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Continuity of Operations
Office of National Security Coordination
Federal Emergency Management Agency
U.S. Department of Homeland Security
Enduring Constitutional Government
The Nation’s First Essential Function
Continuity of Operations (COOP)Overview
“The functions of our government continue without interruption.” –President George W. Bush,
Address to the Nation, September 11, 2001
Why COOP?
Government Operations can be disrupted at any time by natural disasters or the accidental/intentional acts of humans.
SOLUTION: Continuity of Operations (COOP) planning and programs
* Must prepare to react quickly
* Continue to perform essential functions
* Provide essential services even during emergent situations.
Department of Homeland Security
DHS Organization
Secretary----------------------------------
Deputy Secretary
Under SecretaryScience and Technology
Under Secretary Information Analysis and Infrastructure Protection
Under SecretaryBorder & Transportation
Security
Under Secretary Emergency Preparedness
and Response
Under SecretaryManagement
Inspector General
Director of theSecret Service
Commandant ofCoast Guard
Director, Bureau of Citizenship & Immigration Services (1)
General Counsel
State and Local Coordination
Special Assistant to the Secretary(private sector)
National Capital Region Coordination
Shared Services
Citizenship & Immigration Service
Ombudsman
Legislative Affairs
Public Affairs
Civil Rights and Civil Liberties
Chief of Staff
Privacy Officer
Executive Secretary
International Affairs
Counter Narcotics
Small & Disadvantaged Business
Federal Emergency Management Agency
FEMA Organization
ONSC Mission The Office of National Security Coordination (ONSC)
provides Lead Agency Leadership for the Federal Executive Branch to ensure continuity of national operations, including the preparation and implementation of Continuity of Operations, Continuity of Government and Contingency Programs in response to a full threat spectrum of all hazards emergencies; and, to minimize the disruption of essential operations in order to guarantee the survival of Enduring Constitutional Government.
ONSC Customers and Partners Internal
Department of Homeland Security (DHS) Emergency Preparedness and Response/FEMA
Regions External
The White House White House Military Office (WHMO) White House Communications Agency (WHCA)
National Security Council (NSC) Homeland Security Council (HSC) Federal Executive Branch Departments and
Agencies (D/As) States, Tribal, and Local Governments
Continuity of Operations
COOP Defined Effort within individual Departments and Agencies
and jurisdictions to ensure continuance of their minimum essential functions across a wide range of potential emergencies.
COOP Planning is simply a good business practice!
APPLICABILITY AND SCOPE
Who? All Federal, State, and tribal government departments/agencies and local jurisdictions
When? Impossible or unsafe to use normal facilities and procedures
What? All Hazards Approach
Spectrum of Threats
COOP History The National Security Act of 1947, as amended
EO 12148, Federal Emergency Management, as amended
EO 12472, Assignment of National Security and Emergency Preparedness Telecommunications Functions
Executive Order (EO) 12656, Assignment of Emergency Preparedness Responsibilities, as amended
The Homeland Security Act of 2002 (Public Law 107-296)
EO 13286, Establishing Office of Homeland Security
COOP Federal Authority Presidential Decision Directive (PDD) 67
PDD 67: Enduring Constitutional Government and Continuity of Government Operations
Designates Emergency Preparedness and Response/FEMA, Department of Homeland Security, the Federal Executive Branch’s Lead Agent for COOP
PDD 67 also: Recognizes emerging threats Stresses continuation of Federal government essential
operations in an all-hazards environment
• Basic authority is provided through the state.
•Statutes
•State Executive Directive
•General policy statements
• Policy statements regarding emergency preparedness and planning
COOP State Authorities and References
FEMA’s COOP Roles and Responsibilities Lead Agent, Federal Executive Branch
Department of Homeland Security COOP Plan
Federal Emergency Management Agency COOP Plan DHS/FEMA Alternate COOP Facility Regional COOP State/Local/Territorial/Tribal COOP
COOP Lead Agent Establish interagency coordinating mechanisms
Chair the interagency COOP Working Group (CWG) Topic-specific subgroups
Provide COOP guidance to Federal Executive Branch D/As Federal Preparedness Circulars (FPCs)
Assess Federal COOP capability Readiness Reporting System (RRS)
Coordinate Federal Executive Branch Interagency COOP exercises Forward Challenge
COOP Guidance
FPCs provide the authority and guidance for the implementation of COOP Plans FPC 65: Federal Executive Branch Continuity of
Operations (COOP)
State and Local Continuity of Operations (COOP) Planning Guide
COOP Elements Plans and Procedures
Essential Functions
Delegations of Authority
Orders of Succession
Alternate Operating Facilities
Interoperable Communications
Vital Records and Databases
Human Capital (Personnel)
Test, Training & Exercises
Devolution of Control and Direction
Reconstitution
COOP Planning Considerations: Must be maintained at a high level of readiness;
Must be capable of implementation both with and without warning;
Must be operational no later than 12 hours after activation;
Must maintain sustained operations for up to 30 days; and,
Should take maximum advantage of existing department or jurisdiction field infrastructures.
COOP COGCONs in the NCR
COOP Elements Continued
Plans and Procedures Development of comprehensive COOP plans
Implementation plans for 3 Phases: Activation and relocation
Alternate operating facility operations
Reconstitution (termination and return to normal operations)
A good plan today is A good plan today is better that a perfect better that a perfect plan tomorrow.plan tomorrow.
- George S. Patton- George S. Patton
Phase 1 – Activation & Relocation
Activation during duty hours with warning – Specific actions for transition from the primary facility to the alternate facility. Operational within 12 hours after activation.
Activation during non-duty hours and during duty hours without warning – Specific procedures for: Alert/notification Accounting for staff Implementing orders of succession Activating the alternate facility Initiating site-support functions at the alternate site.
Phase 2 – Alternate Facility Operations
Address policies and procedures on how activated staff will: Perform essential functions Establish communications Ensure responsibilities have been assigned Augment staff Maintain contact and provide guidance to non-
activated staff Plan and schedule reconstitution and termination of
alternate site operations.
Phase 3 - Termination and Return to Normal Operations
General guidance, policy, and procedures on how to end alternate facility operations and return to non-emergency status at the designated primary site.
Responsibilities and procedures concerning after-action – Reporting Assessment Planning Remedial actions
COOP Elements Continued
Essential Functions Functions that enable the agencies to provide vital
services, exercise civil authority, maintain the safety of the general public, and sustain the industrial/ economic base during an emergency Determination of essential functions under all
circumstances Prioritized functions based on the criticality of the
function Staffing, resource requirements, and any other
supporting activities needed to perform these functions
COOP Elements Continued
Orders of Succession Established order to the position of agency head as
well as other key agency leadership
Established rules and procedures
Predetermined conditions for succession
Proper storage and updates of the orders of succession
Annual briefings to designated successors
COOP Elements Continued
Delegations of Authority Legal authority of officials
Identified programs and administrative authorities needed for effective operations
Documentation to include: Delineation of the limits of authority and accountability A statement explicitly outlining authority Circumstances under which delegated authorities
would be exercised and when they would terminate Briefing and training of delegated officials
COOP Elements Continued
Alternate Operating Facilities Select an alternate facility for the possibility of
unannounced relocation of essential functions and/or COOP personnel. Existing agency local or field infrastructures External sources Threat free Capable of sustained use Dual use Transportation to and from the alternate site Lodging Telecommuting Co-location with other agencies
Alternate Facilities (cont.)
Should provide: Immediate access and capability Support services Interoperable communications Sufficient space and equipment (pre-
positioned Health, safety, and emotional support Physical security and access control Logistical support Infrastructure systems (backup
power).
COOP Elements Continued
Interoperable Communications Communication with internal organizations
Other agencies and their COOP sites, and critical customers and suppliers
Redundant communications for use in COOP with or without warning and following operational requirements
Public
Access to data, systems, and services
COOP Elements Continued
Vital Records and Databases
Three types of Vital Records:
Emergency operating records
Legal records
Financial records
COOP Elements Continued
Vital Records and DatabasesPlanning considerations:
Establishment of a vital records program
Appropriate medium to access vital records
Maintenance of a complete inventory of records
Protection methods for records
Routine updating of records
Training program for all staff involved in the program
Review of records program
COOP Elements Continued
Human Capital (Personnel) Pay guidance
Leave guidance
Benefits issues
Staffing issues
Manager’s roles and responsibilities
Employee’s roles and responsibilities
COOP Elements Continued
Test, Training and Exercises Testing of alert, notification, and activation
procedures
Testing of COOP communication capabilities
Testing of primary and backup infrastructure at alternate facility
COOP awareness briefings
COOP team training and exercise at alternate facility
COOP Elements Continued
Devolution of Control and Direction
Addressing worst-case possibilities to ensure the continuation of essential functions in the event of a catastrophic or other serious emergency
Planning developed to address the transfer of essential functions in the event an agency is incapable of performing those functions
COOP Elements Continued
Reconstitution
Plan to identify and outline the return of normal operations to an agency
Outlined procedures necessary to affect a smooth transition from a relocation site to a new or restored headquarters facility
QUESTIONS
"The measure of success "The measure of success is not whether you have a is not whether you have a tough problem to deal tough problem to deal with, but whether it is the with, but whether it is the same problem you had same problem you had last year."last year."
- John Foster Dulles- John Foster DullesFormer Secretary of StateFormer Secretary of State
Office of National Security Coordination POCs
Eric B. Kretz
Special Program Branch
Office of National Security Coordination
FEMA/U.S. Department of Homeland Security
500 C Street SW
Washington, DC 20472
W: 202/646-3754
Fax: 202/646-4020
Email: [email protected]
Office of National Security Coordination POCs
Robert Sullivan
Chief, Federal Coordination Branch
Plans Division, Office of National Security Coordination
FEMA/U.S. Department of Homeland Security
500 C Street SW
Washington, DC 20472
W: 202/646-4329
Fax: 202/646-4020
Email: [email protected]
