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Continuity of Operations Planning

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					Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006


           Appendix P: Continuity of Operations (COOP)
                         Planning Guide
The purpose of the Continuity of Operations (COOP) Plan is to provide for the continual
operation of the Region/Installation’s Mission Essential Functions (MEF) and associated
Critical Mission Facilities (CMF) throughout an emergency. The COOP Plan provides
pre-planned processes, assets, and concept of operations that the organization is required
to have in place to manage the response, recovery, and reconstitution of the MEFs after
the event. While the COOP Plan will not address every conceivable event, the COOP
Plan serves as a commonly understood point of departure from which hazard-specific
modification may be made to meet the actual circumstances of the event as it develops.

The COOP Plan should include the following functional areas:

   •   Operations
   •   Personnel
   •   Security
   •   Communications
   •   Facilities
   •   Equipment
   •   Transportation
   •   Services
   •   Information Systems/Technology
   •   Fiscal

Note that each of these functional areas must be integrated across the other supporting
plans (EM Plan, AT Plan, CIP Plan, etc) detailed in Standard 7 of Section 1 of this
manual.

The COOP Team (per Standard 6) shall develop and maintain the COOP Plan under the
auspices of the Regional/Installation EM Program.




Appendix P: COOP Planning Guide                                                       1009
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23 January 2006

                                     Operations
Operational considerations in support of COOP should include the following:

COOP Team Issues:
  1. Establish the specific criteria that trigger COOP activation.
  2. List COOP Team actions and responsibilities once the COOP Plan is activated.
  3. Develop a notional timeline of events to occur during a COOP Team activation.
  4. Identify actions to support notice and no-notice activation of the COOP Plan.
  5. Attention should be paid to shared-use and shared-access facilities, to include
      airports, highways, railroads, and port facilities.
  6. Integrate the COOP Plan with internal and external customers and partners
      (Federal, State, Local, Other Service, and/or Private (of Host Nation) agencies).
          a. Include third party suppliers and shippers (USPS, UPS, Federal Express,
              DHL, etc.) in alternate site relocation notification process.
  7. Document the external notification process.
  8. Document MOU/MOA/MAA/ISSAs with Federal, State, Local, Other Service,
      and/or Private (of Host Nation) agencies.
  9. Appendices to the COOP Plan should incorporate existing EM Plans, especially
      guidance on hazard-specific actions.
  10. Develop a standard communications plan and ensure that necessary equipment is
      in place.
  11. Incorporate means to account for all personnel in the event of evacuation.
  12. Identify a traffic management system to support all emergency access and
      evacuation routes.
  13. Integrate the COOP Plan with the EM & AT Plans.

MEF Issues:
  1. Document the operational characteristics of each MEF and associated Critical
     Mission Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of operational capability and its
     impact to the ability to support the MEF.
  3. Define the concept of operations that supports the MEF during emergency
     operations.
  4. Document the criteria and process that will be used to determine whether the
     MEF should relocate during an emergency.
  5. Document the criteria and process that will be used to determine whether the
     supporting CMFs should be recovered or replaced post-event, if such an event
     severely damages or renders inoperable the existing CMFs.
  6. Ensure that the Naval Security Force (NSF) representative is included in all
     aspects of MEF/CMF-related discussion.




Appendix P: COOP Planning Guide                                                    1010
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23 January 2006

                                      Personnel
Personnel considerations in support of COOP should include the following:

COOP Team Issues:
  1. Identify COOP Team composition, including alternates.
  2. Identify recall data for COOP Team members.
  3. Obtain and have accessible properly authorized Letters of Succession for
     leadership and fiduciary positions.
  4. Train COOP Team and Alternates on roles and responsibilities.
  5. Document means to identify various responder teams and functions by badge
     access AND visual reference (such as colored Incident Command vest).

MEF Issues:
  1. Document the personnel requirements of each MEF and associated CMFs.
  2. Evaluate the assessment of loss of personnel and its impact on the ability to
      support the MEF.
  3. Identify Category 1 (Emergency-Essential) personnel, including alternate
      personnel assignments, per Standard 3 of Section 1 of this manual for each MEF-
      related action.
  4. Identify recall data for identified Category 1 personnel.
  5. Identify any external (organic and non-organic) personnel requirements to support
      MEFs and associated CMFs.
  6. Ensure MEF support personnel, including alternates, have proper security
      clearances, as appropriate.
  7. Incorporate personnel accountability procedures in the event of an evacuation.
  8. Integrate COOP Plan with EM and AT Plans to ensure continual operation of
      MEFs and associated CMFs.
  9. Ensure all watchstander personnel (Officer of the Day (OOD), AT Watch Officer,
      duty personnel, etc.) are familiar with the initial activation procedures for COOP
      Plan activation.
  10. Document and have available properly authorized COOP declaration authority
      with alternates identified.
  11. Document and have available notice and no-notice COOP Activation Procedures.

                   Table P-1: COOP Activation Contact Requirements
                        COOP Activation Contact Requirements
   Customer – Reliant on MEF                Critical Service(s) Providers
   Critical Mission Facility (CMF) Manager Communications Support Providers
   Alternate CMF Manager                    Transportation Support Providers
   MEF Personnel                            Utility Providers
   Regional/Installation Dispatch Center    Info. Systems Support Providers
   Fire & ES Battalion Chief                NSF Shift Commander




Appendix P: COOP Planning Guide                                                    1011
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23 January 2006

                                       Security
Security considerations in support of COOP should include the following:

COOP Team Issues:
  1. Ensure that COOP Team members hold appropriate security clearances and
     accesses.

MEF Issues:
  1. Document the security characteristics of each MEF and associated Critical
      Mission Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of security capability and its
      impact to the ability to support the MEF.
  3. Ensure that the Naval Security Force (NSF) representative is included in all
      aspects of MEF/CMF-related discussion.
  4. Ensure that security requirements for classified material include primary and
      alternate sites.
  5. Ensure all personnel required to support the COOP Plan have the appropriate
      security clearance, to include primary and alternate personnel.
  6. Ensure that all non-cleared organic and non-organic personnel involved in the
      associated response and recovery operations are debriefed post-event.
  7. Establish and coordinate Use of Deadly Force (UODF) rules with NSF
      representative(s).
  8. Coordinate COOP physical security plan with Regional/Installation AT Plans.
  9. Integrate and deconflict actions of internal security forces (if assigned) and
      Regional/Installation NSF.
  10. Consider the effect of Installation enforcement of Force Protection Condition
      (FPCON) Delta procedures on the necessary access/egress of assigned Category 1
      personnel.
  11. Ensure that the COOP Team and identified Category 1 personnel have appropriate
      physical access to all CMFs during FPCON Delta.
  12. Document points of contact for essential vendor and services personnel.
  13. Ensure that all essential personnel and service providers, internal and external,
      have appropriate access to support the identified MEFs during FPCON Delta.
  14. Establish coordinated method to identify all response and recovery team
      personnel.
  15. Integrate port and waterfront security plans with security plans of identified MEFs
      and associated CMFs, as appropriate.
  16. Develop training and exercise plans to ensure proficiency of internal security
      forces (if assigned).




Appendix P: COOP Planning Guide                                                     1012
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23 January 2006

                                  Communications
Communications considerations in support of COOP should include the following:

COOP Team Issues:
  2. Identify communications requirements of COOP Team.
  3. Create and distribute a communications plan.
  4. Establish a means to distribute communications equipment to COOP Team
     members.
  5. Provide for the storage, maintenance, and access control for COOP Team
     communications equipment.

MEF Issues:
  1. Document the communications characteristics (internal, external, and contractor),
     both secure and non-secure, necessary to support each MEF and associated
     CMFs.
  2. Evaluate the assessment of loss or degradation of communications capability and
     its impact to the ability to support the MEF.
  3. Develop notification plan and mechanism for notice and no-notice activation.
  4. Field a communications system that supports an independently functioning
     Category 1 Notification System that is fully integrated with Regional &
     Installation EM Programs and the Regional/Installation Dispatch Center.
  5. Ensure landline phone switch priority with identified communications support
     provider, either internal or external.
  6. Ensure that there is at least one alternate means of communications available.
  7. Incorporate existing communication system inventory.
  8. Identify sources and alternate sources (suppliers) for compatible communications
     equipment.




Appendix P: COOP Planning Guide                                                   1013
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23 January 2006

                                       Facilities
Facilities considerations in support of COOP should include the following:

COOP Team Issues:
  1. Designate internal space requirements for the COOP Team within the existing
     Regional Operations Center (ROC) and/or Installation Emergency Operations
     Center (EOC).

MEF Issues:
  1. Document the facility characteristics of each MEF and associated Critical Mission
     Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of each Critical Mission Facility
     (CMF) and its impact to the ability to support the appropriate MEF.
  3. Appendices should include detailed architectural building plans for each CMF.
  4. Identify alternate facilities to support MEF relocation during an emergency.
  5. Coordinate with managers/owners of identified alternate facilities.




Appendix P: COOP Planning Guide                                                  1014
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23 January 2006

                                        Utilities
Utilities considerations in support of COOP should include the following:

COOP Team Issues:
  1. Identify utility requirements for COOP Team at primary and alternate sites,
     including backup generators, water source(s), communications, battery
     capabilities (including recharging), sanitation system, and fuel.

MEF Issues:
  1. Document the characteristics of utilities required to support each MEF and
      associated Critical Mission Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of utilities and the impact of each
      loss in the ability to support the MEF.
  3. Coordinate the COOP Plan utilities requirements with the Regional/Installation
      EM Plan to ensure support to recovery of utilities post-event.
  4. Identify recall date for utility support providers.
  5. Identify critical utility requirements to Regional/Installation utility providers and
      identified internal/external alternate utility sources.
  6. Document the criteria and process that will be used to determine whether the
      utilities capabilities supporting the MEF and associated CMFs should be
      recovered or replaced post-event.
  7. Document Service Level Agreements with utility providers and alternate source
      providers.
  8. Identify redundant (two independent methods/types) utility requirements to
      support the MEF and associated CMFs.
  9. Identify redundant source requirements to support the MEF and associated CMFs.
  10. Identify redundant means of delivery to support the MEF and associated CMFs.




Appendix P: COOP Planning Guide                                                      1015
Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006

                                     Equipment
Equipment considerations in support of COOP should include the following:

COOP Team Issues:
  1. Identify and document source of COOP Team equipment requirements, to
     include:
         a. Communications Equipment
         b. Vehicles/Transportation
         c. Information Systems Support
         d. Power Sources (Fuel, Batteries, Recharging Capability, etc)
  2. Ensure that the COOP Team equipment is compatible and integrated with EM and
     AT Programs.
  3. Establish means of distribution of COOP equipment to COOP Team members.
  4. Provide for the storage, maintenance, and access control for COOP Team
     equipment.

MEF Issues:
  1. Document the equipment characteristics of each MEF and associated Critical
     Mission Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of equipment capability and its
     impact to the ability to support the MEF.
  3. Document a list of all responsible personnel who can provide access to the COOP
     Team equipment necessary to support the MEF.
  4. Document equipment support requirements for augmentation personnel necessary
     to sustain MEFs. In support of surge operations, be prepared to temporarily loan
     support equipment to augmentation personnel.
  5. Document the criteria and process that will be used to determine whether the
     equipment supporting the MEF should be recovered or replaced post-event.
  6. Document the characteristics of the equipment required to support the MEF.




Appendix P: COOP Planning Guide                                                 1016
Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006

                                   Transportation
Transportation considerations in support of COOP should include the following:

COOP Team Issues:
  1. Identify and source transportation requirements for the COOP Team.

MEF Issues:
  1. Document the transportation requirement for each MEF and associated Critical
      Mission Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of transportation capability and its
      impact to the ability to support the MEF.
  3. Document the criteria and process that will be used to determine whether the
      transportation capabilities supporting the MEF should be recovered or replaced
      post-event.
  4. Identify and coordinate augmentation transportation requirements for identified
      Category 1 personnel.
  5. Develop in advance any alternate sea, air, rail, and/or highway routes necessary
      for the relocation of the MEFs or support the MEFs and associated CMFs should
      existing routes be compromised during the emergency.
  6. Develop for movement to an alternate location:
          a. Primary & Secondary Assembly Areas (Personnel & Cargo)
          b. Primary & Secondary Staging Areas (Personnel & Cargo)
          c. Primary & Secondary Transportation Routes to Alternate Location
  7. Identify and coordinate the movement authority and transportation requirements
      with Regional/Installation authorities as required to ensure free use of routes and
      availability of external transportation assets.
  8. Identify and coordinate alternative means of transport required to support the
      MEF and associated CMFs.
  9. Coordinate and deconflict emergency access and evacuation routes (and
      secondary routes) with Regional/Installation authorities.
  10. Identify recall data for transportation service providers/coordinators necessary to
      sustain the MEF and associated CMFs.




Appendix P: COOP Planning Guide                                                      1017
Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006

                                       Services
Services considerations in support of COOP should include the following:

COOP Team Issues:
  1. Identify critical services & associated service providers required to support the
     COOP Team.

MEF Issues:
  1. Document the requirements for services necessary to support each MEF and
      associated Critical Mission Facilities (CMF).
  2. Evaluate the assessment of loss or degradation of services and the impact of such
      loss/degradation to the ability to support the MEF.
  3. Identify and coordinate external service requirements with Regional/Installation
      authorities in advance of the event.
  4. Identify contracting authority (with alternate) able to meet contract requirements
      in support of the COOP effort.
  5. Identify requirements for internal and external security support.
  6. Ensure contracts allow for non-prejudicial temporary modification to contract
      deliverables (stop, increase, or decrease) during an actual incident, if possible.
  7. Arrange for access for service personnel (i.e. – contractors, service providers) to
      support MEFs and associated CMFs during FPCON Delta.
  8. Identify recall data for critical service providers who support the MEF.
  9. Document the criteria and process that will be used to determine whether the
      services supporting the MEF should be recovered or replaced post-event.
  10. Identify and prioritize the critical services required to support the MEF and
      associated CMFs.
  11. Identify the essential personnel (internal and external) required to support the
      provision of these services (i.e. – power plant, phone systems, etc.).




Appendix P: COOP Planning Guide                                                     1018
Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006

                               Information Systems
Information Systems (IS) considerations in support of COOP should include the
following:

COOP Team Issues:
  1. Identify IS requirements of COOP Team.
  2. Establish a means to distribute IS equipment to COOP Team members.
  3. Identify means and capability to back-up and restore COOP Team IS data and
     vital records.
  4. Provide for the storage, maintenance, and access control for COOP Team IS
     equipment.

MEF Issues:
  1. Document the IS requirements, both secure and non-secure, necessary to support
     each MEF and associated CMFs.
  2. Evaluate the assessment of loss or degradation of IS capability and the impact to
     the ability to support the MEF.
  3. Identify and coordinate external IS requirements that support the MEF.
  4. Ensure that MEF/CMF IS requirements are integrated and compatible with
     existing EM and AT plans.
  5. Ensure that there is at least one alternate source of IS capability available.
  6. Identify sources and alternative sources (suppliers) for IS hardware, software, and
     peripherals.
  7. Document the criteria and process that will be used to determine whether the IS
     capabilities supporting the MEF and associated CMFs should be recovered or
     replaced post-event.
  8. Identify recall data for IS personnel, including contractors.
  9. Maintain copy of current IS equipment inventory, use, and assignment for
     reference in developing equipment requirement and executing recovery plan.




Appendix P: COOP Planning Guide                                                    1019
Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006

                                         Fiscal
Fiscal considerations in support of COOP should include the following:

COOP Team Issues:
  1. Develop coordinated method of funding requests and approvals in support of
     COOP Plan execution.

MEF Issues:
  1. Document the fiscal requirements of each MEF and associated CMFs.
  2. Estimate funding requirements for COOP Plan execution, to include:
         a. COOP Team personnel costs
         b. MEF Category 1 personnel costs
         c. COOP Team/MEF Category 1 personnel training costs
         d. Contingency contact(s) for alternate site
         e. Contingency contact(s) for back-up utilities
         f. Contingency contact(s) for alternate supplies/suppliers
         g. Exercise costs
  3. Identify the process to request funds in support of the MEF and associated CMFs.
  4. Identify the process to authorize and expend funds in support of the MEF during
     COOP Plan execution.
  5. Identify the means to implement contracts to support restoration/recovery of the
     MEF and associated CMFs.
  6. Ensure security of funds, contracts, business areas, and fiscal documents.




Appendix P: COOP Planning Guide                                                   1020
Navy Installation Emergency Management Program Manual (CNI 3440.17)
23 January 2006

                                       Medical
Medical considerations in support of COOP should include the following:

COOP Team Issues:
  1. Identify medical resource requirements, including alternate sources of personnel
     and medical supplies.
  2. Identify mission essential and alternate personnel requirements for each MEF-
     related action. Include recall data for mission essential/augment personnel.
  3. Identify communications requirements.
  4. Train medical personnel and alternates on roles and responsibilities.

MEF Issues:
  1. Document the characteristics and requirements of the medical services necessary
     to support each MEF.
  2. Document the points of contact for essential medical services personnel.
  3. Integrate the COOP Plan with internal and external customers and partners.
  4. Coordinate and document any medical-related agreements with supporting
     Regional/Installation medical service providers.
  5. Ensure that medical service providers have unencumbered physical access to all
     CMFs during FPCON Delta.
  6. Identify any external medical resource requirements to support MEFs.
  7. Ensure MEF medical services personnel, including alternates, have proper
     security clearances, if needed.




Appendix P: COOP Planning Guide                                                   1021

				
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