Continuity of Operations Training By Jonathan Greenstein, ILEM

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    Continuity of OperationsContinuity of Government

    An Overview of COOP/COG

    Course Facilitator

    Jonathan D. Greenstein, ILEM

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    Facilitator

    Mr. Jonathan D. Greenstein, ILEM

    Contact:jonathan.greenstein@leo.gov

    About: I have been involved in law enforcement and emergencymanagement for over fifteen years. I currently hold certification at theIntermediate Level in Emergency Management (ILEM) through theAlabama Association of Emergency Managers(AAEM); havecompleted the FEMA Professional Development Series (PDS); in

    addition, I am a certified Field Training Officer (FTO) and GeneralInstructor and hold Train-the-Trainer level designation for CBRNEIncident Management (Awareness through Operations).

    mailto:jonathan.greenstein@leo.govmailto:jonathan.greenstein@leo.gov
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    Disclaimer and Notice

    The following program is presented as an overview of COOP and COG.It is not intended to supplant your agencies policies or procedures.

    The material within is derived primarily from the FEMA NationalContinuity Programs Directorate, Continuity of Operations Division; assuch it is assumed to be reliable and consistent with national standards,however the facilitator does not warranty the information presented.

    At the end of this program, I provide information about external certificationand recognition available through the Alabama Association of EmergencyManagers (AAEM). Please note that I am affiliated with the AAEM however Iam not employed by them, nor do I receive any compensation for providingthis information.

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    Continuity of Operations Overview

    From the FEMA COOP/COG Program:

    "This program provides the foundation for the nationsFirst Essential Function, Enduring Constitutional

    Government, and the foundation for the tiers of theNational Response Framework, operationalgovernments at all levels-local, State, and Federal-capable of performing their essential functions,

    under all conditions."

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    What is Continuity of Operations?

    Continuity of Operations, as defined in the NationalSecurity Presidential Directive-51/Homeland SecurityPresidential Directive-20 (NSPD-51/HSPD-20) and

    the National Continuity Policy Implementation Plan(NCPIP), is an effort within individual executivedepartments and agencies to ensure that PrimaryMission Essential Functions (PMEFs) continue to be

    performed during a wide range of emergencies,including localized acts of nature, accidents andtechnological or attack-related emergencies.

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    Directives and Guidance

    National Security Presidential Directive-51/Homeland Security Presidential Directive-20

    National Continuity Policy Implementation Plan

    National Communications System Directive (NCSD) 3-10

    Federal Continuity Directive (FCD) 1

    Federal Continuity Directive (FCD) 2

    Continuity Guidance Circular (CGC) 1

    Continuity Guidance Circular (CGC) 2

    FEMA Continuity Planning Guidance

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    National Security Presidential Directive-51Homeland Security Presidential Directive-20

    National Security Presidential Directive-51/Homeland Security PresidentialDirective-20 (NSPD-51/HSPD-20) National Continuity Policy, issued May 4,2007, emphasizes the importance of a comprehensive national programinvolving all government levels and the private sector for integrated andscalable continuity planning. NSPD-51/HSPD-20 prescribes continuityrequirements for all executive departments and agencies, and providescontinuity guidance for the States, territories, tribal and local governments,

    and private sector organizations.

    This Directive designates the Secretary of Homeland Security as thePresidents lead agent for coordinating overall national continuity operationsand activities, and provides continuity planners with substantive new

    guidance designed to enhance the Nations continuity capabilities. It alsodirects the Secretary of Homeland Security to assist with the practicalimplementation of policy guidance through the development andpromulgation of continuity planning requirements and guidance for Federaland non-Federal government jurisdictions and private sector criticalinfrastructure owners and operators.

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    National Continuity Policy Implementation Plan

    The National Continuity Policy Implementation Plan (NCPIP), dated August2007, provides continuity program implementation guidance for NSPD-51/HSPD-20.

    It provides directive guidance to assist Federal organizations in developingcontinuity plans and programs, to include the identification of MissionEssential Functions (MEFs) and Primary Mission Essential Functions(PMEFs), that support the eight National Essential Functions (NEFs)themost critical functions necessary for leading and sustaining our Nationduring a catastrophic emergency.

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    Guidance in the implementation plan helps ensure that our nations

    continuity efforts and resources will be coordinated and leveraged toensure essential government functions and services will be providedto the nations citizens under all conditions. This plan directs more

    than 75 critical actions to ensure the effectiveness and survivability ofour Nations continuity capability.

    The NCPIP highlights the importance of partnerships with the otherbranches of the Federal Government, other levels of government,and the private sector to include:

    -Federal Government: Legislative Branch, Executive Branch, and the Judicial Branch-State, territorial, tribal, local governments;

    and

    -Private sector critical infrastructure owners and operators

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    National Communications System Directive (NCSD) 3-10

    National Security Presidential Directive-51/Homeland Security

    Presidential Directive-20, recognizes the importance of effectivecommunications to meet Enduring Constitutional Government andcontinuity requirements.

    The National Communications System Directive (NCSD) 3-10, Minimum

    Requirements for Continuity Communications Capabilities, establishes apolicy framework that defines minimum communications requirementsfor all Federal Executive Branch organizations and alternate operationsfacilities, to ensure continuity of national essential functions, as well asassured communication among the President, cabinet officers, andother key executive office personnel.

    It also assigns specific responsibilities to key executive offices andagencies, defines basic supporting mechanisms, and outlinestesting/verifying and reporting requirements.

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    Federal Continuity Directive (FCD) 1

    Federal Continuity Directive 1 (FCD 1), Federal Executive Branch NationalContinuity Program and Requirements, approved by the Secretary ofHomeland Security in February 2008, provides operational direction for thedevelopment of continuity plans and programs for the Federal ExecutiveBranch. This directive supersedes Federal Preparedness Circular 65

    and was developed by NCPs Continuity of Operations Division incoordination with its interagency partners.

    FCD 1 describes the key elements of a viable continuity capability and theimportance of coordinating with non-Federal organizations to establish andmaintain a comprehensive and effective national continuity capability.Continuity programs and operations are simply good business practices thatensure government functions and services will be available to our nations

    citizens under all conditions.

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    Federal Continuity Directive (FCD) 1

    The provisions of this directive are applicable at all levels of Federal

    Executive Branch organizations, regardless of their location, and are usefulfor all non-Federal entities.

    The enhancements in the new guidance specifically address the following:

    -Key components of continuity program management, including personnel,

    communications, and facilities-Need for scalable, full-spectrum continuity plans that acknowledge the potential for abroad range of disruptive events and call for more than just a traditional continuityoption that requires relocating staff to an alternate facility

    -Incorporation of a risk-based framework for continuity plans and programs to identifyand assess potential hazards, determine acceptable levels of risk, and prioritize and

    allocate resources

    -Inclusion of budgeting considerations in continuity plans and programs

    -Readiness and preparedness considerations.

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    Federal Continuity Directive (FCD) 2

    Federal Continuity Directive 2 (FCD 2), Federal Executive Branch

    Mission Essential Function and Primary Mission Essential FunctionIdentification, approved by the DHS Secretary in February 2008,provides direction and guidance for Federal organizations to identifytheir essential functions and the business process analysis (BPA)and business impact analysis (BIA) that support and identify therelationships between these essential functions.

    FCD 2 provides implementation guidelines for the requirementsidentified in FCD 1, Annex C. It provides direction and guidance toFederal entities for identification of their mission essential functions(MEFs) and potential primary mission essential functions (PMEFs). Italso includes checklists to assist in identifying essential functionsthrough a risk management process and identify potential PMEFsthat support specific national essential functions (NEFs)the mostcritical functions necessary for leading and sustaining our nationduring a catastrophic emergency.

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    FCD 2

    FCD 2 provides direction on the formalized process for submission of aDepartments or Agencys potential PMEFs that are supportive of the NEFs.

    It also provides guidance on the processes for conducting a business

    process analysis (BPA) and business impact analysis (BIA) for each of thepotential PMEFs that help identify essential function relationships andinterdependencies, time sensitivities, threat and vulnerability analyses, andmitigation strategies affecting and supporting the PMEFs.

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    Continuity Guidance Circular (CGC) 1

    Continuity Guidance Circular 1 (CGC 1), Continuity Guidance for

    Non-Federal Entities (States, Territories, Tribal, and LocalGovernment Jurisdictions and Private Sector Organizations), wasapproved by the FEMA Administrator on January 21, 2009.

    CGC 1 supersedes the Interim Guidance on Continuity of OperationsPlanning for State and Local Governments, and provides operationalguidance for implementing NSPD-51/HSPD-20 for non-Federalentities. CGC 1 provides guidance for developing continuity plansand programs for the sustainment of essential functions and servicesto our nations citizens, under all conditions.

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    Continuity Guidance Circular (CGC) 2

    Continuity Guidance Circular 2 (CGC 2), Continuity Guidance for

    Non-Federal Entities: Mission Essential Functions IdentificationProcess (States, Territories, Tribes, and Local GovernmentJurisdictions), was approved July 22, 2010, by the AssistantAdministrator of National Continuity Programs. CGC 2 providesplanning guidance to assist non-Federal entities and organizations in

    identifying their essential functions.

    Additionally, CGC 2 describes the use of a systematic BusinessProcess Analysis, Business Impact Analysis, and the development ofrisk mitigation strategies.

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    FEMA Continuity Planning Guidance

    An organizations continuity of operations plan documents the

    overarching strategy, policies, and procedures required to support itsheadquarters continuity of operations program.

    As the DHS entity for coordinating the Executive Branch continuity of

    operations program, NCP has developed detailed planning guidanceand plan templates to help other Federal and non-Federal entities in

    their continuity planning. NCPs responsibilities include ensuring that

    plans are current and contain all required information, as outlined inFederal Continuity Directive 1 and Continuity Guidance Circular 1.

    The Continuity of Operations Planning Course provides guidanceand templates to help develop Federal interagency and State,territorial, tribal, and local government continuity plans and programs.

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    A World of Resources

    http://www.fema.gov/about/org/ncp/coop/planning.shtm

    http://www.fema.gov/about/org/ncp/coop/planning.shtmhttp://www.fema.gov/about/org/ncp/coop/planning.shtm
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    COOP/COG Illustrated

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    The Goal of Continuity

    The ultimate goal of continuity in the executive branch isthe continuation of National Essential Functions (NEFs).In order to achieve that goal, the objective fororganizations is to identify their Essential Functions (EFs)

    and ensure that those functions can be continuedthroughout, or resumed rapidly after, a disruption ofnormal activities.

    The Federal Government has an important partnershipwith other non-Federal government entities and withprivate sector owners and operators who play integralroles in ensuring our homeland security.

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    Continuity Program Management Cycle

    An organizations resiliency is directly related to the

    effectiveness of its continuity capability. An organizations

    continuity capabilityits ability to perform its essentialfunctions continuouslyrests upon key components orpillars, which are in turn built on the foundation of

    continuity planning and program management.

    Those key pillars are Leadership, Staff, Communications,and Facilities. The continuity program staff within an

    agency shall coordinate and oversee the developmentand implementation of continuity plans and supportingprocedures.

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    A standardized continuity program management

    cycle ensures consistency across all continuityprograms and supports the foundation and pillars

    that comprise the Nations continuity capability.

    It establishes consistent...