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Continuity of Operations (COOP) Awareness Training.

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Presentation on theme: "Continuity of Operations (COOP) Awareness Training."— Presentation transcript:

1 Continuity of Operations (COOP) Awareness Training

2 Objectives  Provide an understanding of COOP, COOP terms, and benefits of COOP planning  Explain elements of a viable COOP capability  Provide information about how a COOP event might affect you, your organization, and your family

3 Training Topics  COOP Definition and Scope  Authority for COOP  DHS’s Role in COOP  COOP Overview  Elements of a Viable COOP Capability  COOP Impacts  Course Evaluation

4 COOP: Definition & Scope COOP includes... The activities of individual departments and agencies and their subcompartments to ensure that their essential functions are performed

5 COOP: Definition & Scope COOP activities include:  Plans and procedures to ensure that essential functions are performed.  Tests, training, and exercises essential for ensuring a viable COOP capability

6 COOP Authority  Legal Basis: Executive Order 12656, “Assignment of Emergency Preparedness Responsibilities”  Applies for Federal Executive Branch departments/agencies, but COOP concepts:  Guide the Legislative and Judicial Branches.  Can be adopted for State and local levels.

7 DHS’s role in COOP  Lead agent for Federal Executive Branch COOP  Has designated FEMA as lead agent

8 DHS’s Role in COOP FEMA is responsible for:  Issuing COOP guidance.  Promoting understanding of and compliance with COOP requirements in FPC-65. FEMA’S Office Of National Security Coordination (ONSC) is DHS’s implementing organization for its COOP Lead Agent responsibilities

9 COOP Overview FPC-65 guides COOP planning in the Federal Executive Branch

10 COOP Overview: Benefits COOP is a good business practice. It enables agencies to continue their essential functions across a broad spectrum of hazards and emergencies:  Natural  Manmade  Technological  National security emergencies

11 COOP Overview: Planning Objectives  Ensure continued performance of essential functions  Reduce loss of life/minimize damage  Ensure succession to office of key leadership  Reduce/mitigate disruptions to operations  Protect essential assets  Achieve timely recovery/reconstitution  Maintain TT&E program for validation

12 COOP Overview: Planning Considerations COOP plans must:  Be capable of implementation anytime, with and without warning.  Provide full operational capability for essential functions not later than 12 hours after activation.  Be capable of sustaining operations for up to 30 days.  Include regularly scheduled TT&E.

13 Elements of a Viable COOP Capability  Plans and Procedures  Essential Functions  Delegations of Authority  Orders of Succession  Alternate Facilities  Interoperable Communications  Vital Records  Human Capital  TT&E  Devolution  Reconstitution

14 Elements of a Viable COOP Capability Essential Functions are those functions that enable an organization to:  Provide vital services.  Exercise civil authority.  Maintain the safety of the general public.  Sustain the industrial and economic base.

15 Elements of a Viable COOP Capability Essential functions:  Most important planning element  Basis for determining resource requirements:  Staff  Vital information/critical systems  Equipment  Supplies and services  Facilities

16 Elements of a Viable COOP Capability Identifying/Prioritizing Essential Functions  Agencies must determine functions that must be continued in all circumstances.  Essential functions include those that:  Cannot be interrupted for 12 hours.  Must be resumed within 30 days.

17 Elements of a Viable COOP Capability Essential functions include all functions:  Explicitly assigned by law or order of the President.  Determined by the agency head to be essential.  That provide vital support to another Federal Executive Branch department or agency.

18 Elements of a Viable COOP Capability Staff required to support essential functions:  Number  Skills  Experience  Availability  Timing of requirement Staffing

19 Elements of a Viable COOP Capability Delegations of Authority:  To ensure the continued operation of departments/agencies and their essential functions  To ensure rapid response to any emergency situation requiring COOP implementation

20 Elements of a Viable COOP Capability Delegations of Authority specify... Who is authorized to make decisions or act on behalf of the department/agency head and other key officials for specific purposes during COOP emergencies

21 Elements of a Viable COOP Capability Delegations of Authority Purposes:  Approving emergency policy changes  Approving changes in SOPs  Empowering designated representatives to participate as members of interagency emergency response teams to act on behalf of the agency head

22 Elements of a Viable COOP Capability Purposes:  Making personnel management decisions  Approving commitment of resources  Signing contracts Delegations of Authority

23 Elements of a Viable COOP Capability Orders of Succession are...  Provisions for the assumption of senior agency leadership positions during an emergency when...  The incumbents are unable or unavailable to execute their legal duties.

24 Elements of a Viable COOP Capability Orders of Succession  Should be established for:  The agency head  Officials down to and including office directors responsible for performing essential functions  Are required by Presidential Executive Order for the heads of cabinet-level departments and agencies

25 Elements of a Viable COOP Capability Alternate Facilities are: Locations, other than the normal facility, used to carry out essential functions in a COOP situation.

26 Elements of a Viable COOP Capability Alternate Facilities Desirable characteristics:  Located at a safe distance from and secured against worst-case and most-likely scenarios  Can be operational in 12 hours or less  Provide sufficient space, equipment, supplies, and services to support COOP personnel in the performance of essential functions

27 Elements of a Viable COOP Capability Alternate Facilities Desirable characteristics:  Supports required communications and IT infrastructures  Provides for food, lodging, health, sanitation, and security needs of COOP personnel on site or nearby

28 Elements of a Viable COOP Capability Interoperable Communications are: Communications that provide the capability to perform essential functions, in conjunction with other agencies and organizations, until normal operations can be resumed.

29 Elements of a Viable COOP Capability Interoperable Communications  Support performance of essential functions  Provide capability to communicate within the organization  Provide connectivity to outside agencies/ customers  Ensure access to data, systems, and services

30 Elements of a Viable COOP Capability Vital Records are: 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.  Legal and financial records.

31 Elements of a Viable COOP Capability Emergency operating records:  Plans and directives  Orders of succession  Delegations of authority  References for performing essential functions Vital Records

32 Elements of a Viable COOP Capability Legal and financial records:  Personnel records  Social Security records  Payroll records  Retirement records  Insurance records  Contract records Vital Records

33 Elements of a Viable COOP Capability Vital Records  Every Federal agency must have a vital records program.  An effective vital records program provides for the identification, protection, and ready availability of:  Vital records  Databases  Hardcopy documents

34 Elements of a Viable COOP Capability Human Capital Management is: The sum of the talent, energy, knowledge, and enthusiasm that people invest in their work.

35 Elements of a Viable COOP Capability Human Capital Management  The right people in the right jobs to perform essential functions  Ensures that all employees have a clear understanding of what to do in an emergency  Includes protocols for identifying/assisting special-needs employees

36 Elements of a Viable COOP Capability Human Capital Management  Invests in training and development to build skills and competencies to increase employee flexibility  Considers alternate assignments for nonemergency employees

37 Elements of a Viable COOP Capability Human Capital Management: Non-ERG Members  Tell non-ERG members:  Where to go.  What to do.  Include employee accountability procedures  Include recall/activation procedures FPC-65 provides general guidance on non-ERG employee work options.

38 Elements of a Viable COOP Capability Tests, training, and exercise program includes: Measures to ensure that an agency’s COOP program is capable of supporting the continued execution of its essential functions throughout the duration of the COOP situation.

39 Elements of a Viable COOP Capability TT&E Program Goals  Train ERG members in functional areas of mission readiness  Provide opportunities to acquire skills and knowledge required to perform assigned ERG role  Build team unity  Reflect lessons learned from TT&E events, current COOP information, and training needs

40 Elements of a Viable COOP Capability Devolution is: 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.

41 Elements of a Viable COOP Capability Reconstitution is: The process by which agency personnel resume normal agency operations from the original or replacement primary operating facility.

42 Elements of a Viable COOP Capability Reconstitution 1. Inform all personnel that the threat no longer exists, and provide instructions for resumption of normal operations. 2. Supervise an orderly return to the normal operating facility or movement to another operating facility. 3. Report status of relocation to agency partners/customers. 4. Conduct an after-action review.

43 COOP Impacts How will a COOP event affect your organization, you, and your family?

44 COOP Impacts Impact on the Organization:  Leadership  Operations  Security  Communications A viable COOP plan will minimize the adverse impacts of a COOP event!

45 COOP Impacts You and your family:  Uncertainty  Personal and family security  Job security  Economic well-being A viable COOP plan and a family support plan will minimize the adverse impacts of a COOP event!

46 COOP Impacts Employee and Family COOP and family support plans should:  Include personnel accountability procedures.  Provide a means for keeping employees informed.  Provide information to all employees so they can develop their family emergency plans.  Provide information about family support services near the alternate site.

47 COOP Impacts Employee and Family Family emergency plans should include:  Contact and communications information.  Immediate Emergency Checklist:  Medical  Financial  Automobile/Transportation  Legal/Administrative  Important documents

48 Course Wrapup  The COOP program provides the capability to continue essential government services through any emergency  Viable COOP programs include comprehensive plans, tests, training, and exercises to ensure desired capabilities are achieved/maintained.  COOP emergencies can disrupt all organizations for a time and can threaten our well-being and that of our families.

49 Course Wrapup Your support of your organization’s COOP program and a good family support plan can minimize adverse impacts and promptly restore normal government operations and family life.


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