Continuity Of Operations Self-Assessment Tool

Grading

Green: Fully addressed - Mission capable and meets FPC 65 guidance.
Yellow: Partially addressed - Work is ongoing. May be mission capable but does not fully meet FPC 65 guidance.
Red: Not addressed – Does not meet FPC 65 guidance.

Scope

Department and Agency has established the scope for the continuity plan to include applicability for the headquarters level and subordinate elements.

A. Criteria and Reference: Plans and Procedures		Score
A.1	COOP Plan incorporates all of the following elements: essential functions; alternate facility(s); vital records, databases, and systems; orders of succession; delegation of authorities; COOP implementation plans and procedures; COOP responsibilities; content and maintenance of drive-away kits; interoperable communications; and COOP personnel and other employee contact lists? (Annex A.1-10 and Annex A.2.e)	___ Green ___ Yellow ___ Red
A.2	Plans for activation and relocation with or without warning? (Annex A.1.a)	___ Green ___ Yellow ___ Red
A.3	Plans for notifying the FOC, D/A headquarters, subordinate organizations, other points of contact, COOP related personnel, and non-COOP related personnel, as required? (Annex A.1.b and Annex A.2.f)	___ Green ___ Yellow ___ Red
A.4	Plans for movement to alternate operating facility(s) to include directions and maps of routes from primary location to alternate operating facility(s)? (Annex A.1.c)	___ Green ___ Yellow ___ Red
A.5	Plans for movement of records for activation and relocation, not pre-positioned, from the primary to the alternate operating facility(s)? (Annex A.1.d)	___ Green ___ Yellow ___ Red
A.6	Plans for ordering of necessary equipment/supplies not already in place? (Annex A.1.e)	___ Green ___ Yellow ___ Red
A.7	Plans for reception and in processing of COOP personnel? (Annex A.2.a)	___ Green ___ Yellow ___ Red
A.8	Plans for transition of responsibilities to the deployed COOP personnel? (Annex A.2.b)	___ Green ___ Yellow ___ Red
A.9	Guidance for non-deployed personnel? (Annex A.2.c)	___ Green ___ Yellow ___ Red
A.10	Identification of replacement personnel and augmentees, as necessary? (Annex A.2.d)	___ Green ___ Yellow ___ Red
A.11	Redeployment plans to phase down alternate facility operation and return operations, personnel, records, and equipment to the primary operating facility, when appropriate? (Annex A.2.g)	___ Green ___ Yellow ___ Red
A.12	Reconstitution plans informing all personnel, including non-deployed personnel, that the need to COOP no longer exists, and providing instructions for resumption of normal operations? (Annex A.3.a)	___ Green ___ Yellow ___ Red
A.13	Reconstitution plans for an orderly return to the normal operating facility, or movement to other temporary or permanent facility(s) using a phased approach if conditions necessitate? (Annex A.3.b)	___ Green ___ Yellow ___ Red
A.14	Plans to include notification of the status of relocation to the FOC, D/A headquarters, and other agency points of contact, as applicable? (Annex A.3.c)	___ Green ___ Yellow ___ Red
A.15	Plans for an after-action review of COOP operations and effectiveness of plans and procedures as soon as possible, identifying areas for correction, and developing a remedial action plan? (Annex A.3.d)	___ Green ___ Yellow ___ Red
A.16	Plans have been reviewed annually and approved by senior D/A official? (Interagency Recommendation)	___ Green ___ Yellow ___ Red
A.17	Plans include guidance for accounting for personnel? (Interagency Recommendation)	___ Green ___ Yellow ___ Red

B. Criteria and Reference: Essential Functions		Score
B.1	Identified essential functions, which must be continued under all circumstances with minimal disruption or cannot be interrupted for more than 12 hours, without compromising the organization’s ability to perform its mission? (Annex B.1)	___ Green ___ Yellow ___ Red
B.2	Capable of sustaining the essential functions until normal business activities for up to 30 days? (Annex B.1)	___ Green ___ Yellow ___ Red
B.3	Essential functions are prioritized based on the criticality and time sensitivity of the function? (Annex B.2)	___ Green ___ Yellow ___ Red
B.4	Established staffing, resource requirements, and any other supporting activities needed to perform those functions within 12 hours or less of COOP activation and for up to 30 days? (Annex B.3)	___ Green ___ Yellow ___ Red
B.5	Established a roster of personnel, by position, needed to perform those essential functions? (Annex B.3.a)	___ Green ___ Yellow ___ Red
B.6	Identified personnel assigned to the positions? (Annex A.2.d)	___ Green ___ Yellow ___ Red
B.7	Identified equipment, including information technology and telecommunications hardware needed to perform essential functions? (Annex B.3.b)	___ Green ___ Yellow ___ Red
B.8	Identified mission critical data needed to perform essential functions? (Annex B.4)	___ Green ___ Yellow ___ Red
B.9	Identified consumable office supplies needed to perform essential functions? (Annex B.5)	___ Green ___ Yellow ___ Red
B.10	COOP plan includes a statement that indicated all functions deemed not essential would be deferred? (Annex B.6)	___ Green ___ Yellow ___ Red
B.11	Annual review and update of listed resources required to perform essential functions? (Annex B)	___ Green ___ Yellow ___ Red
B.12	Do Essential Functions identify integrated support activities or dependencies on other organizations where applicable? (Interagency Recommendation)	___ Green ___ Yellow ___ Red
B.13	Have dependencies been addressed, where applicable, to ensure availability of necessary? (Interagency Recommendation)	___ Green ___ Yellow ___ Red

C. Criteria and Reference: Delegations of Authority		Score
C.1	Documentation of the legal authority for officials, including those below the agency head, to make key policy decisions during a coop situation? (Annex C.1)	___ Green ___ Yellow ___ Red
C.2	Identified the programs and administrative authorities needed for effective operations at all agency levels having essential functions? (Annex C.2)	___ Green ___ Yellow ___ Red
C.3	Documents the necessary authority for delineating the limits of authority and accountability? (Annex C.3.a)	___ Green ___ Yellow ___ Red
C.4	Documents the necessary authority of an official whom authority has been delegated to exercise agency direction, including any exceptions, and their authority to re-delegate functions and activities, as appropriate? (Annex C.3.b)	___ Green ___ Yellow ___ Red
C.5	Documents the circumstances under which delegated authorities would be exercised and when they would terminate? (Annex C.3.c)	___ Green ___ Yellow ___ Red
C.6	Ensure that D/A officials who might be expected to assume authorities in a COOP situation are trained to carry out their emergency duties, conducted at least annually? (Annex C.4)	___ Green ___ Yellow ___ Red

D. Criteria and Reference: Orders of Succession		Score
D.1	Establish an order of succession to the position of agency head to include geographical dispersion among regional, field, or satellite leadership? (Annex D.1.a-b)	___ Green ___ Yellow ___ Red
D.2	Establish orders of succession to other key agency leadership positions including Regional Director(s) or other agency leadership as necessary? (Annex D.2.a-d)	___ Green ___ Yellow ___ Red
D.3	Describe the orders of succession by positions or titles rather than names of individuals? (Annex D.3)	___ Green ___ Yellow ___ Red
D.4	Establish the rules and procedures designated officials must follow when facing the issue of succession to office? (Annex D.4)	___ Green ___ Yellow ___ Red
D.5	Include in succession procedures the conditions under which succession will take place; method of notification; and, any temporal, geographical, or organizational limitations of authorities? (Annex D.5)	___ Green ___ Yellow ___ Red
D.6	Include orders of succession in the vital records of the agency and ensure they are available at the alternate facility in the event of COOP activation? (Annex D.6)	___ Green ___ Yellow ___ Red
D.7	Orders of succession are revised as necessary and distributed promptly as changes occur? (Annex D.7)	___ Green ___ Yellow ___ Red
D.8	Designate responsibility for updating and promulgating orders of succession? (Annex D.7)	___ Green ___ Yellow ___ Red
D.9	Provide annual briefings to designated successors on their responsibilities and on any provisions for their relocation, if necessary? (Annex D.8)	___ Green ___ Yellow ___ Red

E. Criteria and Reference: Alternate Operating Facilities		Score
E.1	Performed an all-hazard risk assessment for facility(s) considered for COOP use? (Annex E.1)	___ Green ___ Yellow ___ Red
E.2	Alternate facility(s) has the ability to be operational within 12 hours of COOP activation? (Annex E.1.a)	___ Green ___ Yellow ___ Red
E.3	Alternate facility(s) has the ability to sustain operations until normal business operations can resume for up to 30 days? (Annex E.1.a)	___ Green ___ Yellow ___ Red
E.4	Alternate facility(s) is located enough distance from any vulnerable areas or facilities? (Annex E.1.b)	___ Green ___ Yellow ___ Red
E.5	Access to essential resources such as food, water, fuel, medical facilities, and municipal services from alternate facility(s)? (Annex E.1.c)	___ Green ___ Yellow ___ Red
E.6	Access to transportation for associates or a defined transportation plan that describes procedures for a warning/no warning event? (Annex E.1.d)	___ Green ___ Yellow ___ Red
E.7	Alternate facility(s) has the ability to run emergency power to allow essential functions and operations to continue in any environment? (Annex E.2)	___ Green ___ Yellow ___ Red
E.8	A signed MOU/MOA exists if the alternate facility is not owned or leased by the agency? (Annex E.3 and Annex E.1-7 “Acquisition Process”)	___ Green ___ Yellow ___ Red ___ N/A
E.9	The MOU/MOA is reviewed annually? (Annex E.3)	___ Green ___ Yellow ___ Red ___ N/A
E.10	The MOU/MOA takes into consideration the time period from notification of requirement to availability of facility for occupancy; space and services required; and sole use of allocated space during the period of occupancy? (Annex E.3)	___ Green ___ Yellow ___ Red ___ N/A
E.11	Alternate facility(s) is sized according to the scope of staffing needed for COOP activation? (Annex E.4)	___ Green ___ Yellow ___ Red
E.12	Plans are developed to address housing for COOP personnel? (Annex E.5)	___ Green ___ Yellow ___ Red ___ N/A
E.13	Transportation resources are identified for use at the alternate facility(s)? (Annex E.6)	___ Green ___ Yellow ___ Red ___ N/A
E.14	Adequate communications exist at alternate facility(s) to perform essential functions? (Annex E.7)	___ Green ___ Yellow ___ Red
E.15	Alternate facility(s) provides physical security that meets all requirements established by annual threat assessments and physical security surveys? (Annex E.8)	___ Green ___ Yellow ___ Red
E.16	Physical security capabilities are tested annually? (Annex E.8)	___ Green ___ Yellow ___ Red ___ N/A
E.17	Alternate facility(s) has sufficient perimeter, access, and internal security functions as required by agency policy? (Annex E.8)	___ Green ___ Yellow ___ Red
E.18	Adequate life support items are available from external sources and are accessible to the facility in sufficient quantities to sustain 30 days of operations? (Annex E.9)	___ Green ___ Yellow ___ Red
E.19	Agency has pre-positioned or detailed site preparation and activation plans to achieve full operational capability within 12 hours of notification? (Annex E.10)	___ Green ___ Yellow ___ Red
E.20	Agency developed facility maintenance and inspection procedures to ensure its alternate facility(s) is able to support COOP essential functions and personnel within 12 hours and for up to 30 days? (Annex E.11)	___ Green ___ Yellow ___ Red
E.21	D/A has addressed the use of virtual offices as an alternate facility? (Annex E.2.a-c)	___ Green ___ Yellow ___ Red
E.22	Agency identified all alternate facilities and provided the necessary data concerning the facility(s) to GSA? (Annex E “The Reporting Process”)	___ Green ___ Yellow ___ Red

F. Criteria and Reference: Interoperable Communications		Score
F.1	Agency adequately identified all necessary communications media likely to be available and needed in an emergency situation? (Annex F and Annex F.2)	___ Green ___ Yellow ___ Red
F.2	D/A have the equipment resources to support the essential functions? (Annex F and Annex F.2)	___ Green ___ Yellow ___ Red
F.3	Interoperable communications capability is commensurate with agency’s essential functions, including quantity as per the staffing plan within an agency COOP? (Annex F.1 and Annex F.1)	___ Green ___ Yellow ___ Red
F.4	Ability to communicate with D/A COOP personnel, other employees, leadership, and other elements, to include bureaus, regions, and field offices? (Annex F.2)	___ Green ___ Yellow ___ Red
F.5	Ability to communicate with the FOC and the HSOC, other federal agencies and their COOP sites, and critical customers, as required? (Annex F.3)	___ Green ___ Yellow ___ Red
F.6	Access to data, systems, and services necessary to conduct essential functions and support activities? (Annex F.4)	___ Green ___ Yellow ___ Red
F.7	Agency reviewed redundant IT equipment and countermeasures that provide access to data systems and services to conduct essential functions and support activities? (Annex F.4)	___ Green ___ Yellow ___ Red
F.8	Redundant communications systems for use in COOP implementation and operations within 12 hours of COOP activation and sustained for up to 30 days? (Annex F.5-6)	___ Green ___ Yellow ___ Red
F.9	Communications and systems interoperability with existing field infrastructures? (Annex F.7)	___ Green ___ Yellow ___ Red
F.10	Quarterly testing of the COOP Communications Plan? (Annex F.3)	___ Green ___ Yellow ___ Red ___ N/A
F.11	Validate internal and external communications capabilities at all alternate facilities at least quarterly? (Annex F.3)	___ Green ___ Yellow ___ Red

G. Criteria and Reference: Vital Files, Records and Databases		Score
G.1	Has a vital records program, with a specific purpose and scope, been officially established within your organization? (Annex G.1 and Annex G.1.a)	___ Green ___ Yellow ___ Red
G.2	Does the program assign roles and responsibilities? (Annex G.1.b)	___ Green ___ Yellow ___ Red
G.3	Does the program provide for staff training? (Annex G.1.c)	___ Green ___ Yellow ___ Red
G.4	Is the program periodically reviewed and tested? (Annex G.1.d)	___ Green ___ Yellow ___ Red
G.5	Within 12 hours of COOP plan activation, will your COOP personnel have access to the D/A local area network (LAN)? (Annex G.2.a)	___ Green ___ Yellow ___ Red
G.6	Within 12 hours of COOP plan activation, will your COOP personnel have access to the D/A vital electronic records? (Annex G.2.b)	___ Green ___ Yellow ___ Red
G.7	Within 12 hours of COOP plan activation, will your COOP personnel have access to the D/A critical information systems and data? (Annex G.2.c)	___ Green ___ Yellow ___ Red
G.8	Within 12 hours of COOP plan activation, will your COOP personnel have access to the D/A internal and external email and archives? (Annex G.2.d)	___ Green ___ Yellow ___ Red
G.9	Within 12 hours of COOP plan activation, will your COOP personnel have access to the D/A vital hard copy records? (Annex G.2.e)	___ Green ___ Yellow ___ Red
G.10	D/A addressed multiple redundant media for storage of vital records? (Annex G.2)	___ Green ___ Yellow ___ Red
G.11	Does your Agency maintain a complete inventory of records identified under Emergency Operating Records and Legal and Financial Records, along with location and access information? (Annex G.3)	___ Green ___ Yellow ___ Red
G.12	Does your D/A maintain Emergency Operating Records and Legal and Financial Records at multiple sites? (Annex G.3)	___ Green ___ Yellow ___ Red
G.13	Have you performed a risk assessment to identify risks if vital records are retained in current locations and medium, and the difficulty of reconstituting them if they are destroyed? (Annex G.4.a)	___ Green ___ Yellow ___ Red
G.14	Have you determined if off site storage is necessary? (Annex G.4.b)	___ Green ___ Yellow ___ Red
G.15	Have you determined if alternative storage media is advisable? (Annex G.4.c)	___ Green ___ Yellow ___ Red
G.16	Have you determined if it is necessary to duplicate records to provide a vital records copy? (Annex G.4.e)	___ Green ___ Yellow ___ Red
G.17	Have you selected protection methods for vital records? (Annex G.5)	___ Green ___ Yellow ___ Red
G.18	Do you have procedures for routinely updating vital records to ensure that they always contain the most current information? (Annex G.6)	___ Green ___ Yellow ___ Red
G.19	Have you identified records recovery experts and vendors to assist with recovery in the event of records damage? (Annex G.7)	___ Green ___ Yellow ___ Red
G.20	Have you developed and maintained a vital records plan packet? (Annex G.8)	___ Green ___ Yellow ___ Red
G.21	Does you plan packet contain a hard copy or electronic list of key agency personnel and disaster staff with up-to-date telephone numbers? (Annex G.8.a)	___ Green ___ Yellow ___ Red
G.22	Does it contain a vital records inventory with precise locations of vital records? (Annex G.8.b)	___ Green ___ Yellow ___ Red
G.23	Does it contain the necessary keys or access codes? (Annex G.8.c)	___ Green ___ Yellow ___ Red
G.24	Does it list alternate operating facility locations? (Annex G.8.d)	___ Green ___ Yellow ___ Red
G.25	Do you have a listing of the access requirements and lists of sources of equipment necessary to access the records? (Annex G.8.e)	___ Green ___ Yellow ___ Red
G.26	Does it list records recovery experts and vendors? (Annex G.8.f)	___ Green ___ Yellow ___ Red
G.27	Do you have a copy of the agency's disaster recovery plan (e.g. COOP or Vital Records Recovery Plan)? (Annex G.8.g)	___ Green ___ Yellow ___ Red
G.28	Do you periodically review the packet to ensure that the information is current? (Annex G.8)	___ Green ___ Yellow ___ Red
G.29	Is a copy securely maintained at the agency's alternate operating facilities? (Annex G.8)	___ Green ___ Yellow ___ Red
G.30	Have you developed a training program for all staff involved in the vital records program to include periodic briefings to managers about the vital records program and its relationship to their records and business needs and staff training focusing on the identification, inventorying, protection, storage, access to, and updating of the vital records? (Annex G.9)	___ Green ___ Yellow ___ Red
G.31	Do you periodically review the vital records program to address any new security issues, identify problem areas, update information, and identify additional vital records that may result from new agency programs or functions from organizational changes? (Annex G.10)	___ Green ___ Yellow ___ Red
G.32	Do you have capabilities for protecting unclassified and/or classified vital records and databases and providing access to them from the alternate operating facility? (Annex G.11)	___ Green ___ Yellow ___ Red
G.33	Is this capability-tested semi annually? (Annex G.11)	___ Green ___ Yellow ___ Red

H. Criteria and Reference: Human Capital		Score
H.1	Does your COOP plan include agency procedures for dismissal or closure to employees that are reviewed at least annually? (Annex H-4)	___ Green ___ Yellow ___ Red
H.2	Does your COOP plan include agency procedures for identifying emergency employees who must report for work under various situations to continue Government operations? (Annex H-4)	___ Green ___ Yellow ___ Red
H.3	Does your COOP plan include agency procedures for notifying these employees in writing that they are so designated? (Annex H-4)	___ Green ___ Yellow ___ Red
H.4	Does your COOP plan include agency procedures for notifying "non-emergency employees" or "non-special categories of employees" to report for or remain at work when Government operations are disrupted? (Annex H-4)	___ Green ___ Yellow ___ Red
H.5	Does your COOP plan include agency procedures for determining, at least annually, when an employee's formal or informal telework agreement must be amended for telework employees who may be required to continue to work at their alternative worksites on their telework-day when the agency is closed? (Annex H-4)	___ Green ___ Yellow ___ Red
H.6	Does your COOP plan include agency procedures for notifying employees that if they are required to report for work and are not otherwise granted excused absence, they will be charged absence without leave (AWOL) for the period not worked and may potentially be disciplined for the AWOL at the agency's discretion? (Annex H-4)	___ Green ___ Yellow ___ Red
H.7	Does your COOP plan include agency procedures for requiring managers to be responsible for determining closure, dismissal, and leave policies for employees on shift work and for informing employees of these policies. (Annex H-5)	___ Green ___ Yellow ___ Red
H.8	Does your COOP plan include agency procedures for familiarizing employees with the methods of communications put into place at their agency, as well as the means of notification used to inform and instruct employees? (Annex H-5)	___ Green ___ Yellow ___ Red
H.9	Does your COOP plan include agency procedures for encouraging employees to remain aware and be attentive to suspicious activities? (Annex H-5)	___ Green ___ Yellow ___ Red
H.10	Does your COOP plan include agency procedures for regularly testing its fire and safety public address systems? (Annex H-5)	___ Green ___ Yellow ___ Red
H.11	Does your COOP plan include agency procedures for providing supplies in the case of shelter-in-place response to an emergency? (Annex H-5)	___ Green ___ Yellow ___ Red
H.12	Does your COOP plan include agency procedures for posting clear signage for evacuation routes? (Annex H-5)	___ Green ___ Yellow ___ Red
H.13	Does your COOP plan include agency procedures for having a protocol for safety and security personnel to maintain communications in an emergency? (Annex H-5)	___ Green ___ Yellow ___ Red
H.14	Does your COOP plan include agency procedures for having in place an overtime pay policy for Standby Duty, when employees are required to remain in a state of readiness to perform work during an emergency? (Agency H-6)	___ Green ___ Yellow ___ Red
H.15	Does your COOP plan include agency procedures for having in place a policy to utilize compressed work schedules during an extended emergency? (Agency H-6)	___ Green ___ Yellow ___ Red
H.16	Does your COOP plan include agency procedures for having a policy for implementation for the Biweekly Premium Pay Limitation? (Agency H-6)	___ Green ___ Yellow ___ Red
H.17	Does your COOP plan include agency procedures for having a policy for implementation for the Annual Premium Pay Limitation? (Agency H-6)	___ Green ___ Yellow ___ Red
H.18	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing needs for excepted appointments (Temporary Emergency Need (Up To 1 Year) and 30-Day Critical Need)? (Agency H-7)	___ Green ___ Yellow ___ Red
H.19	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing needs for reemploying annuitants? (Agency H-7)	___ Green ___ Yellow ___ Red
H.20	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing needs for reemploying buyout recipients? (Agency H-7)	___ Green ___ Yellow ___ Red
H.21	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing needs for direct-hire authority? (Agency H-7)	___ Green ___ Yellow ___ Red
H.22	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing needs for contract with private sector temporary firms for services to meet its emergency needs? (Agency H-7)	___ Green ___ Yellow ___ Red
H.23	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing needs for competitive service appointments of 120 days or less without clearing its Career Transition Assistance Plan (CTAP) or the Interagency Career Transition Assistance Plan (ICTAP)? (Agency H-7)	___ Green ___ Yellow ___ Red
H.24	Does your COOP plan include agency procedures for having in place a plan to fill emergency or special staffing need for reemployment priority list (RPL)? (Agency H-8)	___ Green ___ Yellow ___ Red
H.25	Does your COOP plan include agency procedures for having access to "A Federal Employee's Emergency Guide," from the Office of Personnel Management's (OPM's) Web site?	___ Green ___ Yellow ___ Red

I. Criteria and Reference: Test, Training and Exercise Program		Score
I.1	Does your agency test program include quarterly testing of COOP alert, notification, and activation procedures? (Annex I.1.a)	___ Green ___ Yellow ___ Red
I.2	Do you semi-annually test plans for the recovery of vital classified and unclassified records, critical information systems, services, and data? (Annex I.1.b)	___ Green ___ Yellow ___ Red
I.3	Do you test, quarterly, your COOP communications capabilities? (Annex I.1.c)	___ Green ___ Yellow ___ Red
I.4	Do you annually test primary and backup infrastructure systems and services at alternate operating facilities (e.g., power, water, fuel)? (Annex I.1.d)	___ Green ___ Yellow ___ Red
I.5	Does your agency training program include an Annual COOP awareness briefing (or other means of orientation) for the entire workforce? (Annex I.2.a)	___ Green ___ Yellow ___ Red
I.6	Annual team training for COOP personnel? (Annex I.2.b)	___ Green ___ Yellow ___ Red
I.7	Annual team training for agency personnel (and host or contractor personnel) assigned to activate, support, and sustain COOP operations at alternate operating facilities? (Annex I.2.c)	___ Green ___ Yellow ___ Red
I.8	Annual exercise that incorporates the deliberate and pre-planned movement of the COOP personnel to an alternate operating facility? (Annex I.2.d)	___ Green ___ Yellow ___ Red
I.9	A comprehensive debriefing conducted after each exercise for the participants to identify systemic weakness in plans and procedures and recommend COOP plans revisions? (Annex I.2.e)	___ Green ___ Yellow ___ Red
I.10	Does your exercise program provide an opportunity for COOP personnel to demonstrate their familiarity with COOP plans and the capability to continue essential functions? (Annex I.3.a)	___ Green ___ Yellow ___ Red
I.11	Do you annually conduct a deliberate and pre-planned movement of COOP personnel to an alternate operating facility? (Annex I.3.b)	___ Green ___ Yellow ___ Red
I.12	Do you annually test your communications capabilities and inter- and intra-agency dependencies? (Annex I.3.c)	___ Green ___ Yellow ___ Red
I.13	Do you have plans to notify the FOC and other agency points of contact, as applicable? (Annex I.3.c)	___ Green ___ Yellow ___ Red

J. Criteria and Reference: Devolution of Control and Direction		Score
J.1	Does your plan for devolution identify prioritized essential functions and determine necessary resources to facilitate their immediate and seamless transfer to a devolution site? (Annex J.1)	___ Green ___ Yellow ___ Red
J.2	Does your plan for devolution include a roster identifying fully equipped and trained personnel at the designated devolution site with the authority to perform essential functions and activities when the devolution option of COOP is activated? (Annex J.2)	___ Green ___ Yellow ___ Red
J.3	Does it identify the likely triggers that would initiate or activate the devolution option? (Annex J.3)	___ Green ___ Yellow ___ Red
J.4	Does it specify how and when direction and control of agency operations will be transferred to the devolution site? (Annex J.4)	___ Green ___ Yellow ___ Red
J.5	Does it list the necessary resources (people, equipment, and materials) to facilitate the ability to perform essential functions at the devolution site? (Annex J.5)	___ Green ___ Yellow ___ Red
J.6	Does it establish reliable processes and procedures to acquire resources necessary to continue essential functions and sustain operations for extended periods? (Annex J.6)	___ Green ___ Yellow ___ Red
J.7	Does it establish capabilities to restore or reconstitute agency authorities to their pre-event status upon termination of devolution? (Annex J.7)	___ Green ___ Yellow ___ Red
J.8	Does your Devolution site and personnel have the capability to support all COOP essential functions and activities? (Annex J)	___ Yes ___ No

K. Criteria and Reference: Reconstitution Operations		Score
K.1	Does your Agency have an executable plan to transition from COOP status to an efficient normal operations status once a threat or disruption has passed? (Annex K1)	___ Green ___ Yellow ___ Red
K.2	Does your agency have coordinated and pre-planned options for the reconstitution of the agency regardless of the level of disruption causing implementation of its COOP plan? (Annex K.2)	___ Green ___ Yellow ___ Red
K.3	Do your pre-planned options include movement back from the COOP or devolution location to the original operating site or a new operating facility if necessary? (Annex K.3)	___ Green ___ Yellow ___ Red
K.4	Do you have reconstitution procedures that inform all personnel that the threat of or actual emergency no longer exists, and provide instructions for resumption of normal operations? (Annex K)	___ Green ___ Yellow ___ Red
K.5	Do you have reconstitution procedures that supervise an orderly return to the normal operating facility or movement to other temporary or permanent operating facility? (Annex K)	___ Green ___ Yellow ___ Red
K.6	Do you have reconstitution procedures that verify that all systems, communications, and other required capabilities are available and operational and that the agency(s) are fully capable of accomplishing all essential functions/operations at the new or restored facility? (Annex K)	___ Green ___ Yellow ___ Red
K.7	Do you have reconstitution procedures that instruct the Agency POC to reports status of the relocation to the FOC and other points of contact, as necessary? (Annex K)	___ Green ___ Yellow ___ Red
K.8	Do you have reconstitution procedures that provide for the conduct of an after-action review of COOP operations and the effectiveness of plans and procedures, identify areas for correction, and develop a remedial action plan as soon as possible after the reconstitution? (Annex K)	___ Green ___ Yellow ___ Red

L. Criteria and Reference: Agency Head Responsibilities		Score
L.1	Establishes agency COOP Program? (12.a.1)	___ Green ___ Yellow ___ Red
L.2	Appoints a senior executive as the agency COOP program point-of-contact? (12.a.2)	___ Green ___ Yellow ___ Red
L.3	Developed a COOP Multi-Year Strategy and Program Management Plan that includes a program budget to support a viable COOP capability? (12.a.3)	___ Green ___ Yellow ___ Red
L.4	Developed, approved and maintains agency COOP plans and procedures for headquarters and all subordinate elements? (12.a.4)	___ Green ___ Yellow ___ Red
L.5	Conducts tests, training, and exercises of agency COOP plans at least annually, to include COOP personnel, and essential systems and equipment, to ensure timely and reliable implementation of COOP plans and procedures? (12.a.5)	___ Green ___ Yellow ___ Red
L.6	Participates in interagency COOP exercises to ensure effective interagency coordination and mutual support? (12.a.6)	___ Green ___ Yellow ___ Red
L.7	Notifies the FOC and other appropriate agencies upon any implementation of COOP plans? (12.a.7)	___ Green ___ Yellow ___ Red
L.8	Provides updates on COOP status to the FOC as designated or if the agency’s COOP status changes? (12.a.8)	___ Green ___ Yellow ___ Red
L.9	Coordinates intra-agency COOP efforts and initiatives with policies, plans, and activities in accordance with directives related to terrorism, Critical Infrastructure Protection, and all-hazards preparedness? (12.a.9)	___ Green ___ Yellow ___ Red
L.10	Contingency planning efforts such as Disaster Recovery Plans, Information Assurance, National Response Plan, Business Continuity Plans, etc., are integrated into the agency’s COOP plan? (12.a.9)	___ Green ___ Yellow ___ Red

Last Modified: Monday, 27-Mar-2006 15:42:33 EST