Continuity of Operations Plan (COOP) Kickoff Meeting

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Continuity of Operations Plan (COOP) Continuity of Operations Plan (COOP) Kickoff MeetingKickoff Meeting

Continuity of Operations Plan (COOP) Continuity of Operations Plan (COOP) Kickoff MeetingKickoff Meeting

May 2007May 2007

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AgendaAgendaAgendaAgenda

• Contact InformationContact Information

• COOP OverviewCOOP Overview

• COOP Contents COOP Contents

• COOP Development ProcessCOOP Development Process

• DiscussionDiscussion

• Contact InformationContact Information

• COOP OverviewCOOP Overview

• COOP Contents COOP Contents

• COOP Development ProcessCOOP Development Process

• DiscussionDiscussion

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Contact InformationContact InformationContact InformationContact Information

Stephen ReaStephen ReaOffice of Emergency ServicesOffice of Emergency Services

Emergency Services CoordinatorEmergency Services Coordinator858-715-2204858-715-2204

Stephen ReaStephen ReaOffice of Emergency ServicesOffice of Emergency Services

Emergency Services CoordinatorEmergency Services Coordinator858-715-2204858-715-2204

Irina ObenauerIrina ObenauerURSURS

Project ManagerProject Manager

619-243-2952619-243-2952

Irina ObenauerIrina ObenauerURSURS

Project ManagerProject Manager

619-243-2952619-243-2952

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COOP OverviewCOOP OverviewCOOP OverviewCOOP Overview

• A Continuity of Operations (COOP) A Continuity of Operations (COOP) Plan serves as a supplemental tool to Plan serves as a supplemental tool to the City’s Emergency Operations the City’s Emergency Operations Plan (EOP). Plan (EOP).

• COOP is designed to ensure that the COOP is designed to ensure that the City and its departments are able to City and its departments are able to continue performing essential continue performing essential functions and to facilitate an orderly functions and to facilitate an orderly recovery following a disaster.recovery following a disaster.

• A Continuity of Operations (COOP) A Continuity of Operations (COOP) Plan serves as a supplemental tool to Plan serves as a supplemental tool to the City’s Emergency Operations the City’s Emergency Operations Plan (EOP). Plan (EOP).

• COOP is designed to ensure that the COOP is designed to ensure that the City and its departments are able to City and its departments are able to continue performing essential continue performing essential functions and to facilitate an orderly functions and to facilitate an orderly recovery following a disaster.recovery following a disaster.

COOP


Ensure the continuous performance of an agency’s essential Ensure the continuous performance of an agency’s essential functions/operations during an emergencyfunctions/operations during an emergency

Protect essential facilities, equipment, Protect essential facilities, equipment, records, and other assetsrecords, and other assets

ReduceReduceor mitigateor mitigate

disruptions to operationsdisruptions to operations

Achieve a timely and Achieve a timely and orderly recovery from an orderly recovery from an emergency and resume emergency and resume

full service to customersfull service to customers

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A COOP activating event is:A COOP activating event is:• An emergency that incapacitates the normal

functioning of the City’s department(s) for more than a limited amount of time– Damage to the building– High rate of employee absenteeism

COOPs are “all-hazard” and can be activated due to:COOPs are “all-hazard” and can be activated due to:• A Natural Disaster, or • An Act of Terrorism, or • An Accident

A COOP activating event is:A COOP activating event is:• An emergency that incapacitates the normal

functioning of the City’s department(s) for more than a limited amount of time– Damage to the building– High rate of employee absenteeism

COOPs are “all-hazard” and can be activated due to:COOPs are “all-hazard” and can be activated due to:• A Natural Disaster, or • An Act of Terrorism, or • An Accident

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• Capable of being Capable of being implemented with or implemented with or without warningwithout warning

• Operational within a Operational within a minimal period (12 hours) minimal period (12 hours) of disruption for essential of disruption for essential functionsfunctions

• Capable of maintaining Capable of maintaining sustained operations for up sustained operations for up to 30 days (longer during a to 30 days (longer during a pandemic)pandemic)

• Capable of being Capable of being implemented with or implemented with or without warningwithout warning

• Operational within a Operational within a minimal period (12 hours) minimal period (12 hours) of disruption for essential of disruption for essential functionsfunctions

• Capable of maintaining Capable of maintaining sustained operations for up sustained operations for up to 30 days (longer during a to 30 days (longer during a pandemic)pandemic)

• During a pandemic, sustain During a pandemic, sustain operations with staff operations with staff reduction of up to 30 reduction of up to 30 percent for up to18 monthspercent for up to18 months

• Continuous testing, training, Continuous testing, training, and exercising of personnel, and exercising of personnel, equipment, systems, equipment, systems, processes, and proceduresprocesses, and procedures

• Incorporate lessons learnedIncorporate lessons learned

• During a pandemic, sustain During a pandemic, sustain operations with staff operations with staff reduction of up to 30 reduction of up to 30 percent for up to18 monthspercent for up to18 months

• Continuous testing, training, Continuous testing, training, and exercising of personnel, and exercising of personnel, equipment, systems, equipment, systems, processes, and proceduresprocesses, and procedures

• Incorporate lessons learnedIncorporate lessons learned

COOP Program Goals:COOP Program Goals:

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• COOP Implementation PhasesCOOP Implementation Phases• COOP Implementation PhasesCOOP Implementation Phases

Lessons Learned &After-Action Reporting

Activation and Relocation

Alternate Operating Facility Operations

Reconstitution

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COOP ElementsCOOP ElementsCOOP ElementsCOOP Elements

• Essential FunctionsEssential Functions• Delegation of AuthorityDelegation of Authority• Orders of SuccessionOrders of Succession• Alternate FacilitiesAlternate Facilities• Vital Records, Vital Records,

Databases & SystemsDatabases & Systems• Interoperable Interoperable

CommunicationsCommunications

• Essential FunctionsEssential Functions• Delegation of AuthorityDelegation of Authority• Orders of SuccessionOrders of Succession• Alternate FacilitiesAlternate Facilities• Vital Records, Vital Records,

Databases & SystemsDatabases & Systems• Interoperable Interoperable

CommunicationsCommunications

• Contingency Staff Contingency Staff and Responsibilitiesand Responsibilities

• DevolutionDevolution• ReconstitutionReconstitution• Tests, Training and Tests, Training and

ExercisesExercises

• Contingency Staff Contingency Staff and Responsibilitiesand Responsibilities

• DevolutionDevolution• ReconstitutionReconstitution• Tests, Training and Tests, Training and

ExercisesExercises

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Essential Functions Essential Functions Most important planning elementMost important planning element• Basis for determining resource Basis for determining resource

requirements:requirements:– Staffing Staffing – Vital data/critical systemsVital data/critical systems– Essential equipment Essential equipment – Supplies and servicesSupplies and services– FacilitiesFacilities

Essential Functions Essential Functions Most important planning elementMost important planning element• Basis for determining resource Basis for determining resource

requirements:requirements:– Staffing Staffing – Vital data/critical systemsVital data/critical systems– Essential equipment Essential equipment – Supplies and servicesSupplies and services– FacilitiesFacilities

Essential FunctionsEssential Functions are defined are defined as those functions, stated or as those functions, stated or

implied, that City departments are implied, that City departments are required to perform by statute, required to perform by statute, executive order, or City policy executive order, or City policy ANDAND are necessary to provide are necessary to provide

vital services, exercise civil vital services, exercise civil authority, maintain the safety and authority, maintain the safety and

well-being of the general well-being of the general populace, and sustain the populace, and sustain the

industrial/economic base in an industrial/economic base in an emergency. emergency.

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Essential Functions Essential Functions • Critical Essential Functions Critical Essential Functions

– Cannot be interrupted or can be only minimally Cannot be interrupted or can be only minimally interrupted following an incident.interrupted following an incident.

• Long-term Essential Functions Long-term Essential Functions – Can be interrupted for the first 30 days following an Can be interrupted for the first 30 days following an

incident, but must be resumed thereafter.incident, but must be resumed thereafter.

Essential Functions Essential Functions • Critical Essential Functions Critical Essential Functions

– Cannot be interrupted or can be only minimally Cannot be interrupted or can be only minimally interrupted following an incident.interrupted following an incident.

• Long-term Essential Functions Long-term Essential Functions – Can be interrupted for the first 30 days following an Can be interrupted for the first 30 days following an

incident, but must be resumed thereafter.incident, but must be resumed thereafter.

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Delegation of Authority Delegation of Authority An official mandate calling on the individual holding a An official mandate calling on the individual holding a

specific position to assume responsibilities and authorities specific position to assume responsibilities and authorities not normally associated with that position when specified not normally associated with that position when specified conditions are met. conditions are met.

Orders of SuccessionOrders of SuccessionThe order and conditions under which the responsibilities The order and conditions under which the responsibilities and authorities of a public official are passed to another and authorities of a public official are passed to another official when the original holder of the responsibilities and official when the original holder of the responsibilities and authorities is unable or unavailable to exercise them.authorities is unable or unavailable to exercise them.

Delegation of Authority Delegation of Authority An official mandate calling on the individual holding a An official mandate calling on the individual holding a

specific position to assume responsibilities and authorities specific position to assume responsibilities and authorities not normally associated with that position when specified not normally associated with that position when specified conditions are met. conditions are met.

Orders of SuccessionOrders of SuccessionThe order and conditions under which the responsibilities The order and conditions under which the responsibilities and authorities of a public official are passed to another and authorities of a public official are passed to another official when the original holder of the responsibilities and official when the original holder of the responsibilities and authorities is unable or unavailable to exercise them.authorities is unable or unavailable to exercise them.

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Primary LocationPrimary LocationThe department center of operations or primary location The department center of operations or primary location where functions occur.where functions occur.

Alternate LocationAlternate LocationPre-identified building to house essential functions if Pre-identified building to house essential functions if Primary Location is unavailable.Primary Location is unavailable.

Primary LocationPrimary LocationThe department center of operations or primary location The department center of operations or primary location where functions occur.where functions occur.

Alternate LocationAlternate LocationPre-identified building to house essential functions if Pre-identified building to house essential functions if Primary Location is unavailable.Primary Location is unavailable.

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Vital RecordsVital RecordsRecords or documents which, if damaged or destroyed, Records or documents which, if damaged or destroyed, would disrupt agency operations and information flow, would disrupt agency operations and information flow, cause considerable inconvenience and require cause considerable inconvenience and require replacement or re-creation at considerable expense replacement or re-creation at considerable expense

Vital Systems and EquipmentVital Systems and EquipmentA system or piece of equipment that is essential to A system or piece of equipment that is essential to emergency operations and/or to the agency’s continuance emergency operations and/or to the agency’s continuance of essential functions during a crisisof essential functions during a crisis

Vital RecordsVital RecordsRecords or documents which, if damaged or destroyed, Records or documents which, if damaged or destroyed, would disrupt agency operations and information flow, would disrupt agency operations and information flow, cause considerable inconvenience and require cause considerable inconvenience and require replacement or re-creation at considerable expense replacement or re-creation at considerable expense

Vital Systems and EquipmentVital Systems and EquipmentA system or piece of equipment that is essential to A system or piece of equipment that is essential to emergency operations and/or to the agency’s continuance emergency operations and/or to the agency’s continuance of essential functions during a crisisof essential functions during a crisis

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Interoperable CommunicationsInteroperable CommunicationsAlternate communications that provide the Alternate communications that provide the capability to perform minimum departmental capability to perform minimum departmental essential functions, in conjunction with other essential functions, in conjunction with other agencies, until normal operations can be resumedagencies, until normal operations can be resumed

Interoperable CommunicationsInteroperable CommunicationsAlternate communications that provide the Alternate communications that provide the capability to perform minimum departmental capability to perform minimum departmental essential functions, in conjunction with other essential functions, in conjunction with other agencies, until normal operations can be resumedagencies, until normal operations can be resumed

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Contingency Staff and ResponsibilitiesContingency Staff and Responsibilities

The personnel of the Department designated to The personnel of the Department designated to report to the alternate facility/location during report to the alternate facility/location during COOP implementation to ensure that the COOP implementation to ensure that the Department is able to perform its essential Department is able to perform its essential functions.functions.

Contingency Staff and ResponsibilitiesContingency Staff and Responsibilities

The personnel of the Department designated to The personnel of the Department designated to report to the alternate facility/location during report to the alternate facility/location during COOP implementation to ensure that the COOP implementation to ensure that the Department is able to perform its essential Department is able to perform its essential functions.functions.

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

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

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

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

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Tests, Training & ExercisesTests, Training & Exercises• Testing and exercising COOP capabilities are Testing and exercising COOP capabilities are

essential to demonstrating and improving the essential to demonstrating and improving the ability of departments to execute their COOPs. ability of departments to execute their COOPs.

• Serve to validate or to identify improvements to Serve to validate or to identify improvements to the COOP’s policies, procedures, systems, and the COOP’s policies, procedures, systems, and locations. locations.

• Periodic testing and exercising also help to ensure Periodic testing and exercising also help to ensure that equipment and procedures are maintained in that equipment and procedures are maintained in a constant state of readiness.a constant state of readiness.

Tests, Training & ExercisesTests, Training & Exercises• Testing and exercising COOP capabilities are Testing and exercising COOP capabilities are

essential to demonstrating and improving the essential to demonstrating and improving the ability of departments to execute their COOPs. ability of departments to execute their COOPs.

• Serve to validate or to identify improvements to Serve to validate or to identify improvements to the COOP’s policies, procedures, systems, and the COOP’s policies, procedures, systems, and locations. locations.

• Periodic testing and exercising also help to ensure Periodic testing and exercising also help to ensure that equipment and procedures are maintained in that equipment and procedures are maintained in a constant state of readiness.a constant state of readiness.

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COOP Pandemic ConsiderationsCOOP Pandemic ConsiderationsCOOP Pandemic ConsiderationsCOOP Pandemic Considerations

Pandemic WorkbookPandemic Workbook

Focuses on the following topics: Focuses on the following topics: • Long Term Essential Functions Long Term Essential Functions • Assessment of telecommuting capabilitiesAssessment of telecommuting capabilities• Projected 30% reduction in staffing levelsProjected 30% reduction in staffing levels• Social distancing techniquesSocial distancing techniques

Pandemic WorkbookPandemic Workbook

Focuses on the following topics: Focuses on the following topics: • Long Term Essential Functions Long Term Essential Functions • Assessment of telecommuting capabilitiesAssessment of telecommuting capabilities• Projected 30% reduction in staffing levelsProjected 30% reduction in staffing levels• Social distancing techniquesSocial distancing techniques

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COOP Development ProcessCOOP Development ProcessCOOP Development ProcessCOOP Development Process

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COOP TemplateCOOP TemplateCOOP TemplateCOOP Template

Created in accordance with

federal laws, State and local law, plans, and administrative

guidance.

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COOP ContentsCOOP ContentsCOOP ContentsCOOP Contents

• Section 1 Section 1 COOP Background InformationCOOP Background Information• Section 2 Section 2 COOP InformationCOOP Information• Section 3 Section 3 Pandemic WorkbookPandemic Workbook• Section 4Section 4 Concept of OperationsConcept of Operations

• Annex AAnnex A Plan, Analysis, and Review ChecklistsPlan, Analysis, and Review Checklists• Annex BAnnex B Implementation ChecklistsImplementation Checklists• Annex C Annex C Alternate Facility/Location Transportation InfoAlternate Facility/Location Transportation Info• Annex DAnnex D Supporting Departmental DocumentsSupporting Departmental Documents• Annex EAnnex E After Action ReportingAfter Action Reporting• Annex FAnnex F COOP Best PracticesCOOP Best Practices• Annex GAnnex G Definition and AcronymsDefinition and Acronyms

• Section 1 Section 1 COOP Background InformationCOOP Background Information• Section 2 Section 2 COOP InformationCOOP Information• Section 3 Section 3 Pandemic WorkbookPandemic Workbook• Section 4Section 4 Concept of OperationsConcept of Operations

• Annex AAnnex A Plan, Analysis, and Review ChecklistsPlan, Analysis, and Review Checklists• Annex BAnnex B Implementation ChecklistsImplementation Checklists• Annex C Annex C Alternate Facility/Location Transportation InfoAlternate Facility/Location Transportation Info• Annex DAnnex D Supporting Departmental DocumentsSupporting Departmental Documents• Annex EAnnex E After Action ReportingAfter Action Reporting• Annex FAnnex F COOP Best PracticesCOOP Best Practices• Annex GAnnex G Definition and AcronymsDefinition and Acronyms

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ApproachApproachApproachApproach

• Identify stakeholders and establish a COOP development Identify stakeholders and establish a COOP development team.team.

• Decide on the number of COOPs to develop (city-wide vs. Decide on the number of COOPs to develop (city-wide vs. department-specific).department-specific).

• Identify applicable plans and Standard Operating Procedures Identify applicable plans and Standard Operating Procedures (SOP).(SOP).

• URS will provide worksheets and guidance to assist the City in URS will provide worksheets and guidance to assist the City in the gathering of the appropriate information.the gathering of the appropriate information.

• URS will customize the COOP template for the City’s needs URS will customize the COOP template for the City’s needs and will enter information gathered into the COOP template.and will enter information gathered into the COOP template.

• Review draft COOP(s).Review draft COOP(s).• Finalize COOP(s).Finalize COOP(s).

• Identify stakeholders and establish a COOP development Identify stakeholders and establish a COOP development team.team.

• Decide on the number of COOPs to develop (city-wide vs. Decide on the number of COOPs to develop (city-wide vs. department-specific).department-specific).

• Identify applicable plans and Standard Operating Procedures Identify applicable plans and Standard Operating Procedures (SOP).(SOP).

• URS will provide worksheets and guidance to assist the City in URS will provide worksheets and guidance to assist the City in the gathering of the appropriate information.the gathering of the appropriate information.

• URS will customize the COOP template for the City’s needs URS will customize the COOP template for the City’s needs and will enter information gathered into the COOP template.and will enter information gathered into the COOP template.

• Review draft COOP(s).Review draft COOP(s).• Finalize COOP(s).Finalize COOP(s).

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• Kickoff MeetingKickoff Meeting

• Information Gathering/Review Meeting 1Information Gathering/Review Meeting 1


• Draft COOP MeetingDraft COOP Meeting

• Final COOP MeetingFinal COOP Meeting

• Kickoff MeetingKickoff Meeting



• Draft COOP MeetingDraft COOP Meeting

• Final COOP MeetingFinal COOP Meeting

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Kickoff Meeting GoalsKickoff Meeting Goals– Introduce key COOP concepts.Introduce key COOP concepts.– Introduce COOP development process.Introduce COOP development process.– Identify stakeholders and establish a COOP Identify stakeholders and establish a COOP

development team.development team.– Determine the number of COOP plans needed.Determine the number of COOP plans needed.– Introduce COOP worksheets to gather information Introduce COOP worksheets to gather information

regarding:regarding:• Essential FunctionsEssential Functions• Orders of SuccessionOrders of Succession• Alternate LocationsAlternate Locations

Kickoff Meeting GoalsKickoff Meeting Goals– Introduce key COOP concepts.Introduce key COOP concepts.– Introduce COOP development process.Introduce COOP development process.– Identify stakeholders and establish a COOP Identify stakeholders and establish a COOP

development team.development team.– Determine the number of COOP plans needed.Determine the number of COOP plans needed.– Introduce COOP worksheets to gather information Introduce COOP worksheets to gather information

regarding:regarding:• Essential FunctionsEssential Functions• Orders of SuccessionOrders of Succession• Alternate LocationsAlternate Locations

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Information Gathering/Review Meeting 1 Goals:Information Gathering/Review Meeting 1 Goals:– Review information received and answer Review information received and answer

questions.questions.– Introduce COOP worksheets to gather Introduce COOP worksheets to gather

information regarding:information regarding:• DevolutionDevolution• Vital Records and SystemsVital Records and Systems• Interoperable CommunicationsInteroperable Communications

Information Gathering/Review Meeting 1 Goals:Information Gathering/Review Meeting 1 Goals:– Review information received and answer Review information received and answer

questions.questions.– Introduce COOP worksheets to gather Introduce COOP worksheets to gather

information regarding:information regarding:• DevolutionDevolution• Vital Records and SystemsVital Records and Systems• Interoperable CommunicationsInteroperable Communications

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Information Gathering/Review Meeting 2 GoalsInformation Gathering/Review Meeting 2 Goals– Review information received and answer questions.Review information received and answer questions.– Introduce COOP worksheets to gather information regarding:Introduce COOP worksheets to gather information regarding:

• Contingency Staff and ResponsibilitiesContingency Staff and Responsibilities• Pandemic WorkbookPandemic Workbook• Activation/NotificationActivation/Notification

Information Gathering/Review Meeting 2 GoalsInformation Gathering/Review Meeting 2 Goals– Review information received and answer questions.Review information received and answer questions.– Introduce COOP worksheets to gather information regarding:Introduce COOP worksheets to gather information regarding:

• Contingency Staff and ResponsibilitiesContingency Staff and Responsibilities• Pandemic WorkbookPandemic Workbook• Activation/NotificationActivation/Notification

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Draft COOP Meeting GoalsDraft COOP Meeting Goals– Obtain feedback on Draft COOP(s).Obtain feedback on Draft COOP(s).

– Discuss remaining information required to Discuss remaining information required to complete the COOP(s).complete the COOP(s).

Draft COOP Meeting GoalsDraft COOP Meeting Goals– Obtain feedback on Draft COOP(s).Obtain feedback on Draft COOP(s).

– Discuss remaining information required to Discuss remaining information required to complete the COOP(s).complete the COOP(s).

Draft

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Final COOP Meeting GoalsFinal COOP Meeting Goals– Obtain feedback on Final COOP(s).Obtain feedback on Final COOP(s).

– Review and discuss any remaining issues.Review and discuss any remaining issues.

– Complete anonymous questionnaire to Complete anonymous questionnaire to provide feedback on COOP process.provide feedback on COOP process.

Final COOP Meeting GoalsFinal COOP Meeting Goals– Obtain feedback on Final COOP(s).Obtain feedback on Final COOP(s).

– Review and discuss any remaining issues.Review and discuss any remaining issues.

– Complete anonymous questionnaire to Complete anonymous questionnaire to provide feedback on COOP process.provide feedback on COOP process.

Final

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QuestionsQuestionsQuestionsQuestions

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DiscussionDiscussionDiscussionDiscussion

• Identify stakeholders and establish a COOP Identify stakeholders and establish a COOP development team.development team.

• Determine number of Departmental COOPs Determine number of Departmental COOPs necessary.necessary.

• Review information gathering worksheets.Review information gathering worksheets.

• Identify stakeholders and establish a COOP Identify stakeholders and establish a COOP development team.development team.

• Determine number of Departmental COOPs Determine number of Departmental COOPs necessary.necessary.

• Review information gathering worksheets.Review information gathering worksheets.

Continuity of Operations Plan (COOP) Kickoff Meeting

Documents

Transcript of Continuity of Operations Plan (COOP) Kickoff Meeting