unit 12: developing coop plans and procedures unit introduction and overview unit objectives: the...
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Unit 12: Developing COOP Plans and Procedures
Unit Introduction and Overview
Unit objectives: The purpose of a COOP plan. How to develop an outline for a COOP plan. How to identify procedures required to support
your agency’s COOP program.
Unit 12: Developing COOP Plans and Procedures
The Purpose of a COOP PlanThe Purpose of a COOP Plan The COOP plan is a roadmap for implementing
and managing the COOP program. Of all COOP-related documents, the COOP plan
is most important.
COOP plans are living documents, requiring regular review and revision.
Unit 12: Developing COOP Plans and Procedures
The Purpose of COOP Planning 1. To ensure the continued operation of
departments and agencies and their essential functions.
2. To ensure the rapid response to any emergency situation requiring COOP plan implementation.
Unit 12: Developing COOP Plans and Procedures
The COOP Planning Model Initiate the
COOP Planning Process
Design and Build the Plan
Test, Train, and Exercise
the Plan
Distribute, Maintain, and
Update the Plan
Conduct a Risk Analysis
Determine Essential Functions
Conduct an Impact
Analysis
Unit 12: Developing COOP Plans and Procedures
Step 1: Initiate the COOP Planning Process
Appoint the COOP Program Manager. Select the planning team. Identify resources required. Establish objectives and milestones. Determine procedures for information gathering
and decisionmaking.
Unit 12: Developing COOP Plans and Procedures
Step 1: Initiate the COOP Planning Process
Selecting the Planning Team
Include members from each functional area, and: Information Technology. Human Resources. Accounting/Finance. The Office of General Counsel.
Unit 12: Developing COOP Plans and Procedures
Step 1: Initiate the COOP Planning Process
Identifying planning resources: Photocopying Supplies Mileage (or fleet vehicle costs) for travel to
potential alternate facilities Training rooms, materials, supplies, equipment,
and instructors Meeting rooms Other program needs
Unit 12: Developing COOP Plans and Procedures
Step 1: Initiate the COOP Planning Process
Establish Objectives and Milestones
Objectives should be measurable so that you: Know when the objective has been met. Know whether the objective is acceptable in
terms of quality, timeliness, and other established criteria.
Unit 12: Developing COOP Plans and Procedures
Step 1: Initiate the COOP Planning Process
Establish procedures for information gathering and decisionmaking: Focus on gathering needed information. Minimize time and effort spent gathering
information. Minimize disagreement by establishing
procedures for decisionmaking.
Unit 12: Developing COOP Plans and Procedures
Step 2: Conduct a Risk AnalysisRisk analysis helps to: Narrow the range of incidents requiring
planning. Prioritize according to risk. Plan for the highest-risk hazards first.
Unit 12: Developing COOP Plans and Procedures
Step 2: Conduct a Risk AnalysisSources of Information: The local hazard analysis Historical information Directive
Unit 12: Developing COOP Plans and Procedures
Step 2: Conduct a Risk AnalysisDetermine vulnerability to identify risks that are: Inherent to the agency’s location. Inherent to the facility. Most critical for agency personnel.
Unit 12: Developing COOP Plans and Procedures
Step 2: Conduct a Risk AnalysisSteps for conducting a vulnerability analysis:
1. Develop a hazard profile.
2. Check assumptions.
3. Develop an area profile.
4. Identify vulnerabilities.
Unit 12: Developing COOP Plans and Procedures
Step 3: Conduct an Impact Analysis4 = Catastrophic. The agency could not function
from its facility. The COOP plan would definitely be implemented.
3 = Major. Agency operations would be disrupted for more than 12 hours. The COOP plan would definitely be implemented.
2 = Moderate. Some functions may be interrupted but the agency could be operational within 12 hours. The COOP plan might be implemented.
1 = Minor: Agency operations could continue with little or no interruption.
Unit 12: Developing COOP Plans and Procedures
Step 4: Determine Essential FunctionsUse a system: Identify all agency functions. Identify essential functions. Prioritize the functions. Identify critical support resources.
Unit 12: Developing COOP Plans and Procedures
Step 5: Design and Build the Plan FPC planning guidance Appendix D Template
Unit 12: Developing COOP Plans and Procedures
Step 6: Test, Train, and Exercise the Plan Tests confirm whether or not procedures,
processes, and systems function as intended. Training ensures that all personnel know what
to do, how to do it, and when. Exercises provide practice and verification of
whether parts of the plan—or the entire plan— work as intended.
Unit 12: Developing COOP Plans and Procedures
Step 7: Distribute, Maintain, and Update the Plan
Factors to consider: Accountability Version control Security
Unit 12: Developing COOP Plans and Procedures
COOP Plan Organization Part I: Introduction Part II: Planning Basis Part III: Procedures for Plan Implementation Part IV: Maintaining COOP Readiness
Unit 12: Developing COOP Plans and Procedures
Concept of Operations Phase I: Activation and Relocation (0-12 hours) Phase II: Onsite Operations (from 12 hours to
30 days) Phase III: Reconstitution (recovery, mitigation,
and termination)
Unit 12: Developing COOP Plans and Procedures
Concept of Operations Phase I: Activation and Relocation (0-12 hours) Leadership Orders of succession Delegations of authority Devolution COOP implementation decision process Alert, notification, and implementation
Unit 12: Developing COOP Plans and Procedures
Concept of Operations Phase II: Onsite Operations (from 12 hours to 30 days) Operations Mission-critical systems Vital records and databases
Unit 12: Developing COOP Plans and Procedures
Concept of Operations Phase III: Reconstitution Recovery Mitigation Termination
Unit 12: Developing COOP Plans and Procedures
Developing COOP Procedures Section 10, FPC-65 requires procedures for: Notification and relocation to one or more
alternate facilities. Orientation of COOP personnel and conducting
operations and administration at alternate facilities.
Acquiring resources necessary to continue essential functions and sustain operations for up to 30 days.
Unit 12: Developing COOP Plans and Procedures
Developing COOP Procedures
Why are COOP procedures important?
Unit 12: Developing COOP Plans and Procedures
Developing COOP Procedures COOP phases: Phase I: Activation and Relocation Phase II: Alternate Facility Operations Phase III: Reconstitution
Unit 12: Developing COOP Plans and Procedures
Developing COOP Procedures
What types of procedures would you develop for
Phase I?
Unit 12: Developing COOP Plans and Procedures
Developing COOP Procedures Day-to-day operations. Personnel readiness procedures/instructions: Activation readiness Deployment readiness Operational readiness Family readiness
Unit 12: Developing COOP Plans and Procedures
What is Continuity of Operations? Day-to-day operations. COOP vital files, records, and databases: Identification of materials and resources Recurring and systematic updates Resource protection measures
Unit 12: Developing COOP Plans and Procedures
Phase I: Activation and Relocation Activation procedures Alert/notification procedures Deployment procedures
Unit 12: Developing COOP Plans and Procedures
Phase I: Activation and Relocation Activation procedures: Respond to the alert/notification process. Participate in the call-down as instructed. Obtain “go kits,” if necessary. Follow guidelines in the OEP for activation
during duty hours. Prepare to execute deployment procedures to
report to an alternate site.
Unit 12: Developing COOP Plans and Procedures
Phase I: Activation and Relocation Alert/notification procedures: Specify roles and responsibilities for all
personnel. Identify how employees will be contacted. Indicate the timeframe in which the call-down
sequence should be completed. Explain the testing process and schedule for
drill alerts. Include prescripted messages.
Unit 12: Developing COOP Plans and Procedures
Phase I: Activation and Relocation Deployment procedures: Deployment instructions Map/directions to the alternate facility Description of “go kits” and instructions for
their use Administrative and logistics information
Unit 12: Developing COOP Plans and Procedures
Phase II: Alternate Facility Operations Phase II procedures: Personnel accountability Status reporting Communications/information technology Orders of succession and delegations of
authority
Unit 12: Developing COOP Plans and Procedures
Phase II: Alternate Facility Operations Personnel accountability procedures: How attendance will be tracked and by whom. Where personnel should report upon arrival. Who will prepare the attendance report. How the report will be forwarded to senior
management.
Unit 12: Developing COOP Plans and Procedures
Phase II: Alternate Facility Operations Status reporting: Purpose of status reports Report format Preparation, review, and approval Submission Frequency
Unit 12: Developing COOP Plans and Procedures
Phase II: Alternate Facility Operations Communications: Internal/external calling Setting up/changing passwords Accessing voicemail Forwarding/transferring calls Conducting conference calls Using cryptographic ignition keys for secure
calls
Unit 12: Developing COOP Plans and Procedures
Phase II: Alternate Facility Operations Information technology: General computer/laptop use Setting up/changing passwords Accessing the network Accessing the Internet Accessing data stored on the server Accessing e-mail
Unit 12: Developing COOP Plans and Procedures
Phase II: Alternate Facility Operations Orders of succession/delegations of authority: Who implements the line of succession. Conditions under which transfer of leadership
and authority will occur. Who is involved in the process. Who needs to be advised. How transfer back to more senior leadership
occurs.
Unit 12: Developing COOP Plans and Procedures
Phase III: Reconstitution Reconstitution procedures: Personnel notification Transfer of COOP materials
Unit 12: Developing COOP Plans and Procedures
Phase III: Reconstitution Personnel notification: Resemble the notification procedures used to
alert and activate. Specify the timeframe for notification. Indicate the means of notification. Identify the responsible person/organization to
authorize and implement.
Unit 12: Developing COOP Plans and Procedures
Phase III: Reconstitution Information and materials transfer: Tasks required to save and transfer information
and materials. Tracking measures for files, documents, etc.,
that have been modified or created during COOP activation.
How and when to save files.
Unit 12: Developing COOP Plans and Procedures
Summary and Transition This unit covered: Key steps in developing COOP plans and
procedures.
Next unit: Tests, Training, and Exercises (Unit 8)
Unit 12: Developing COOP Plans and Procedures
Summary and Transition
Questions?