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1.1 What
is the purpose of this chapter?
This chapter:
A. Describes the U.S. Fish and
Wildlife Service’s (Service) policy for continuity of operations (COOP),
B. Identifies the responsibilities of
employees for COOP planning and implementation, and
C. Describes the requirements for
planning, coordination, and implementation for COOP.
1.2 Why
is COOP planning important?
COOP planning helps us ensure that we can perform essential activities and
functions during the full range of human-caused, natural, technological, and
national security emergencies.
1.3 What is the scope of this chapter?
A. This policy applies to Headquarters and our
mission essential facilities, which include all Regional offices, the
National Conservation Training Center (NCTC), and the Clark R. Bavin National
Forensics Laboratory.
B. Field stations must be included under the
Regional COOP plan or, if the Regional office believes it is necessary, have
an independent plan specific to their responsibilities (e.g., an additional
component to their station/complex disaster operations plan).
1.4 What terms do you need to know to
understand this chapter?
A.
COOP Team Member. This
is a designated member of a COOP team who is prepared to respond to
any situation that disrupts our ability to function from our primary business
location.
B. Essential Functions. These are the functions
that enable the Federal Government to provide vital services, exercise civil
authority, maintain the safety and well-being of the general populace, and
sustain the industrial/economic base in an emergency.
C. Go Kit. A go kit is a set
of pre-packaged materials that is moved to alternate facilities when a COOP
plan is activated. These include professional items (vital work-related
information, including vital personnel records) and personal items used for
sustenance (clothing, etc.). See Table 1-1.
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Table 1-1: Items to Include in Go Kit
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Professional Items
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Personal Items
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Up-to-date
essential personnel roster
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Clothing
and shoes
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Map to
alternate site
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Jacket or
sweatshirt
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Badges
and proper IDs
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Glasses
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Laptop
computer
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Medications
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USB flash
drive
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Cash or
credit cards
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Toiletries
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Personal
items needed for up to 14 days
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D. Mission Critical Employee. These are COOP team
members who are critical to the COOP mission and are expected to report for
work in accordance with their COOP plan to support and sustain Service
operations in an emergency.
E. Mission Essential Functions. These are a limited
group of Department- and Service-level functions that must be continued
throughout or resumed rapidly after a disruption of normal activities.
F. Reconstitution. Reconstitution is
the restoration of normal operations after a catastrophic event.
1.5 What
are the authorities for this chapter?
A. National Security Presidential Directive
51/Homeland Security Directive 20 (NSPD 51/HSPD 20), National
Continuity Policy.
B. 900 DM 1, Policy,
Functions, and Responsibilities of the Emergency Management Program.
C. 900 DM 2, Continuity of
Operations.
D. Department of the Interior Personnel Bulletin
No. 05-02,
Telework Policy.
1.6 What
is the Service’s policy on continuity of operations? It is our policy to:
A. Comply with the Department’s COOP policy;
B. Have in place a comprehensive and
effective COOP program to ensure continuity of essential functions under all
circumstances;
C. Allow COOP team members to telework, if
necessary and appropriate (see the Department’s Personnel Bulletin
No. 05-02,
Telework Policy); and
D. Ensure that employees at every level are
aware of the COOP program.
1.7 What is the leadership succession plan
should the Director not be available? If the Director is not available, the
leadership succession plan follows the levels of responsibility in Table 1-2
below. (Also see
Assistant Secretary for Fish and
Wildlife and Parks Memorandum dated September 25, 2009, Designation of
Succession for Presidentially-Appointed, Senate Confirmed Positions.)
1.8 Who is responsible for continuity of
operations for the Service? Table 1-2 shows responsibilities
for the Service’s COOP program.
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Table 1-2: Responsibilities for the COOP
program
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These employees…
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Are responsible for…
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A. The Director
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(1) Serving on the Secretary’s
COOP team;
(2) Leading the execution of the
Service’s essential functions, essential support activities, and
reconstitution, if he/she is not deployed with the Secretary’s COOP team
(the Deputy Director (Operations) does this if the Director is deployed
with the Secretary’s COOP team);
(3) Advising the Assistant
Secretaries and the Secretary of the Interior on our COOP plan and program;
(4) Designating a Service Emergency
Coordinator and alternate (see 090 FW 2, Emergency
Management), who are responsible for COOP planning and preparedness; and
(5) Ensuring that the Service
identifies essential functions for Headquarters and Servicewide.
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B. The Deputy Director (Policy)
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(1)
Serving as a
successor to the Director,
(2)
Serving on the
Secretary’s COOP team, and
(3)
Assisting the
Director when advising the Assistant Secretaries and the Secretary on our
COOP plan and program.
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C. The Deputy Director
(Operations)
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(1) Leading the execution of the
Service’s essential functions, essential supporting activities, and
reconstitution if the Director and Deputy Director (Policy) are deployed
with the Secretary’s COOP team;
(2) Coordinating response activities
with the Departmental COOP team and the Regions;
(3) Maintaining up-to-date orders of
succession and delegations of authority for the Headquarters COOP plan;
(4) Advising the Director on COOP
policy;
(5) Serving as the team leader for the
Service COOP team;
(6) Serving as a
successor to the Director when the Deputy Director (Policy) is unable to do
so; and
(7) Serving as a
backup on the Secretary’s COOP team if the Director or the Deputy Director
(Policy) is unavailable.
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D. The Chief - National Wildlife
Refuge System (Chief-NWRS)
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(1)
Providing overall
leadership and oversight of the Service’s COOP program,
(2) Approving the Headquarters COOP
plan, and
(3) Ensuring Headquarters
is ready to execute its COOP plan and activating it.
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E.
The
Deputy Chief - NWRS
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Activating the Headquarters
COOP plan in the absence of the Chief-NWRS.
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F.
The
Chief, Division of Refuge Law Enforcement
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(1)
Advising
the Chief-NWRS on activating the Headquarters COOP plan,
(2)
Supervising
the Service’s Emergency Coordinator and overseeing the COOP program,
(3)
Providing
operational direction for response activities involving refuge law
enforcement and security during emergencies and integrating those
requirements into the Headquarters COOP plan, and
(4)
Directing
implementation of Headquarters COOP testing, training, and exercise
activities.
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G.
Service Emergency Coordinator
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(1) Serving on the Secretary’s
COOP team;
(2)
Managing
the Service’s COOP program, interpreting policy, and providing guidance
Servicewide;
(3)
Advising
the Chief-NWRS, the Deputy Chief-NWRS, and the Chief, Division of Refuge
Law Enforcement about Headquarters plan activation;
(4) Revising and
maintaining the Headquarters plan and ensuring it conforms to applicable
mandates and guidelines;
(5) Providing for
COOP readiness and ensuring Servicewide compliance with this policy;
(6) Developing,
maintaining, and conducting exercises/tests of the Headquarters COOP plan
in coordination with the Department;
(7) Acting as a
liaison to the Departmental Emergency Coordinator on emergency management
matters;
(8) Identifying
alternate and backup positions for the Headquarters COOP personnel roster;
(9)
Coordinating
operational COOP activities;
(10) Maintaining the
Service’s Web page on the EM-SAFETALK site;
(11)
Maintaining
emergency contact information for Headquarters COOP team members;
(12) Maintaining
situational awareness and executing alerts and warnings;
(13) Providing alert
and notification messages to the Headquarters COOP team members and
alternate facility personnel; and
(14)
Coordinating
with Regional Emergency Coordinators when a Region has an active COOP
situation.
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H.
Assistant Director - Business Management and Operations (AD-BMO)
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(1) Developing and
maintaining the Headquarters occupant emergency plans;
(2) Working
with the Department’s Office of Financial Management to determine how to
fund the costs for alternate facility activation, including lodging and meal
expenses;
(3) Assuring safety
of dams and flood control activities on Departmental lands;
(4) Directing and
coordinating reconstitution activities for Headquarters staff;
(5)
Providing
safety and health, finance, engineering, space, logistics, and acquisition
support; and
(6) Providing
building status to employees in Headquarters and Washington metropolitan
region by updating the building status hotline number (202) 208-6606.
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I.
The
Assistant Director - Information Resources and Technology Management
(AD-IRTM)
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(1) Maintaining the Headquarters
Local Area Network (LAN) contingency plan;
(2) Providing
reliable communications and information technology (IT) during emergencies;
(3)
Developing
strategies, policies, or waivers of policy related to IT to allow the
execution of essential and support functions remotely during a Headquarters
COOP event; and
(4) Managing the
Service’s records management program, including vital records.
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J.
The
Chief, Office of Law Enforcement (OLE)
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(1) Serving on the Secretary’s
COOP team;
(2)
Providing operational direction for response activities involving law
enforcement special agents during emergencies and integrating those
requirements into the Headquarters COOP plan; and
(3)
Serving as successor to the Director when neither Deputy Director is
available.
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K.
The
Director, NCTC
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(1)
Providing
support to the Department’s and the Service’s COOP mission,
(2)
Acting
for the Service while the Service’s COOP leadership team is en route to
NCTC (the alternate site), and
(3)
Coordinating
with the western alternate site (Region 6 in Denver) and preparing the
Service’s COOP leadership team location for activation.
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L.
The
Assistant Director - Endangered Species
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Serving
as a successor to the Director when the Deputy Directors and the Chief, OLE
are unavailable.
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M.
The
Assistant Director - External Affairs
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(1)
Serving
as a successor to the Director when the Deputy Directors, Chief, OLE, and
the Assistant Director – Endangered Species are unavailable; and
(2)
Providing
emergency information to employees in Headquarters and the Washington
metropolitan region by updating the information on the Service’s main Web
site.
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N.
The
Assistant Director - Fisheries and Habitat Conservation
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Coordinating
with the Department’s Office of Environmental Policy and Compliance (OEPC)
on issues related to the environmental program, oil discharges and
hazardous substance releases, and application of environmental safeguards
in all-hazard emergency activities.
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O.
Assistant Director - Budget, Planning and Human Capital
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(1)
Coordinating
with the Department’s Office of Human Capital on development of policy
related to:
(a) Pay and
compensation for emergency workers, and
(b) Appropriate
support services for employees and their families affected by disasters or
other emergencies;
(2)
Ensuring
that a Service Employee Accountability Plan is in place;
(3)
Coordinating
with the Department on budget activities related to COOP activation,
including preparation of requests for supplemental appropriations; and
(4)
Coordinating
with facilities staff on building status updates.
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P.
The
Regional Director for Region 6
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(1)
Serving
as a successor to the Director when none of the officials in the sections
above are available,
(2)
Supporting
functions in the Region 6/Headquarters COOP Support Agreement, and
(3)
Maintaining
contact with the Region 6 COOP Coordinator, particularly during times of
increased threat.
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Q.
Regional Directors and the Clark R. Bavin National Forensics Lab Director
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(1)
Developing
and maintaining an individual COOP plan separate from the Headquarters plan,
(2)
Managing
and executing emergency programs and functions within their respective
areas of responsibility,
(3)
Designating
a COOP planner for their facilities,
(4)
Ensuring
timely and accurate reports are sent to the Service COOP team upon request,
(5)
Determining
the essential functions of their office,
(6) Ensuring that
training and exercises are accomplished in accordance with their COOP
plans, and
(7)
Identifying
potential COOP team members for their offices.
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R.
Regional Emergency Coordinators
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(1)
Managing
the Region’s COOP program, interpreting policy, and providing guidance;
(2)
Advising
Regional management about Regional plan activation;
(3) Revising and
maintaining the Regional plan and ensuring it conforms to applicable
mandates and guidelines;
(4) Providing for
COOP readiness;
(5) Developing,
maintaining, and conducting exercises/tests of the Regional COOP plan;
(6) Acting as a
liaison to the Service Emergency Coordinator on emergency management
matters and coordinating with him/her during a Regional COOP activation;
(7) Identifying
alternate and backup positions for their COOP personnel roster;
(8)
Coordinating
operational COOP activities for their facilities;
(9)
Maintaining
emergency contact information for Regional COOP team members;
(10) Maintaining
situational awareness and executing alerts and warnings; and
(11) Providing alert
and notification messages to Regional COOP team members and alternate
facilities.
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S.
Managers/supervisors
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(1)
Preparing
the work force to deal with a COOP plan activation by:
(a) Designating
emergency employees, mission essential employees, or other special category
employees and coordinating with the servicing Human Resources office to
have those titles added to employee position descriptions, and
(b) Ensuring that
employees have taken required training and are familiar with how to
accomplish potential COOP assignments;
(2) Taking the
following preliminary steps to ensure their employees transition smoothly
and safely from normal operations to COOP operations:
(a) Becoming familiar with human
capital strategies and policies to handle contingencies posed by COOP
operations,
(b) Accounting for their employees in
an emergency situation and reporting as described in the Service’s
Employee Accountability Plan,
(c) Maintaining protocols for
designating and activating emergency employees under their supervision,
(d) Ensuring both regular and
emergency employees have a clear understanding of their roles and
responsibilities under the COOP plan,
(e) Developing a procedure for
maintaining contact with employees during closures of Service buildings,
and
(f) Giving employees emergency guides
and preparedness information, as needed; and
(3)
Serving
as the primary point of contact for teleworkers and regular employees
granted excused leave during COOP operations in which Service buildings are
closed by:
(a) Keeping an updated employee
accountability process with current phone numbers and addresses;
(b) Attempting to verify the safety
and whereabouts of employees and sending this information to the Division
of Human Capital or following predetermined disaster/COOP requirements for
their Service location;
(c) Maintaining lines of communication
with employees to spread information and announcements, make work
assignments, and recall employees back to work; and
(d) Identifying
employees who are able to telework from residences or alternate work sites.
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T.
Employees
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(1)
Becoming
familiar with the purpose and objectives of the COOP program;
(2) Working with
their managers/supervisors to fully understand their roles and
responsibilities during COOP plan activation, including employee
accountability and any required training;
(3) Understanding
how the Service will inform and instruct them during an emergency;
(4) Remaining
accessible to managers/supervisors and being prepared to resume work at any
time (from a temporary worksite location if necessary), even during periods
of excused absence;
(5) Providing
current contact information to supervisors in case of an emergency; and
(6) Updating
emergency contact information in Employee Express, as needed.
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1.9
What do COOP team members have to do?
A.
COOP
team members bear the overall responsibility for maintaining the Service’s
essential functions during COOP operations. They must be able to perform each
of their job responsibilities under the pressures of time, relocation, and
potentially austere facilities.
B. Due to the
critical nature of their positions, COOP team members must:
(1) Read and understand the COOP plan;
(2) Read and understand any COOP-related procedures
specific to their roles and responsibilities;
(3) Understand Service essential functions, how their
office supports them, and how to maintain them during COOP operations;
(4) Understand personal roles and responsibilities during
COOP operations;
(5) Respond to COOP alerts, notifications, and deployment
instructions;
(6) Be prepared to serve at an alternate operating
facility for a period of up to 30 days, and potentially longer;
(7) If necessary, inform a manager/supervisor of their
inability to immediately relocate, and assist the manager/supervisor with
designating a qualified alternate;
(8) Identify vital files, records, and databases needed to
execute mission essential functions;
(9) Review guidelines for readiness and maintain a
constant state of personal and professional readiness;
(10) Prepare and maintain personal and
professional go kit items;
(11) Provide current contact information to
their Emergency Coordinator (Servicewide or Regional) or whoever is
responsible for updated COOP rosters;
(12) Enter into a telework agreement for
emergencies;
(13) Develop and maintain a family emergency
notification/contact plan; and
(14) Prepare for, attend, and actively
participate in COOP testing, training, and exercise activities.
1.10 What are the required elements of a viable COOP
program? At a
minimum, COOP programs must address the elements in Table 1-3.
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.Table
1-3: Required elements of a viable COOP program
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A. Plans and
Procedures
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Written plans must address, at a minimum,
the sections
described in Table 1-4.
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B. Essential Functions
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Identify and prioritize essential functions required to
provide essential services, exercise civil authority, save lives, and
protect the health and safety of the public and employees.
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C. Delegations of
Authority
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Pre-delegate authorities for making decisions about policy and
other issues. Clearly established delegations of authority are important
for ensuring that personnel know who has authority to make decisions in a
COOP.
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D. Orders of
Succession
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Establish, publish, and maintain orders of succession to key positions.
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E. Alternate Operating
Facilities
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Identify alternate location(s) where the organization can
conduct essential activities or functions. At least one location should be
physically and geographically separate from the primary location to ensure
that operations can be conducted regardless of the disruption.
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F. Interoperable
Communications
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Identify critical communications and IT systems to support
connectivity between leadership, internal organizational units, other
agencies, critical customers, and the public.
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G. Vital Records and
Databases
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Identify, protect, and make available electronic and hardcopy
documents, references, records, and information to support essential functions.
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H. Human Capital
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Designate emergency employees, mission critical employees, and
other special categories of employees. Determine dismissal or closure
procedures, how to make announcements on operating status, and how to
determine the status and location of non-emergency employees. Identify ways
to communicate with employees, making them aware of operating and facility
conditions. Determine what pay flexibilities are available and issues
related to benefits.
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I. Tests, Training,
and Exercises
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Provide a program for annual testing, training, and exercising
of COOP capabilities. Test the COOP plan and practice its implementation to
ensure the plan’s viability and identify deficiencies.
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J. Reconstitution
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Identify procedures for restoring normal operations after a
catastrophic event. Consolidate resources to allow the organization to
become fully functional; establish a new permanent operating site if
needed; move personnel, equipment, and records; and notify non-deployed
personnel to assure an orderly transition to normal operations.
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1.11
What are the requirements for developing and coordinating COOP plans?
A. Headquarters, each Region, and each
mission essential facility (NCTC and the Clark R. Bavin National Forensics
Lab) must develop and maintain a COOP plan.
B. Because COOP plans provide for
continuity of essential functions, they may encompass multiple units or
facilities in a single plan. Plans must clearly specify subordinate units
that must prepare individual COOP plans, or indicate that the subordinate
units have appended information to the plan of the parent office.
C. At the discretion of the Regional
office, units (e.g., refuges, hatcheries, etc.) within that Region may either
be included in the Regional plan or be required to develop and maintain their
own plans.
D. Occupant Emergency Plans and COOP plans must be coordinated
and mutually supportive.
1.12
What are the required elements for a COOP plan?
A. The plan must include the elements
in Table 1-3, and:
(1) Be implementable both with and
without warning;
(2) Ensure that the procedures
in the plan make essential functions operational within 12 hours
of COOP activation;
(3)
Allow for
maintaining operations for up to 30 days;
(4)
Include regularly
scheduled testing, training, and exercising of personnel, equipment, systems,
processes, and procedures to ensure that all components are functional and
effective if there is a need to activate the COOP;
(5) Include regular risk analysis
of alternate operating facilities conducted in accordance with 432
FW 1, Physical
Security in Service Facilities;
(6)
Locate alternate
operating facilities in areas where we can maximize the ability to initiate
and maintain continuity of operations by ensuring distance from primary
facilities and potential threats and hazards; and
(7)
Include procedures
for developing, maintaining, and annually reviewing COOP capabilities and
plans.
B. Table 1-4 describes the sections
that make up a COOP plan.
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Table 1-4: Sections in a COOP plan
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Section of the Plan
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Description
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A. Essential Functions
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Documents essential functions derived from planning under section B in Table 1-3, and addresses agency
interdependencies and resource requirements.
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B. Orders of Succession and Delegations
of Authority
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Documents orders of succession for key positions and
delegations provided in accordance with planning under sections C and D of Table 1-3.
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C. Alternate Operating Facility(ies)
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Designates alternate facilities derived from planning under
section E in Table 1-3.
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D. Vital Records
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Describes vital records, systems, and databases addressed
under section G in Table 1-3, their location, and
how they can be accessed.
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E. COOP Activation
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Documents the decision process for activation of COOP plans
during no-warning and warning scenarios. Includes contact numbers, radio
call signs, or other information needed to implement critical
communications system, and how those numbers and information will be maintained.
Because contact lists must be frequently revised, we recommend including
those lists as an appendix to the COOP plan.
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F. Notification and Employment
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Describes procedures and provides checklists, as needed, for
notification of alternate facilities, COOP team members, senior leadership,
and others when the COOP is activated. Also provides instructions for
moving personnel and other resources (including go kits) to the alternate
facility.
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G. Initial Operating Capability
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Describes procedures and provides reference material and
checklists, as needed, to assure COOP team and alternate facilities reach
operational status within 12 hours. Includes delineation of
responsibilities for COOP team members, alternate facility reception, and
orientation.
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H. Alternate Facility Operations
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Describes procedures and checklists, as needed, on how to:
· Order
necessary equipment and supplies that are not pre-positioned,
· Manage
situation tracking and implementation of essential functions, and
· Provide
ongoing communications with other organizational units, non-deployed
personnel, other agencies, critical customers, and the public.
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I. Reconstitution
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Provides procedures and checklists for plans developed under section J of Table 1-3 to redeploy personnel
and transition to normal operations.
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1.13 What
are the training requirements for employees involved in the COOP program? COOP planners, team members, and
their alternates must complete the National Incident Management System and
Incident Command System (ICS) training as required in the Department’s Emergency Management
Policy Guidance Bulletin 2007-1 “National Incident Management System Training
Requirements” and the December 5, 2008 Service memorandum, “National Incident
Management System (NIMS) Regional Training.” See Table 1-5 for the training requirements for
employees on the Service or the Secretary’s COOP teams.
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Table 1-5: Training Requirements for employees on the Service
or the Secretary’s COOP Teams
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Training
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Required?
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ICS- 400
Training, Classroom
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Recommended
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IS-546a
COOP Awareness Course (online Fema.gov)
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Yes
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IS-547a
Intro to COOP (online Fema.gov)
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Yes
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IS-100
ICS (online on DOI Learn OS-LE-001)
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Yes
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IS-200
ICS (online on DOI Learn OS-LE-002)
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Yes
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IS-700
NIMS, An Introduction (online on DOI Learn OS LE-007)
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Yes
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IS-800a
NRF, An Introduction (online on DOI Learn OS LE-008)
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Yes
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H-337
Classroom
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Recommended
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