Unit 8:Unit 8: COOP Plan and COOP Plan and ProceduresProcedures

Explain purpose of a COOP plan

Propose an outline for a COOP plan

Identify procedures that can effectively support a COOP program

Unit Objectives:

Unit 8—COOP Plan and Procedures

DefinitionDefinition

Plan that supports implementation, management, Plan that supports implementation, management,

and execution of a COOP programand execution of a COOP program

Unit 8—COOP Plan and Procedures

Purpose of a COOP PlanPurpose of a COOP Plan

To ensure the continued operation of To ensure the continued operation of Departments and Jurisdictions and their Departments and Jurisdictions and their essential functionsessential functions

To ensure rapid response to any emergency To ensure rapid response to any emergency situation requiring COOP Plan implementationsituation requiring COOP Plan implementation

Unit 8—COOP Plan and Procedures

I. Executive Summary

II. Introduction

III. Purpose

IV. Applicability & Scope

V. Essential Functions

VI. Authorities & References

Main Sections of a Viable COOP Plan

Unit 8—COOP Plan and Procedures

VII. Concept of Operations

VIII. Logistics

IX. Training, Testing & Exercising

X. Multi-Year Strategy & Program Management Plan (MYSPMP)

XI. COOP Plan Certification

XII. COOP Plan Distribution

XIII. Annexes

Main Sections of a Viable COOP

Plan (cont.)

Unit 8—COOP Plan and Procedures

I. Executive Summary

Unit 8—COOP Plan and Procedures

Briefly Outline the Organization and content of the COOP Plan Describe what it is and whom it affects Circumstances under which it should be executed Should discuss the key elements of COOP planning and explain implementation strategies

II. Introduction

Unit 8—COOP Plan and Procedures

Should explain the importance of COOP planning to the organization Discuss the background for planning, citing recent events

III. Purpose

Unit 8—COOP Plan and Procedures

Should explain why the organization is developing a COOP plan

Briefly discuss applicable Federal guidance

Federal Preparedness Circular 65

FEMA guidance on COOP plans for State and Local Governments

FEMA COOP plan template instructions

To ensure the continuity of mission essential functions

COOP plan is all hazards

IV. Applicability and Scope

Unit 8—COOP Plan and Procedures

Applicability of the plan to the organization as a whole

Should address the full spectrum of potential threats, crises and emergencies (natural as well as man-made)

V. Essential Functions

Unit 8—COOP Plan and Procedures

Should be prioritized essential functions that must be continued under any and all circumstances

Establish staffing and resource requirements

Integrate supporting activities

Critical Processes and Services

Develop plan to perform additional functions as the situation permits

VI. Authorities and References

Unit 8—COOP Plan and Procedures

List documents that provide legal authority for the plan and briefly summarize the scope of that authority

Reference documents might include those relating to the mission of the department or jurisdiction

VI. Authorities and References (cont)

Some examples are: Continuity of Operations (COOP) Plan

Template, Federal Emergency Management Agency (FEMA)

Continuity of Operations (COOP) Plan Continuity of Operations (COOP) Plan Template Instructions, FEMATemplate Instructions, FEMA

Federal Preparedness Circular (FPC) 65, Federal Preparedness Circular (FPC) 65, June 15, 2004June 15, 2004

Unit 8—COOP Plan and Procedures

VI. Authorities and References (cont)

Interim Guidance on Continuity of Interim Guidance on Continuity of Operations Planning for State and Local Operations Planning for State and Local Governments, May 2004Governments, May 2004

The State of Maryland, State Agencies The State of Maryland, State Agencies Continuity of Operations Planning Manual, Continuity of Operations Planning Manual, January 2004January 2004

U.S. General Services Administration U.S. General Services Administration (GSA), Draft Continuity of Operations Plan - (GSA), Draft Continuity of Operations Plan - 20022002

Unit 8—COOP Plan and Procedures

Phase I: Activation and Relocation (0–12 hours)

Phase II: Alternate Facility Operations (12 hours up to 30 days)

Phase III: Reconstitution (Recovery, Mitigation, Termination)

VII. Concept of Operations

Unit 8—COOP Plan and Procedures

Phase I: Activation and Relocation (0–12 hours)

Leadership

Orders of Succession

Delegation of Authority

Devolution

COOP Implementation Decision Process

Alert, Notification and Implementation Process

VII. Concept of Operations (cont.)

Unit 8—COOP Plan and Procedures

Phase II: Alternate Facility Operations (12 hours–30 days)

Operations

Mission Critical Systems

Vital Records and Databases

Plan for reconstitution

VII. Concept of Operations (cont.)

Unit 8—COOP Plan and Procedures

Phase III: Reconstitution (Recovery, Mitigation, Termination)

Identify the objectives needed to return to normal operations at the primary or a new facility

Should consider appointing a reconstruction manager and team responsible for:

Develop space allocation and facility requirements

VII. Concept of Operations (cont.)

Unit 8—COOP Plan and Procedures

VII. Concept of Operations (cont.)

Develop a time-phase plan for orderly return to normal operations

Ensure facility is structurally safeEnsure facility is structurally safe Secure space utilizing appropriate State or

local procurement process Make necessary notificationsMake necessary notifications Transfer information and resources from Transfer information and resources from

alternate facility with minimal disruptionalternate facility with minimal disruption

Unit 8—COOP Plan and Procedures

Alternate facility (risk assessment completed in advance)

Annex D provides a worksheet to identify facility requirement by critical function

Resource management

Emergency Drive-Away Kits

Employee Support

Transportation, lodging, and food

VIII. Logistics

Unit 8—COOP Plan and Procedures

IX. Training, Testing, and Exercising

Unit 8—COOP Plan and Procedures

Training Regularly scheduled for all personnel COOP orientation for new employees Annual COOP awareness briefing for all employees Annual team training of COOP team members Refresher orientation for COOP team at alternate facility Utilize checklists Exercise the plan

IX. Training, Testing, and Exercising (cont)

TestingTesting Program to evaluate the logistical Program to evaluate the logistical

support, servicessupport, services and infrastructureand infrastructure Water, electrical, heating, air conditioning, Water, electrical, heating, air conditioning,

etcetc

Vital systems should be tested annuallyVital systems should be tested annually Alert and notification systems should be Alert and notification systems should be

tested tested quarterlyquarterly

Unit 8—COOP Plan and Procedures

IX. Training, Testing, and Exercising (cont)

ExercisesExercises Carefully planned to achieve identified Carefully planned to achieve identified

goalsgoals Each exercise builds on the previous Each exercise builds on the previous

oneone Incorporates 5 types of exercises: Incorporates 5 types of exercises:

Orientation seminar, drill, tabletop, Orientation seminar, drill, tabletop, functional and full scalefunctional and full scale

Develop AAR after each exerciseDevelop AAR after each exercise

Unit 8—COOP Plan and Procedures

X. Multi-Year Strategy and Program

Management Plan (MYSPMP)

Unit 8—COOP Plan and Procedures

Establishment of review cycles Designation of a COOP review team

Responsible for overall plan currency Resolving plan policy issues Advising department heads and jurisdictions on COOP related matters Coordination among related plans

Things change, so the COOP plan needs to change as well

X. Multi-Year Strategy and Program

Management Plan (MYSPMP) (cont) Conducting training, testing and Conducting training, testing and

exercisingexercising Updating plans annually to incorporate Updating plans annually to incorporate

lessons learnedlessons learned Annex S contains sample tables to help Annex S contains sample tables to help

organize and manage a multi-year organize and manage a multi-year strategy and program management planstrategy and program management plan

Unit 8—COOP Plan and Procedures

XI COOP Plan Certification and XI COOP Plan Certification and MaintenanceMaintenance

COOP plan should be cross-walked COOP plan should be cross-walked against Federal and State plan guidance against Federal and State plan guidance provided in Annex section of COOP provided in Annex section of COOP templatetemplate

Resolution of identified deficiencies Resolution of identified deficiencies should be addressed in the should be addressed in the MYSPMP

Unit 8—COOP Plan and Procedures

XII COOP Plan DistributionXII COOP Plan Distribution

Consideration of other employees and the Consideration of other employees and the publics “right-to-know” against OPSECpublics “right-to-know” against OPSEC

Limit distribution based on “need to know”Limit distribution based on “need to know” Distribution strategy can be included as Distribution strategy can be included as

plan Annexplan Annex

Unit 8—COOP Plan and Procedures

Annex A: Definitions & Acronyms

Annex B: Hazard Vulnerability Analysis

Annex C: Operational Checklists

Annex D: Alternate Facility

Annex E: Relocation Plan

Annex F: Essential Functions

XIII Annexes

Unit 8—COOP Plan and Procedures

Annex G: Essential COOP Personnel

Annex H: Orders of Succession

Annex I: Delegation of Authorities

Annex J: COOP Response & Recovery Organization

Annex K: Vital Records

Annex L: Vital Records Protection & Recovery

XIII Annexes (cont)

Unit 8—COOP Plan and Procedures

Annex M: Vital Equipment & Systems

Annex N: Communications System

Annex O: Resource Management

Annex P: Emergency Response Plan

Annex Q: Employee & Family Support

Annex R: Training, Testing & Exercises

XIII Annexes (cont)

Unit 8—COOP Plan and Procedures

Annex S: MYSPMP

Annex T: COOP Agreements

Annex U: COOP Plan Crosswalk

Annex V: COOP Plan Distribution

XIII Annexes (cont)

Unit 8—COOP Plan and Procedures

Questions?Questions?