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Coop awareness training
- 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.
Editor's Notes
- Welcome the students to the Continuity of Operations (COOP) Awareness Course. Explain that the course was developed by the Office of National Security Coordination (ONSC), FEMA, DHS. Thank the students for attending. Tell the group that this course provides an overview of COOP, tailored for a broad audience of Federal, State, and local government employees who should be aware of COOP concepts, elements, and standards. Point out that this course provides information of value to students who are or might be assigned to an Emergency Relocation Group (ERG) or who need an understanding of how a COOP event could affect them and their organizations. Introduce yourself and the other instructors. Provide your: Name. Affiliation. Experience with COOP. Ask each student to introduce him- or herself briefly. Make any necessary administrative announcements, including restroom locations, site security, use of cell phones, etc.).
- Tell the group that during this course, they will learn: COOP, COOP terms, and the benefits of COOP planning. The elements of a viable COOP capability. About how a COOP event might affect them, their organizations, and their families. Explain that this material, together with the students’ questions and comments, should help them understand the part they might play as members of their organizations’ COOP teams or, if not members of the COOP team: How a COOP event could affect them and their families. How they can contribute to restoring their organizations to full capability after a COOP event.
- Tell the group that the topics that will be covered in this course include: COOP Definition and Scope. Authority for COOP. DHS’s Role in COOP. COOP Overview Elements of a Viable COOP Capability. COOP Impacts Explain that, at the end of this course, the students will be asked to comment on how well the course objectives were met and how the course could be improved.
- Define COOP by explaining that COOP includes. . . The activities of individual departments and agencies and their subcompartments to ensure that their essential functions are performed. Stress the following points: Governments at all levels have a fundamental responsibility to provide uninterrupted essential services to the public, regardless of circumstances. The key component of this definition is essential functions, which will be discussed in detail during this course. COOP planning must incorporate a wide range of emergencies and events, whether natural, manmade, or technological in nature.
- Ask the group: What is involved in plans and procedures to ensure that essential functions are performed? If not mentioned by the group, explain that plans and procedures include those that: Delineate essential functions. Specify succession to office and the emergency delegation of authority. Provide for safekeeping of vital records and databases. Identify alternate operating facilities. Provide for interoperable communications. Validate the capability through tests, training, and exercises.
- Tell the group that the legal basis for COOP planning was Executive Order (EO) 12656, Assignment of Emergency Preparedness Responsibilities. This EO was augmented by Presidential Decision Directive (PDD) 67, which carried the directive authority for more than 100 departments and agencies of the Executive Branch. PDD 67 guides the Legislative and Judicial branch COOP programs as well. Explain that PDD 67 is classified, but its requirements and concepts have been developed by FEMA into a comprehensive, unclassified set of guidelines for COOP that can be adapted for use at the State and local levels as well.
- Ask the group: So, why is FEMA conducting this training? If not mentioned by the group, explain that PDD 67 tasks FEMA as the lead agent for Federal Executive Branch COOP.
- Tell the group that when FEMA became part of the Department of Homeland Security in March 2003 as DHS’s Emergency Preparedness and Response Directorate, responsibility as lead agent was transferred to DHS, then redelgated to FEMA. Ultimately, FEMA’s Office of National Security Coordination (ONSC) is responsible for issuing guidance that will promote an understanding of and compliance with Federal mandates and requirements. Summarize by explaining that this course is one of several means by which FEMA fulfills its responsibility.
- Explain that Federal Preparedness Circular (FPC) 65 was written by the Interagency COOP Working Group to provide guidance and capture best practices for COOP planning. Point out that FPC 65 is the basis for much of the information that will be covered in this course. Tell the group that a copy of the FPC is located in the reference section of the Student Manual.
- Stress that COOP is a good business practice. Explain that COOP planning is part of the fundamental mission of government as responsible and reliable public institutions. Today’s changing threat environment and recent emergencies, including localized acts of nature, accidents, technological emergencies, and military or terrorist attacks have increased the need for COOP capabilities and plans. Provide example of the types of incidents for which COOPs may be implemented: Natural hazards: Hurricane, earthquake, or flood. Manmade hazards: A careless construction worker hits a natural gas line, causing a fire and explosion that burns down your agency’s building. Technological: A computer virus damages critical databases and cripples local area networks. National security emergencies: A “dirty bomb” contaminates a wide area in downtown DC. Point out that the private sector also does COOP planning—but refers to it as Business Continuity Planning—or BCP.
- Present the following key points about the objectives of COOP planning: COOP planning ensures that the capability exists to continue essential agency functions across a wide range of hazards. This is the overarching objective. A viable COOP plan Ensures the continuation of vital government services that protect the public and critical infrastructure by reducing loss of life and damage to and losses of critical infrastructure. Includes instructions and procedures for keeping employees safe during the course of an emergency and protecting facilities from further damage. Occupant Emergency Plans (OEPs), including sheltering in place, also reduce loss of life, but are not part of COOP. They are the responsibility of the organizational health and safety officials or building owners, not COOP managers. A viable COOP plan ensures that a succession of qualified leaders is ready to step in and provide continuity of leadership if principal leaders are unavailable. It also: Seeks to minimize disruptions to vital agency operations. Provides a safe, secure, and well-equipped facility for the performance of essential functions during a COOP emergency. Protects resources, infrastructure, and other support needed to continue essential operations. Ensures that the necessary resources and procedures are in place to support a timely and orderly recovery from an emergency. Ensures, through a structured program of periodic tests, training, and exercises that COOP staff and other resources are sufficient to support successful COOP operations and that COOP procedures work as intended.
- Point out that COOP plans must: Be capable of implementation anytime, with and without warning. Agencies must have implementation plans and procedures in place for emergencies that occur with or without warning, during duty and nonduty hours. Provide full operational capability for essential functions not later than 12 hours after activation in all circumstances. Be capable of sustaining operations for up to 30 days. Agencies must develop operating procedures and acquire resources necessary to sustain operations for up to 30 days. Include regularly scheduled tests, training, and exercises to ensure that COOP plans are viable. Agencies must train members of their emergency staff and practice COOP procedures to ensure that their skills and knowledge stay current. Equipment and communications should be tested periodically to ensure that they are operable.
- Tell the group that this slide presents the elements of a viable COOP capability. Explain that all elements are needed to provide a complete and effective COOP capability. Transition by explaining that each of these elements will be described more fully on the slides that follow.
- Define essential functions as 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. Point out that essential functions are the foundation for COOP programs and plans. For an agency that is at the beginning stage of COOP planning, determining essential functions must be completed before moving onto any other area.
- Stress that the key to a viable COOP capability is the correct identification of the organization’s essential functions. Point out that, while all functions performed by an organization are important, not all are essential. Explain that in a recent audit, the GAO found that many departments and agencies failed to include high-impact services in their list of essential functions. Continue by reminding the group that all COOP resource requirements are determined by who and what are required to perform essential functions during COOP operations.
- Explain that essential functions are the agency’s business functions that must continue with no or minimal disruptions. To have a successful COOP program, agencies must first determine what their essential functions are. Point out that essential functions are, in large measure, based on the agency’s customers and their needs. Assigning a priority to the customers’ needs will help COOP planners to distinguish between essential and nonessential functions. Stress that identification of essential functions will be different for each organization and will depend greatly on the type(s) of services the agency provides. For example, during an emergency, the Social Security Administration may need to continue a scaled-back version of the same basic services it provides during normal operations. FEMA, however, may provide services during an emergency that aren’t normally performed at any other time.
- Remind the group that, when identifying essential functions, they must include all functions that: Are explicitly assigned by law or by order of the President. Are determined by the agency head to be essential. Provide vital support to another Federal Executive Branch department or agency.
- Explain that COOP staffing should be based on essential functions. COOP personnel should be selected based on the number and types of essential functions to be performed and on the timeframe in which they must be performed. Stress that personnel assigned to COOP roles should be experienced and well versed in the agency’s mission and functions. They should have the specific skills, experience, training, and credentials required for the essential functions they will perform. For example, any essential function that involves financial transactions should be staffed by individuals who have the proper financial and contracting authorities. Suggest that management should consider other factors when determining staffing. These factors may include the employee’s: Personal status. Ability to work long hours without causing hardship to the family. Ability to work under stress and difficult physical conditions. Emphasize that there should be candid discussions between management and potential ERG personnel regarding the COOP assignment to ensure that staff members can and are willing to serve on the COOP team. Stress that the COOP roster should include backup personnel who have the same skills, experience, and training as the primary staff members and who have security clearances and other authorizations, if they are required for the position.
- Explain that delegation-of-authority planning is not exclusive to COOP. It is actually necessary for day-to-day operations. Delegations of authority should be determined before an emergency or COOP activation to ensure continued operation of essential functions. Point out that COOP delegations of authority are important to streamlining procedures and cutting out the “red tape” that could hamper emergency operations.
- Explain that delegations of authority specify. . . Who is authorized to make decisions or act on behalf of the department or agency head and other key officials for specific purposes during COOP emergencies. Make the following key points about delegations of authority: Delegations should be predetermined and documented in writing. Generally, predetermined delegations of authority would take effect when normal chains of command are disrupted and would terminate when the chains of command have been reestablished. Delegations of authority should take effect during periods when those in charge are absent or unavailable due to travel. Delegations of authority should state explicitly the authority of designated successors to exercise department or agency direction, including any exceptions, and the successor’s authority to redelegate functions and activities, as appropriate. Delegations of authority should spell out clearly any limitations on the authority to be delegated.
- Tell the group that this slide presents some of the purposes of delegations of authority.
- Tell the group that this slide presents some additional examples of the purposes for delegations of authority. Caution the group that there may be legal restrictions on the authorities that can be delegated. To avoid problems during an emergency, urge the group to have all delegations of authority reviewed by the agency’s Office of General Counsel.
- Define orders of succession as. . . Provisions for the assumption of senior agency leadership positions during an emergency in the event that the incumbents are unable or unavailable to execute their legal duties. Point out that orders of succession allow for an orderly and predefined transition of leadership within an organization. Distinguish between delegations of authority and orders of succession by telling the group that: Delegations of authority are specific and limited. Successors to a senior leadership position are vested with all—or most—of the authorities and powers of the incumbent.
- Point out that orders of succession should be established for all senior leadership positions with responsibility for the performance of essential functions. Orders of succession are required by Presidential Executive Order for the heads of cabinet-level departments and agencies. Provide the following examples of orders of succession: The Department of Defense names 42 successors to the Secretary. The Department of the Treasury names 15 successors. Summarize this discussion by explaining that, at levels below the agency head, three successors is generally adequate. Urge the group to become familiar with their departments’ or agencies’ orders of succession.
- Define alternate facilities as. . . Locations, other than the normal facility, used to carry out essential functions in a COOP situation. Point out that selecting the right alternate facility and preparing it to conduct and support COOP operations is critical to COOP planning.
- Tell the group that this slide and the next present the characteristics of an alternate facility. Alternate facilities must: Be out of harm’s way, yet accessible to the ERG. When selecting an alternate facility, use both worst-case and most-likely scenarios as a guide to just what “in harm’s way” is. Be operational in 12 hours or less. Provide sufficient space, equipment, supplies, and services to support the ERG in the performance of essential functions.
- Continue describing the desirable characteristics of alternate facilities: They must: Be able to support the required communications and IT infrastructures. Provide food, lodging, health, sanitation, and security needs of COOP personnel, either on site or nearby.
- Point out that, after selecting an alternate facility, the agency must prepare it to support COOP operations. One of the resources the alternate facility must provide is interoperable communications. Explain that 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. Stress that interoperable communications means that ERG personnel must be able to communicate: Externally with the organization’s customers and business partners. Internally with the organization’s leadership and coworkers. Even if the primary means of communication fails! Remind the group that they will need contact lists, address books, and a card file to ensure that they can communicate with their customers.
- Explain that: Interoperable communications must support the execution of the agency’s essential functions and must ensure the capability to communicate or establish connectivity with internal agency organizations, as well as outside organizations and customers. The key is connectivity. Interoperable communications are communications that are compatible with communications capabilities used by internal and external organizations and that will permit access to the agency’s data, systems, and services. Federal departments and agencies at the headquarters level must ensure their ability to communicate with the FEMA Operations Center and the Homeland Security Operations Center. That means they must have communications capabilities that are compatible with those used by these organizations. Federal departments and agencies must also be able to communicate with other departments and agencies at their alternate sites. ERG members should have cell phone and home phone numbers of other key Federal personnel readily available.
- Define vital records as. . . Electronic and hardcopy documents, references, and records needed to support essential functions during a COOP situation. Explain that there are two types of vital records: Emergency operating records Legal and financial records Tell the group that the kinds of vital records will be described on the next slides.
- Tell the group that the two categories of vital records identified in the definition were established by the National Archives and Records Administration—or NARA. (See 36 CFR 1236.) This slide shows the types of emergency operating records: Plans and directives Orders of succession Delegations of authority References for performing essential functions
- Tell the group that this slide shows the various types of legal and financial records: Personnel records Social Security records Payroll records Retirement records Insurance records Contract records Point out that, in addition to these two categories of records, COOP personnel may also require other materials and resources. If so, these materials and resources should be considered “vital” for COOP, even through they may not fit into the two NARA-defined categories.
- Tell the group that an effective vital records program should account for the identification, protection, and ready availability of vital records, databases, and hardcopy documents needed to support essential functions. Explain that, because vital records are critical to the performance of essential functions, they must be accessible within 12 hours of COOP activation—either electronically or in hardcopy. For those organizations whose missions cannot be interrupted for any period of time, vital records must always be readily available. Point out that most agencies choose to maintain the records electronically because of the ease of updating the records and copying them at an offsite location. Stress that the methods of preserving vital records should be defined in the records management policy and in the COOP plan.
- Define human capital management as. . . The sum of the talent, energy, knowledge, and enthusiasm that people invest in their work.
- Explain that effective human capital management: Places the right people in the right jobs to perform the agency’s essential functions most effectively. Ensures that all employees have a clear understanding of what they are to do in an emergency. Includes specific protocols for identifying and assisting special-needs employees. Stress that agency leaders and personnel managers have a challenging job to plan and manage their employees in emergency situations. Emphasize that employees must be kept informed during emergencies whether they work at the COOP site or not. Explain that poor emergency communications with employees can lead to unnecessary anxiety or indifference in the workforce, draining the agency’s capability to perform its COOP mission.
- Continue describing the characteristics of effective human capital management by explaining that it: Invests in training and development to build skills and competencies required to increase employee flexibility. Considers alternate assignments for nonemergency employees.
- Stress the need to keep all employees informed during the course of an emergency so that they can be ready to go back to work when recalled or to support their agencies’ efforts from home. (Explain that some employee work options include working from home or from leased space in a telework center.) Point out that, in a COOP event, most employees will be expected to: Go home. Remain available. Wait for further direction. Remind the group that it is management’s responsibility for knowing where all employees are and how to contact them.
- Define tests, training, and exercises (TT&E) as. . . 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. Stress that TT&E is a significant part of a viable COOP capability. Explain that implementing a progressive TT&E program ensures that: All equipment and systems work as required. Employees are able to deploy to the alternate facility within the required timeframe. The alternate facility includes everything that is needed for the ERG to perform the agency’s essential functions.
- Suggest that the students consider TT&E program goals as they develop their TT&E programs. Explain that a progressive TT&E program: Trains ERG members in the functional areas required for mission readiness. The TT&E program should consist of the right kind of training for the agency’s personnel—it needs to prepare them to be ERG members. Provides opportunities to acquire the skills and knowledge ERG members require to perform their assigned roles. Builds team unity. Reflects lessons learned from TT&E events, current COOP information, and training needs.
- Define devolution as. . . 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. Point out that a devolution plan is an extension of an organization’s concept of operations for COOP. It is a way of ensuring a COOP capability in the event COOP personnel are unable to perform the COOP mission or the alternate facility is unavailable to support it. Explain that a devolution plan can be activated for a range of reasons and scenarios. Any event—whether natural or manmade—that renders personnel or an alternate facility unable to support COOP operations can result in an activation of the plan. Additionally, any event that might be accompanied by or followed by secondary events, such as aftershocks or cascading information systems failures, could also result in an activation of the devolution plan. Stress that, for these reasons, agency devolution plans should: Identify likely triggers. Describe how and when devolution will occur. List the resources—people, equipment, and materials—that will be required to continue essential functions and sustain operations.
- Define reconstitution as. . . The process by which agency personnel resume normal agency operations from the original or a replacement primary operating facility. Explain that agencies must identify and outline a plan to return to normal operations after agency heads or their successors determine that reconstitution operations can begin. Stress that reconstitution is complex, and suggest strongly that agencies appoint a Reconstitution Manager.
- Tell the group that this slide lists the basic steps in the reconstitution process. When notified that reconstitution can begin, all employees must be informed that the threat no longer exists, provided with the schedule for implementing reconstitution, and the steps that they should take. Supervise an orderly return to the normal operating facility or movement to another operating facility. Reconstitution will require the actual transfer of materials, personnel, supplies, and equipment to the original facility, a new permanent facility, or a temporary facility. Report the status of relocation to agency partners and customers. Agencies will need to notify their operations centers, customers, and other contacts that the transfer back to normal operations has begun. Conduct an after-action review of COOP operations. An actual COOP deployment will offer insight into the strengths and weaknesses of the agency’s COOP program. Capitalize on the lessons learned about the COOP capability by conducting an after-action review to identify those areas that require corrective action.
- Introduce this topic by reminding the group that this course has: Defined COOP. Described the benefits of a viable COOP plan to the organization. Covered the elements of a viable COOP capability. Transition to this topic by telling the group that the course will close with a brief discussion of how a COOP event is likely to affect the organization, employees, and their families.
- Remind the group that an event serious enough to warrant execution of a COOP plan will have adverse impacts on the entire organization. Explain that the severity of the impact depends on the nature and severity of the emergency and could range from a little to a lot. Normal lines of direction and control may be disrupted. Normal operations will be disrupted for a brief time or until reconstitution is completed after the emergency ends. Normal security arrangements will be disrupted and the organization could be vulnerable to further disruptions until the COOP site is activated and all employees get home or to a safe location. Normal communications links and methods will be disrupted until the COOP site is up and running and reconstitution is complete. Stress that a comprehensive COOP capability will minimize these impacts.
- Point out that this slide lists potential issues for employees and their families in the event of an emergency requiring a COOP response. Emphasize that these issues may impact all employees, whether they are members of the ERG or not. Stress that a comprehensive COOP plan that includes a family support plan will minimize these impacts.
- Describe the key components of COOP family support plans. Family support plans should: Provide personnel accountability procedures. Upon activation of a COOP during duty hours, supervisors will be responsible for accounting for their subordinates. All supervisors are responsible for maintaining an employee contact list and keeping informed about employee status. Provide a means for keeping employees informed. In the event of COOP activation, the first order of business for all employees should be to contact a family member and ensure him/her that they are safe. The agency’s COOP plan should include an emergency call-in number where employees and their families can call in to receive information. The plan should also provide for two-way communications between employees at the alternate site and their families. Provide information to help employees develop their family emergency plans. There are many resources available to the general public to help employees develop family support plans. FEMA and the American Red Cross have website links that contain practical guidance and checklists on family emergency response planning. (A good source of information can be found at: www.ready.gov.) Provide information about family support services at or near the alternate site.
- Point out that developing a family emergency plan is important for any emergency, not just COOP. Stress that this slide presents the minimum that should be included as part of a family emergency plan. Distribute the Family Emergency Planning Checklist. Urge the students to use the checklist as a guide to developing their family emergency plans.
- Wrap up this course by presenting the following key points: Most emergencies, even very severe emergencies, are temporary conditions. 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 that desired capabilities are achieved and maintained. Completing COOP planning and conducting TT&E helps ensure that the government can continue providing essential services to the public and preserve constitutional government. Viable COOP plans enable a prompt response to emergencies and facilitate the timely return to normal operations. COOP emergencies can disrupt all organizations for a time and can threaten our well-being and that of our families.
- Complete the course by stressing that employee support of their organization’s COOP program and a good family support plan can minimize adverse impacts and promptly restore normal government operations and family life. Stress that whether employees are members of their organizations’ ERG or not, these are challenging times and the time and effort employees spend preparing a family support plan could provide a substantial return in terms of family safety and peace of mind.