coop awareness training

Continuity of Operations (COOP)

Awareness Training

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

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

COOP: Definition & Scope

COOP includes. . .

The activities of individual departments and agencies and their subcompartments to ensure that their essential functions are performed

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

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.

DHS’s role in COOP

Lead agent for Federal Executive Branch COOP Has designated FEMA as lead agent

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

COOP Overview

FPC-65 guides COOP planning in the Federal Executive Branch

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

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

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.

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


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.


Essential functions:

Most important planning element Basis for determining resource requirements:

Staff Vital information/critical systems Equipment Supplies and services Facilities


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.


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.


Staff required to support essential functions: Number Skills Experience Availability Timing of requirement

Staffing


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


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


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


Purposes:

Making personnel management decisions

Approving commitment of resources

Signing contracts

Delegations of Authority


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.


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


Alternate Facilities are:

Locations, other than the normal facility, used to carry out essential functions in a COOP situation.


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


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


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.


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


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.


Emergency operating records: Plans and directives Orders of succession Delegations of authority References for performing

essential functions

Vital Records


Legal and financial records: Personnel records Social Security records Payroll records Retirement records Insurance records Contract records

Vital Records


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


Human Capital Management is:

The sum of the talent, energy, knowledge, and enthusiasm that people invest in their work.


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


Human Capital Management

Invests in training and development to build skills and competencies to increase employee flexibility

Considers alternate assignments for nonemergency employees


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.


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.


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


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.


Reconstitution is:

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


Reconstitution1. 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.

COOP Impacts

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

COOP Impacts

Impact on the Organization: Leadership Operations Security Communications

A viable COOP plan will minimize the adverse impacts

of a COOP event!

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!

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.

COOP Impacts

Employee and FamilyFamily emergency plans should include: Contact and communications information. Immediate Emergency Checklist:

Medical Financial Automobile/Transportation Legal/Administrative Important documents

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.

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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