Presentation on theme: "Unit Introduction and Overview"— Presentation transcript:
1 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.
2 The 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, requiringregular review and revision.
3 The Purpose of COOP Planning To ensure the continued operation of departments and agencies and their essential functions.To ensure the rapid response to any emergency situation requiring COOP plan implementation.
4 The COOP Planning Model Initiate the COOP Planning ProcessDistribute, Maintain, and Update the PlanConduct a Risk AnalysisTest, Train, and Exercise the PlanConduct an Impact AnalysisDesign and Build the PlanDetermine Essential Functions
5 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.
6 Step 1: Initiate the COOP Planning Process Selecting the Planning TeamInclude members from each functional area, and:Information Technology.Human Resources.Accounting/Finance.The Office of General Counsel.
7 Step 1: Initiate the COOP Planning Process Identifying planning resources:PhotocopyingSuppliesMileage (or fleet vehicle costs) for travel to potential alternate facilitiesTraining rooms, materials, supplies, equipment, and instructorsMeeting roomsOther program needs
8 Step 1: Initiate the COOP Planning Process Establish Objectives and MilestonesObjectives should be measurable sothat you:Know when the objective has been met.Know whether the objective is acceptable in terms of quality, timeliness, and other established criteria.
9 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.
10 Step 2: Conduct a Risk Analysis Risk analysis helps to:Narrow the range of incidents requiring planning.Prioritize according to risk.Plan for the highest-risk hazards first.
11 Step 2: Conduct a Risk Analysis Sources of Information:The local hazard analysisHistorical informationDirective
12 Step 2: Conduct a Risk Analysis Determine vulnerability to identify risks that are:Inherent to the agency’s location.Inherent to the facility.Most critical for agency personnel.
13 Step 2: Conduct a Risk Analysis Steps for conducting a vulnerability analysis:Develop a hazard profile.Check assumptions.Develop an area profile.Identify vulnerabilities.
14 Step 3: Conduct an Impact Analysis 4 = 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.
15 Step 4: Determine Essential Functions Use a system:Identify all agency functions.Identify essential functions.Prioritize the functions.Identify critical support resources.
16 Step 5: Design and Build the Plan FPC planning guidanceAppendix D Template
17 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.
18 Step 7: Distribute, Maintain, and Update the Plan Factors to consider:AccountabilityVersion controlSecurity
19 COOP Plan Organization Part I: IntroductionPart II: Planning BasisPart III: Procedures for Plan ImplementationPart IV: Maintaining COOP Readiness
20 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)
21 Concept of Operations Phase I: Activation and Relocation (0-12 hours) LeadershipOrders of successionDelegations of authorityDevolutionCOOP implementation decision processAlert, notification, and implementation
22 Concept of Operations Phase II: Onsite Operations (from 12 hours to 30 days)OperationsMission-critical systemsVital records and databases
23 Concept of Operations Phase III: Reconstitution Recovery Mitigation Termination
24 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.
25 Developing COOP Procedures Why are COOP procedures important?
29 What is Continuity of Operations? Day-to-day operations. COOP vital files, records,and databases:Identification of materials and resourcesRecurring and systematic updatesResource protection measures
30 Phase I: Activation and Relocation Activation proceduresAlert/notification proceduresDeployment procedures
31 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.
32 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.
33 Phase I: Activation and Relocation Deployment procedures:Deployment instructionsMap/directions to the alternate facilityDescription of “go kits” and instructions for their useAdministrative and logistics information
34 Phase II: Alternate Facility Operations Phase II procedures:Personnel accountabilityStatus reportingCommunications/information technologyOrders of succession and delegations of authority
35 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.
36 Phase II: Alternate Facility Operations Status reporting:Purpose of status reportsReport formatPreparation, review, and approvalSubmissionFrequency
38 Phase II: Alternate Facility Operations Information technology:General computer/laptop useSetting up/changing passwordsAccessing the networkAccessing the InternetAccessing data stored on the serverAccessing
39 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.
40 Phase III: Reconstitution Reconstitution procedures:Personnel notificationTransfer of COOP materials
41 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.
42 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.
43 Summary and Transition This unit covered:Key steps in developing COOP plans and procedures.Next unit:Tests, Training, and Exercises (Unit 8)