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?