessary.

5.	Conduct an after-action review of COOP operations and effectiveness of plans 
and procedures, identify areas for correction, and develop a remedial action plan 
as soon as possible after the reconstitution.

ANNEX L- GLOSSARY

Activation  When a COOP plan has been implemented whether in whole or in part.

Agencies  Federal Executive Branch departments, agencies, and independent 
organizations. 

Agency Head  The highest-ranking official of the primary occupant agency or a 
successor or designee selected by the official.

Alternate facility  A location, other than the normal facility, used to carry out essential 
functions in a COOP situation.

Automated Data Processing (ADP) equipment  Equipment that performs data 
processing largely by automatic means.

Collateral damage  Injury to personnel or damage to facilities that are not the primary 
target of attack.

Consumable office supplies  General supplies that are consumed in office use.

Continuity of Government (COG)  A coordinated effort within each branch of the 
Federal Government to ensure the capability to fulfill minimum essential responsibilities 
in a catastrophic emergency to ensure the capacity to maintain an enduring constitutional 
government.

Continuity of Operations (COOP)  The activities of individual departments and 
agencies and their sub-components to ensure that their essential functions are performed. 
This includes plans and procedures that delineate essential functions; specify succession 
to office and the emergency delegation of authority; provide for the safekeeping of vital 
records and databases; identify alternate operating facilities; provide for interoperable 
communications; and validate the capability through tests, training, and exercises.

COOP Event - Any event that causes an Agency or Department to relocate operations to 
an alternate site to assure continuance of its essential functions.

Critical Infrastructure Protection (CIP)  Risk management actions intended to 
prevent a threat from attempting to, or succeeding at, destroying or incapacitating critical 
infrastructures.  Critical infrastructures are those systems and assets so vital to the Nation 
that their incapacity or destruction would have a debilitating impact on national security, 
national economic security, and/or national public health or safety.

Delegation of authority  Specifies who is authorized to act on behalf of the D/A head 
and other key officials for specific purposes.

Devolution  The capability to transfer statutory authority and responsibility for essential 
functions from an agency's primary operating staff and facilities to other employees and 
facilities, and to sustain that operational capability for an extended period.

Drive-Away Kit:  A kit prepared by, and for, an individual who expects to deploy to an 
alternate location during an emergency.  It contains items needed to minimally satisfy 
personal and professional needs during deployment.

Emergency Coordinator  This is the key senior official appointed within an 
organizational element or higher who serves as the coordinator for all National Response 
Plan and Incident Management System COOP related matters.

Emergency Operating Records  Records that support the execution of an agency's 
essential functions.

Enduring Constitutional Government (ECG)  A cooperative effort among the 
Executive, Legislative, and Judicial branches of government, coordinated by the 
President, to preserve the capability to execute constitutional responsibilities in a 
catastrophic emergency.

ERG Member  Emergency Response Group member.  A person assigned responsibility 
to report to an alternate site, as required, to perform agency essential functions or other 
COOP related operations. 

Essential functions  Functions that enable the Federal government to provide vital 
services, exercise civil authority, maintain the safety and well being of the general 
populace, and sustain the industrial/economic base in an emergency.

Essential resources  resources that support the Federal government's ability to provide 
vital services, exercise civil authority, maintain the safety and well being of the general 
populace, and sustain the industrial/economic base in an emergency.

Executive Agent  A term used to indicate a delegation of authority by a superior to a 
subordinate to act on behalf of the superior.  An executive agent may be limited to 
providing only administration and support or coordinating common functions, or it may 
be delegated authority, direction, and control over specified resources for specified 
purposes.

Interagency Agreements  A written agreement entered into between agencies that 
require specific goods or services to be furnished or tasks to be accomplished by one 
agency in support of the other.

Interoperability  1.  The ability of systems, personnel, or agencies to provide services 
to and accept services from other systems, personnel, or agencies and to use the services 
so exchanged to enable them to operate effectively together.  2.  The condition achieved 
among communications-electronic systems or items of communications-electronics 
equipment when information or services can be exchanged directly and satisfactorily 
between them and/or their users.

Interoperable communications  Alternate communications that provide the capability 
to perform essential functions, in conjunction with other agencies, until normal 
operations can be resumed.

Legal and financial records  Records that are needed to protect the legal and financial 
rights of the Government and of the persons affected by its actions.

Mission critical data  Information essential to supporting the execution of an agency's 
essential functions.

Mission critical systems  ADP equipment essential to supporting the execution of an 
agency's essential functions.

Multi-year strategy and program management plan  A process that ensures the 
maintenance and continued viability of COOP plans. 

Occupant Emergency Plan (OEP)  A short-term emergency response program that 
establishes procedures for safeguarding lives and property.

Orders of succession  Provisions for the assumption of senior agency offices during an 
emergency in the event that any of those officials are unavailable to execute their legal 
duties.

Originating facility  The site of normal, day-to-day operations; the location where the 
employee usually goes to work.

Reconstitution  The process by which surviving and or replacement agency personnel 
resume normal agency operations from the original or replacement primary operating 
facility.

Risk analysis  The identification and assessment of hazards.

Telecommuting locations  Those locations set up with computers and telephones that 
enable employees to work at a location closer to their house than their main office. 

Test, Training, and Exercises (TT&E)  Measures to ensure that an agency's COOP 
program is capable of supporting the continued execution of its essential functions 
throughout the duration of a COOP situation.

Virtual offices  A location or environment where an employee performs work through 
the use of portable information technology and communication packages.

Vital databases  Information systems needed to support essential functions during a 
COOP situation.

Vital records  Electronic and hardcopy documents, references, and records needed to 
support essential functions during a COOP situation.  The two basic categories of vital 
records are emergency operating records and legal and financial records.

Weapons of Mass Destruction (WMD)  Weapons that are capable of a high order of 
destruction and/or of being used in such a manner as to destroy large numbers of people.  
Weapons of mass destruction can be high explosives or nuclear, biological, chemical, and 
radiological weapons.

Work-at-home  When an employee carries out their work duties at their residence 
rather than their official duty station.

June 15, 2004									          FPC 65

13

		A-3
		B-5
		C-1

		D-2

		E-5

		F-2

		G-3
		H-8

		I-2

		J-1
		K-1

		L-4