continuity of operations training by jonathan greenstein, ilem

8/4/2019 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:[email protected]

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:[email protected]:[email protected]


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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


Continuity Guidance Circular (CGC) 1


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 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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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 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 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 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 performance metrics,prioritizes implementation plans, promulgates best

practices, and facilitates consistent cross-agencycontinuity evaluations.


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Elements of Viable Continuity Capability

The Continuity Plan is the roadmap for the implementation and

management of the Continuity Program.

NSPD-51/HSPD-20, the NCPIP, Federal Continuity Directive 1 (FCD 1),and Continuity Guidance Circular 1 (CGC 1) outline the followingoverarching continuity requirements for agencies and organizations:

Essential Functions Orders of Succession

Delegations of Authority

Continuity Facilities

Continuity Communications

Vital Records Management

Human Capital

Tests, Training, and Exercises (TT&E)

Devolution of Control and Direction

Reconstitution


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Elements

Essential Functions a subset of government and other

organizational functions that are determined to be criticalactivities used to identify supporting tasks and resources thatmust be included in the agencys and organizations continuityplanning process.

Orders of Successionessential part of an agencys andorganizations continuity plan to ensure that agency andorganizational personnel know who assumes the authority andresponsibility of the agencys and organizations leadership ifthat leadership is incapacitated or becomes otherwise

unavailable during a continuity situation.

Delegations of Authority establish who has the right tomake key decisions during a continuity situation.


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Elements

Continuity Facilities alternate facilities from which an

agency and organization can perform its Essential Functionsin a threat-free environment.

Continuity Communications the availability andredundancy of critical communications systems to supportconnectivity to internal and external organizations, customers,and the public is vital to the success of agency andorganization operations.

Vital Records Management the identification, protectionand ready availability of electronic and hard copy documents,references, records, information systems, data managementsoftware and equipment needed to support essential functionsduring a continuity situation.


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Elements

Human Capital provides guidance to emergency employeesand other special categories of employees who are activatedby an agency and organization to perform assigned responseduties during a continuity event.

Tests, Training, and Exercises (TT&E) Provisions made forthe identification, training, and preparedness of personnelcapable of relocating to alternate facilities to support the

continuation of the performance of essential functions.


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Elements

Devolution of Control and Direction capability to transferstatutory authority and responsibility for essential functionsfrom an agencys and organizations primary operating staff

and facilities to other agency and organization employees and

facilities, and to sustain that operational capability for anextended period.

Reconstitution the process by which surviving and/orreplacement agency and organizational personnel resumenormal agency operations from the original or replacementprimary operating facility.


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Four Phases of Continuity of Operations Activation

Phase I Readiness and Preparedness.

Phase II Activation and Relocation: plans, procedures,and schedules to transfer activities, personnel, records,and equipment to alternate facilities are activated.

Phase III Continuity Operations: full execution ofessential operations at alternate operating facilities iscommenced.

Phase IV Reconstitution: operations at alternate facilityare terminated and normal operations resume.


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Conditions in which the Continuity Plan will be Activated

The plan could be activated in response to a wide rangeof events or situations from a fire in the building; to anatural disaster; to the threat or occurrence of a terroristattack. Any event that makes it impossible for employeesto work in their regular facility could result in theactivation of the Continuity plan.

"Continuity planning is simply the good business practiceof ensuring the execution of essential functions through

all circumstances, and it is a fundamental responsibility ofpublic and private entities responsible to theirstakeholders."


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Continuity Plan Templates

FEMA has made available several planningtemplates. They are accessible via:

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


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Related Planning Templates

In addition to the foundation COOP Template, thereare also available planning templates that address:

-Meta Checklist-Continuity Multi-Year Strategy and Program Management Plan

-Reconstitution Template

-Devolution Template

-Vital Records

-Exercise Templates


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Plan Templates

The template structure follows the traditional functional

Emergency Operations Plan format detailed in the FederalEmergency Management Agency (FEMA) NationalPreparedness Directorates Comprehensive PreparednessGuide 101, Developing and Maintaining State, Territorial,Tribal, and Local Government Emergency Plans, dated March

2009.

By following the format presented in this template,organizations will ensure that their continuity plans

address the key planning elements that supporteffective continuity operations during todays all-hazards environment.


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COOP/COG Training IS 546A: Continuity of Operations Awareness Course

IS 547A: Introduction to Continuity of Operations

IS/G 139: Exercise Design Course (Continuity of Operations)

B/E/L 548: Continuity Managers Train-the-Trainer Course

B/E/L 550: Continuity Planners Train-the-Trainer Workshop

B/E/L 551: Devolution Planning Train-the-Trainer Workshop

B/E/L 156: Continuity of Operations Building Design for Homeland Security Train-the-TrainerCourse

Continuity Excellence Series (Professional & Master Continuity Practitioner Programs, Levels 1 &II)

Continuity Practitioner Certificates : Professional and Master


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Training

The Emergency Management Institute (EMI) is onevenue where you will locate the majority of trainingprograms related to COOP and COG. In addition,the EMI offers numerous other emergencymanagement, mitigation, response and recoverycentric courses.

http://www.training.fema.gov/
http://www.training.fema.gov/http://www.training.fema.gov/http://www.training.fema.gov/


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EMI EMI serves as the national focal point for the development and

delivery of emergency management training to enhance thecapabilities of State, local, and Tribal government officials;volunteer organizations; FEMAs disaster workforce; otherFederal agencies; and the public and private sectors tominimize the impact of disasters and emergencies on theAmerican public.

EMI curricula are structured to meet the needs of this diverseaudience with an emphasis on separate organizations workingtogether in all-hazards emergencies to save lives and protectproperty. Particular emphasis is placed on governing doctrine

such as the National Response Framework, National IncidentManagement System, and the National PreparednessGuidelines.


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FEMA Independent Study Program (ISP)

The Emergency Management Institute (EMI) offersself-paced courses designed for people who have

emergency management responsibilities and thegeneral public.

All are offered free-of-charge to those who qualify for

enrollment.

http://www.training.fema.gov/is/


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FEMA Independent Study Program

FEMAs Independent Study Program offers courses that

support the nine mission areas identified by the NationalPreparedness Goal.

1-Incident Management

2-Operational Planning

3-Disaster Logistics

4-Emergency Communications

5-Service to Disaster Victims

6-Continuity Programs

7-Public Disaster Communications8-Integrated Preparedness

9-Hazard Mitigation
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Alabama Association of Emergency Management (AAEM)

AAEM is a non-profit organization of emergency management personnel established to:

Instill and stimulate love of our community, state and country.

Advocate a strong emergency preparedness program adequate for the defense of our country.

Foster fraternal relations between Emergency Management personnel at all levels of government.

Provide a recognizable force through which Emergency Management advocates can express theirconcerted views on matters of interest and concern.

Establish an alliance between local EMA offices and other agencies of state and local governmentwhich have emergency preparedness responsibilities for the exchange of ideas and concerns.

Establish an effective liaison with businesses, industries and educational institutions.

Promote professionalism among Emergency Management personnel by establishing performancestandards and encouraging continuing education.

Promote necessary legislation to enhance emergency preparedness at both the state and nationallevels.
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AAEM Certifications

AAEM offers three levels of certification in recognition of applicants

work and study in emergency management.

There are three levels of certification with increasing requirements of

education, training and experience.

Levels: Basic, Intermediate and Advanced.

FEMA IS Courses*: Basic=9 Intermediate=9 Advanced=9

Hours: Basic=71+ Intermediate=70+ Advanced=80+

*These are minimum requirements. To move to the next level theapplicant is required to have completed the baseline training.


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Questions/Comments?

Thank you for your dedication and service!

continuity of operations training by jonathan greenstein, ilem

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