fed continuity directive.pdf

Federal Continuity Directive 1

(FCD 1)

November 6, 2007

Federal Continuity Directive 1

(FCD 1)

6, 2007

Federal Continuity Directive 1 (FCD 1) Federal Executive Branch National Continuity Program and Requirements

February 2008

FCD 1

iii

TABLE OF CONTENTS

1. PURPOSE

2. APPLICABILITY AND SCOPE

3. SUPERSESSION

4. AUTHORITIES

5. REFERENCES

6. POLICY

7. BACKGROUND

8. PROGRAM MANAGEMENT

9. ELEMENTS OF A VIABLE CONTINUITY CAPABILITY

10. COORDINATION WITH STATE, LOCAL, TERRITORIAL, AND TRIBAL

GOVERNMENTS, AND THE PRIVATE SECTOR

11. CONTINUITY PLAN OPERATIONAL PHASES AND IMPLEMENTATION

12. ROLES AND RESPONSIBILITIES

13. POINT OF CONTACT

14. DISTRIBUTION

ANNEX A. PROGRAM PLANS AND PROCEDURES ...................................................... A-1 ANNEX B. RISK MANAGEMENT.......................................................................................B-1 ANNEX C. BUDGETING AND ACQUISITION OF RESOURCES....................................C-1 ANNEX D. ESSENTIAL FUNCTIONS................................................................................ D-1 ANNEX E. ORDERS OF SUCCESSION ..............................................................................E-1 ANNEX F. DELEGATIONS OF AUTHORITY ...................................................................F-1 ANNEX G. CONTINUITY FACILITIES.............................................................................. G-1 ANNEX H. CONTINUITY COMMUNICATIONS.............................................................. H-1 ANNEX I. VITAL RECORDS MANAGEMENT .................................................................I-1 ANNEX J. HUMAN CAPITAL..............................................................................................J-1 ANNEX K. TEST, TRAINING, AND EXERCISE (TT&E) PROGRAM............................ K-1 ANNEX L. DEVOLUTION OF CONTROL AND DIRECTION .........................................L-1 ANNEX M. RECONSTITUTION OPERATIONS ................................................................M-1

ANNEX N. CONTINUITY PLAN OPERATIONAL PHASES AND

IMPLEMENTATION......................................................................................... N-1 ANNEX O. ACRONYMS...................................................................................................... O-1 ANNEX P. GLOSSARY ........................................................................................................P-1 ANNEX Q. AUTHORITIES AND REFERENCES .............................................................. Q-1

FEDERAL CONTINUITY DIRECTIVE 1 (FCD 1)

Number Date Office FCD 1 February 2008 FEMA National Continuity Programs

TO: HEADS OF FEDERAL DEPARTMENTS AND AGENCIES

SUBJECT: FEDERAL EXECUTIVE BRANCH NATIONAL CONTINUITY PROGRAM

1. PURPOSE: This Federal Continuity Directive (FCD) provides direction to the Federal executive branch for developing continuity plans and programs. Continuity planning facilitates the performance of executive branch essential functions during all-hazards emergencies or other situations that may disrupt normal operations. The ultimate goal of continuity in the executive branch is the continuation of National Essential Functions (NEFs).

2. APPLICABILITY AND SCOPE: The provisions of this FCD are applicable to the executive departments enumerated in 5 U.S.C. § 101, including the Department of Homeland Security, independent establishments as defined by 5 U.S.C. § 104(1), Government corporations as defined by 5 U.S.C. § 103(1), and the United States Postal Service. The departments, agencies, and independent organizations are hereinafter referred to as “agencies.” The continuity program elements outlined herein are for use at all levels of Federal executive branch organizations regardless of their location, and are also useful reference documents for non-Federal Government and private sector entities.

3. SUPERSESSION: The provisions of this FCD supersedes:

a. Federal Preparedness Circular 60, Continuity of the Executive Branch of the Federal Government at the Headquarters Level During National Security Emergencies, and

b. Federal Preparedness Circular 65, Federal Executive Branch Continuity of Operations, June 15, 2004.

4. AUTHORITIES:

See Annex Q – Authorities and References.

5. REFERENCES:

See Annex Q – Authorities and References.

6. POLICY: It is the policy of the United States to maintain a comprehensive and effective continuity capability composed of Continuity of Operations (COOP) and Continuity of Government (COG) programs to ensure the preservation of our form of Government under the Constitution and the continuing performance of NEFs under all conditions (National Security Presidential Directive (NSPD)-51/Homeland Security Presidential Directive (HSPD)-20, National Continuity Policy). Continuity requirements must be incorporated into the daily operations of all agencies to ensure seamless and immediate continuation of Primary Mission Essential Function (PMEF) capabilities so that critical government functions and services remain available to the Nation’s citizens. Continuity planning will occur simultaneously with the development and execution of Federal agency programs. This means that organizations must incorporate redundancy and resiliency as a means and an end.

In support of this policy, the Federal executive branch has developed and implemented a continuity program which is composed of efforts within individual agencies to ensure that their Mission Essential Functions (MEFs) continue to be performed during a wide range of emergencies, including localized acts of nature, accidents, and technological or attack-related emergencies. These efforts include plans and procedures, under all readiness levels, that delineate essential functions, specify succession to office and emergency delegations of authority, provide for the safekeeping of vital records, identify a range of continuity facilities and locations, provide for interoperable communications, provide for human capital planning, validate these capabilities through tests, training, and exercises (TT&E), specify a devolution of control and direction, and provide for reconstitution. All agencies, regardless of their size or location, shall have in place a viable continuity capability to ensure continued performance of their agency’s essential functions under all conditions.

"COOP," or Continuity of Operations, is an effort within individual organizations (i.e., Federal executive branch departments and agencies) to ensure that MEFs and PMEFs continue to be performed during a wide range of emergencies, including localized acts of nature, accidents, and technological or attack-related emergencies.

"COG," or Continuity of Government, means a coordinated effort within each branch of Government (e.g., the Federal Government's executive branch) to ensure that NEFs continue to be performed during a catastrophic emergency.

"ECG," or Enduring Constitutional Government, means a cooperative effort among the legislative, executive, and judicial branches of the Federal Government, coordinated by the President, as a matter of comity with respect to the legislative and judicial branches and with proper respect for the constitutional separation of powers among the branches, to preserve the constitutional framework under which the Nation is governed and the capability of all three branches of government to execute their constitutional responsibilities and provide for orderly succession, appropriate transition of leadership, interoperability, and support of NEFs during a catastrophic emergency.

7. BACKGROUND: Continuity planning is simply the good business practice of ensuring the execution of essential functions through all circumstances, and it is a fundamental responsibility of public and private entities responsible to their stakeholders. Today’s asymmetric threat environment and the potential for no-notice emergencies, including localized acts of nature, accidents, technological emergencies, and military or terrorist attack-related incidents, have increased the need for robust continuity capabilities and planning that enable agencies to continue their essential functions across a broad spectrum of emergencies.

This, coupled with the potential for terrorist use of weapons of mass destruction (WMDs), has emphasized the importance of continuity programs that ensure continuity of essential government functions throughout the Federal executive branch.

Historically, the Federal Government has defined continuity efforts using the terms “COOP,” “COG,” and “ECG,” as defined in Figure 1.

Figure 1

The lessons we have learned from such catastrophic events as the attacks of September 11, 2001, and Hurricane Katrina in 2005 demonstrate the need to reemphasize continuity as a “good business practice” to be incorporated into day-to-day planning, in order to reduce vulnerability, and ensure continuity.

On May 4, 2007, the President issued the National Continuity Policy (“Policy”) in NSPD-51/HSPD-20, which sets forth a new vision to ensure the continuity of our Government. Pursuant to NSPD-51/HSPD-20, and in accordance with the National Continuity Policy Implementation Plan, the President directs the executive branch to reorient itself and to utilize an integrated, overlapping national continuity concept to ensure the preservation of our Government and the continuing performance of essential functions.

Continuity responsibility and planning should not be a separate and compartmentalized function performed by independent cells of a few planners in each agency. It must be fully integrated into all aspects of an organization’s daily operations, thus creating a “culture of continuity.”

8. PROGRAM MANAGEMENT: An organization’s resiliency is directly related to the effectiveness of its continuity capability. An organization’s continuity capability—its ability to perform its essential functions continuously—rests upon key components and pillars, which are in turn built on the foundation of continuity planning and program management.

These pillars are Leadership, Staff, Communications, and Facilities. The continuity program staff within an agency shall coordinate and oversee the development and implementation of continuity plans and supporting procedures.

Pillars 1 and 2: People – Leadership and Staff

Continuity of leadership is critical to ensure continuity of essential functions. Organizations must provide for a clear line of succession in the absence of existing leadership and the necessary delegations of authority to ensure that succeeding leadership has the legal authorities to carry out their duties. Continuity of leadership during crisis, especially in the case of senior positions like the President and heads of agencies, is important to reassure the Nation and give confidence to its citizens that the principal or appropriate successor is managing the crisis and ensuring the performance of essential functions. Leaders are needed to set priorities and keep focus.

Leaders and staff must be sufficiently trained to be able to perform their duties in a continuity environment. To ensure that required skill sets are available, personnel should be both cross-trained and vertically trained to be able to perform the functions of their peers and the persons above and below them in an emergency.

Pillar 3: Communications and Technology

The capability to communicate is critical to daily operations and absolutely essential in a crisis. The Nation’s domestic and international telecommunications resources, including commercial, private, and Government-owned services and facilities, are essential to support continuity plans and programs. All organizations must identify the communication requirements needed to perform their essential functions during both routine and continuity conditions. Communication systems and technology must be interoperable, robust, and reliable. Planners must consider the resilience of their systems to operate in disaster scenarios that may include power and other infrastructure problems.

Organizations must use technology to perform essential functions as an intrinsic part of daily operations, utilizing voice, data, and video solutions as appropriate. Communications and business systems, including hardware and software for continuity operations, should mirror those used in day-to-day business to assist continuity leadership and staff in a seamless transition to crisis operations.

Pillar 4: Facilities

Facilities are the locations where essential functions are performed by leadership and staff.

Organizations should have adequate, separate locations to ensure execution of their functions. Physical dispersion should allow for easy transfer of function responsibility in the event of a problem in one location.

Foundation: Continuity Planning and Program Management

While an organization needs leaders, staff, communications, and facilities to perform its essential functions, it also needs well thought out and detailed plans for what to do with those key resources. Planning must include all of the requirements and procedures needed to perform essential functions.

Other key continuity concepts include geographic dispersion, risk management, security, readiness and preparedness. Geographic dispersion of an organization’s normal daily operations can significantly enhance the organization’s resilience and reduce the risk of losing the capability to perform essential functions. Geographic dispersion of leadership, data storage, personnel, and other capabilities may be essential to the performance of essential functions following a catastrophic event and will enable operational continuity during an event that requires social distancing (e.g., pandemic influenza).

Risk management is the process to identify, control, and minimize the impact of uncertain events. Security is a key element to any continuity program to protect plans, personnel, facilities, and capabilities to prevent adversaries from interdicting continuity plans and operations. In order to ensure the safety and success of continuity operations, an effective security strategy must address personnel, physical, and information security.

Readiness is the ability of an organization to respond to an incident. While readiness is a function of planning and training, it is ultimately the responsibility of leadership to ensure an organization—through normal procedures or with a continuity plan—can perform its essential functions before, during, and after an incident. Federal and non-Federal Government (NFG) organizations outside the National Capital Region (NCR) may consider creating a “continuity readiness posture” similar to the executive branch’s Continuity of Government Readiness Conditions (COGCON) system that establishes readiness levels in order to provide a flexible and coordinated response to escalating threat levels or actual emergencies, focusing on possible threats to the NCR (see Annex N). Other alert systems include Department of Homeland Security’s (DHS) Homeland Security Advisory System

(HSAS), which provides guidance to the public on the status of our homeland security, and the United States Federal Response Stages for Pandemic Influenza.

Continuity Program Management Cycle

A standardized continuity program management cycle ensures consistency across all Federal Government continuity programs and supports the foundation and pillars that comprise the Nation’s continuity capability. It establishes consistent performance metrics, prioritizes implementation plans, promulgates best practices, and facilitates consistent cross-agency continuity evaluations. Such a cyclic-based model that incorporates planning, training, evaluating, and the implementation of corrective actions, gives key leaders and essential personnel the baseline information, awareness, and experience necessary to fulfill their continuity program management responsibilities. The continuity program management cycle consists not only of its programmatic elements but also must include the plans and procedures that support implementation of the continuity program. These plans and procedures must also be evaluated pre- and post-event, tested or exercised, and assessed during the development of corrective action plans. Objective evaluations and assessments, developed from tests and exercises, provide feedback on continuity planning, procedures, and training. This feedback in turn supports a corrective action process that helps to establish priorities, informs budget decision making, and drives improvements in plans and procedures. This continuity program management cycle, as illustrated in Figure 2, should be used by all organizations as they develop and implement their continuity programs.

Figure 2

To support the continuity program management cycle, agencies will develop a continuity multiyear strategy and program management plan that provides for the development, maintenance, and annual review of continuity capabilities, requiring an agency to:

a. Designate and review MEFs and PMEFs, as applicable.

b. Define both short-term and long-term goals and objectives for plans and procedures.

c. Identify issues, concerns, and potential obstacles to implementing the program, as well as a strategy for addressing these, as appropriate.

d. Establish planning, training, and exercise activities, as well as milestones for accomplishing these activities.

e. Identify the people, infrastructure, communications, transportation, and other resources needed to support the program.

f. Forecast and establish budgetary requirements to support the program.

g. Apply risk management principles to ensure that appropriate operational readiness decisions are based on the probability of an attack or other incident and its consequences.

h. Incorporate geographic dispersion into the organization’s normal daily operations, as appropriate.

i. Integrate the organization’s security strategies that address personnel, physical, and information security to protect plans, personnel, facilities, and capabilities, to prevent adversaries from disrupting continuity plans and operations.

j. Develop and implement a Corrective Action Program (CAP) that draws upon evaluations, after-action reports, and lessons learned from TT&E and real world events.

See Annex A – Program Plans and Procedures

Risk Management

The assessment and management of risk underlies the full spectrum of our national continuity program management, including decisions about when, where, and how to invest in resources that eliminate, control, or mitigate risks. In the face of multiple and diverse catastrophic possibilities, it is accepted that risk - a function of threats, vulnerabilities, and consequences - is a permanent condition. Therefore, a risk-based framework must be applied across all national continuity efforts in order to identify and assess potential hazards (including their downstream effects), determine what levels of relative risk are acceptable, and prioritize and allocate resources among all national continuity partners, both public and private, to ensure national continuity under all manner of incident conditions. Applying a disciplined approach to managing risk will help to achieve best progress, long term success, and overall effectiveness and efficiency.

See Annex B – Risk Management

Budgeting

Budgeting for and acquiring resources for continuity capabilities is one of the most important components of continuity planning. These budgetary requirements will directly support the ability of subordinate components and of regional- and field-level offices to meet all the criteria of a viable continuity capability as stated in this FCD.

See Annex C – Budgeting and Acquisition of Resources

9. ELEMENTS OF A VIABLE CONTINUITY CAPABILITY: NSPD-51/HSPD-20

outlines the overarching continuity requirements for agencies. These requirements are discussed in more depth in the “Key Considerations and Concept of Operations” section of the National Continuity Policy Implementation Plan. These “key components” are further delineated into the following elements of continuity.

a. ESSENTIAL FUNCTIONS. The identification and prioritization of essential functions is a prerequisite for continuity planning, because they establish the planning parameters that drive an agency’s efforts in all other planning and preparedness areas. During an event that disrupts or has the potential to disrupt normal activities and that necessitates the activation of continuity plans, the resources and staff available to an agency will likely be limited, and therefore the agency will not be able to perform all of its normal government functions.

Therefore, a subset of those government functions that are determined to be critical activities are defined as the agency’s essential functions. These essential functions are then used to identify supporting tasks and resources that must be included in the agency’s continuity planning process.

The National Continuity Policy Implementation Plan has established three categories of essential functions: NEFs, PMEFs, and MEFs. The ultimate goal of continuity in the executive branch is the continuation of NEFs. To achieve that goal, the objective for executive agencies is to identify their MEFs and PMEFs, as appropriate, and ensure that those functions can be continued throughout, or resumed rapidly after, a disruption of normal activities.

The eight National Essential Functions (NEFs) (listed in Annex D of this document) represent the overarching responsibilities of the Federal Government to lead and sustain the Nation and will be the primary focus of the Federal Government’s leadership during and in the aftermath of an emergency.

Primary Mission Essential Functions (PMEFs) are those agency MEFs that must be performed to support or implement the performance of the NEFs before, during, and in the aftermath of an emergency. PMEFs are defined as those functions that need to be continuously performed during an event or resumed within 12 hours of an event, and that need to be maintained for up to 30 days after an event or until normal operations can be resumed.

Mission Essential Functions (MEFs) are a broader set of essential functions that includes not only an agency’s PMEFs, but also all other agency functions that must be continued throughout or resumed rapidly after a disruption of normal activities but that do not rise to the level of being PMEFs. MEFs are those functions that enable an organization to provide vital services, exercise civil authority, maintain the safety of the public, and sustain the industrial/economic base during disruption of normal operations.

When identifying an agency’s essential functions and categorizing them as MEFs or PMEFs, organizations with incident management responsibilities must be sure to incorporate these into their continuity planning requirements for performing these functions. Integration of continuity planning with incident management planning and operations include responsibilities delineated in the National Response Framework (NRF) and is linked to an organization’s ability to conduct its PMEFs.

See Annex D – Essential Functions

b. ORDERS OF SUCCESSION. Agencies are responsible for establishing, promulgating, and maintaining orders of succession to key positions. Such orders of succession are an essential part of an agency’s continuity plan to ensure that agency personnel know who assumes the authority and responsibility of the agency’s leadership if that leadership is incapacitated or becomes otherwise unavailable during a continuity situation. Orders should be of sufficient depth to ensure that the agency can manage and direct its essential functions and operations while remaining a viable part of the Federal Government throughout any emergency.

See Annex E – Orders of Succession

c. DELEGATIONS OF AUTHORITY. To ensure a rapid response to any emergency requiring the implementation of its continuity plan, an agency should delegate authorities for making policy determinations and other decisions, at the headquarters (HQ), field, satellite, and other organizational levels, as appropriate. It is vital to clearly establish delegations of authority, so that all agency personnel know who has the right to make key decisions during a continuity situation. Generally, a predetermined delegation of authority will take effect when normal channels of direction and control are disrupted and will lapse when those channels are reestablished.

See Annex F – Delegations of Authority

d. CONTINUITY FACILITIES. As part of their continuity planning, all agencies must identify alternate facilities; alternate uses for existing facilities; and as appropriate, virtual office options including telework. Risk assessments will be conducted on these facilities to provide reliable and comprehensive data to inform risk mitigation decisions that will allow agencies to protect assets, systems, networks, and functions while determining the likely causes and impacts of any disruption. All agency personnel shall be briefed on agency continuity plans that involve using, or relocating personnel to alternate facilities, existing facilities, or virtual offices. Continuity personnel must be provided supplemental training and guidance on relocation procedures.

See Annex G – Continuity Facilities

e. CONTINUITY COMMUNICATIONS. The ability of an agency to execute its essential functions at its continuity facilities depends on the identification, availability, and redundancy of critical communications and information technology (IT) systems to support connectivity among key government leadership personnel, internal agency elements, other agencies, critical customers, and the public, during crisis and disaster conditions. The capabilities of communications and IT systems (e.g., secure and nonsecure voice systems, video conferencing, and fax and other messaging capabilities) to be used during an incident should mirror those capabilities used during day-to-day operations, and the choice of communications and IT systems should consider how resilient those systems are and how capable they are of operating under conditions that may involve power or other infrastructure disruptions. All necessary and required communications and IT capabilities must be operational as soon as possible following a continuity activation, and in all cases within 12 hours of continuity activation. Agencies need to plan accordingly for essential functions that require uninterrupted communications and IT support.

See Annex H – CONTINUITY COMMUNICATIONS

f. VITAL RECORDS MANAGEMENT. Another critical element of a viable continuity plan and program includes the identification, protection, and ready availability of electronic and hardcopy documents, references, records, information systems, and data management software and equipment (including classified and other sensitive data) needed to support essential functions during a continuity situation. Agency personnel must have access to and be able to use these records and systems to perform essential functions and to reconstitute back to normal agency operations. To ensure performance of essential functions, agencies will pre-position and regularly update duplicate Emergency Operating Records.

See Annex I – Vital Records Management

g. HUMAN CAPITAL.

Leadership and Staff. People are critical to the operations of any organization. Choosing the right people for an organization’s staff is vitally important, and this is especially true in a crisis situation. Leaders are needed to set priorities and keep focus. During a continuity event, emergency employees and other special categories of employees will be activated by an agency to perform assigned response duties. One of these categories is continuity personnel, referred to as the Emergency Relocation Group (ERG) members.

Human Capital Considerations. An agency’s continuity program, plans, and procedures should incorporate existing agency-specific guidance and direction for human capital management. These can include guidance on pay, leave, work scheduling, benefits, telework, hiring, etc., authorities and flexibilities. An agency’s Continuity Coordinator (or continuity manager) should work closely with the agency’s Chief Human Capital Officer or Director of Human Resources to resolve human capital issues related to a continuity event.

Human capital issues can be solved typically at the agency level through the agency’s Chief Human Capital Officer or Director of Human Resources, or their designees, using available laws, the U.S. Office of Personnel Management regulations and guidance, as well as agency implementing instructions.

The planning and preparedness related to leadership, staff, and human capital considerations for a continuity event encompasses the following six activities:

1) Agencies must develop and implement a process to identify, document, communicate with and train continuity personnel.

2) Agencies must provide guidance to continuity personnel on individual preparedness measures they should take to ensure response to a continuity event.

3) Agencies must implement a process to communicate the agency’s operating status to all staff.

4) Agencies must implement a process to contact and account for all staff in the event of an emergency.

5) Agencies must identify a human capital liaison from the agency’s human resources staff to work with the Continuity Coordinator or continuity manager when developing the agency’s emergency plans.

6) Agencies must implement a process to communicate their human capital guidance for emergencies (pay, leave, staffing and other human resources flexibilities) to managers and make staff aware of that guidance in an effort to help agencies continue essential functions during an emergency.

See Annex J – Human Capital

h. TEST, TRAINING, AND EXERCISE (TT&E). An effective TT&E program is necessary to assist agencies to prepare and validate their organization’s continuity capabilities and program and the Federal executive branch’s ability to perform MEFs and PMEFs during any emergency. This requires the identification, training, and preparedness of personnel capable of performing their continuity responsibilities and implementing procedures to support the continuation of agency essential functions.

Training provides the skills and familiarizes leadership and staff with the procedures and tasks they must perform in executing continuity plans. Tests and exercises serve to assess and validate all the components of continuity plans, policies, procedures, systems, and facilities used to respond to and recover from an emergency situation and identify issues for subsequent improvement. All agencies must plan, conduct, and document periodic TT&Es to prepare for all-hazards continuity emergencies and disasters, identify deficiencies, and demonstrate the viability of their continuity plans and programs. Deficiencies, actions to correct them, and a timeline for remedy must be documented in an organization’s CAP.

See Annex K – Test, Training, and Exercises

i. DEVOLUTION OF CONTROL AND DIRECTION. Devolution is the capability to transfer statutory authority and responsibility for essential functions from an agency’s primary operating staff and facilities to other agency employees and facilities, and to sustain that operational capability for an extended period.

Devolution planning supports overall continuity planning and addresses the full spectrum of threats and all-hazards emergency events that may render an agency’s leadership or staff unavailable to support, or incapable of supporting, the execution of the agency’s essential functions from either its primary location or its alternate location(s). Agencies shall develop a devolution option for continuity, to address how those agencies will identify and conduct its essential functions during an increased threat situation or in the aftermath of a catastrophic emergency.

See Annex L – Devolution of Control and Direction

j. RECONSTITUTION. Reconstitution is the process by which surviving and/or replacement agency personnel resume normal agency operations from the original or replacement primary operating facility. Reconstitution embodies the ability of an agency to recover from an event that disrupts normal operations and consolidates the necessary resources so that the agency can resume its operations as a fully functional entity of the Federal Government. In some cases, extensive coordination may be necessary to procure a new operating facility, if an agency suffers the complete loss of a facility or in the event that collateral damage from a disaster renders a facility structure unsafe for reoccupation.

See Annex M – Reconstitution Operations

10. COORDINATION WITH STATE, LOCAL, TERRITORIAL, AND TRIBAL

GOVERNMENTS, AND THE PRIVATE SECTOR: The Federal Government’s NEFs, prescribed in NSPD-51/HSPD-20, cannot be performed without the robust involvement of NFGs and the private sector. State, local, territorial, and tribal governments play an integral role in determining the needs of the public and in ensuring that essential functions (e.g., police and fire services, emergency medical care, road construction, public education) continue on a daily basis. The Federal Government’s COOP, COG, and ECG plans and operations shall be appropriately integrated with the emergency and continuity plans and capabilities of State, local, territorial, and tribal governments, and private sector owners and operators of critical infrastructure, as appropriate, in order to promote interoperability and prevent redundancies and conflicting lines of authority.

Agencies should coordinate with regional entities, State, local, territorial, and tribal governments, and private sector owners and operators of the Nation’s critical infrastructure and key resources (CI/KR) as appropriate, to build relationships and ensure unity of effort by:

a. Incorporating their capabilities into the agency’s continuity planning and exercise activities to the extent possible.

b. Identifying hazards relevant to the agency’s mission and location.

c. Partnering with these entities to develop continuity plans that are coordinated with

Federal plans to the extent possible.

d. Participating in continuity working groups (CWGs), information sharing, training, and exercises, as appropriate.

e. Coordinating occupant emergency plans (OEPs), shelter-in-place plans, and regional and local evacuation plans.

f. Participating in existing alert and notification networks and credentialing initiatives, as appropriate.

g. Identifying interdependencies and ensuring resiliency with critical infrastructure and services at all levels.

h. Coordinating continuity resource and security requirements, as appropriate.

i. Working with organizations such as DHS/Federal Emergency Management Agency

(FEMA) Regional/State-level CWGs, DHS/Office of Infrastructure Protection, and the various CI/KR Sector Coordinating Councils (SCCs) and Government Coordinating Councils (GCCs), Federal Executive Boards (FEBs) and Federal Executive Associations (FEAs) to augment and strengthen coordination efforts.

j. Participating in other coordinating activities, as appropriate.

11. CONTINUITY PLAN OPERATIONAL PHASES AND IMPLEMENTATION:

A continuity plan is implemented to ensure the continuation or rapid resumption of essential functions during a continuity event. Agencies should develop an executive decision-making process that allows for a review of the emergency and a determination of the best course of action based on the agency’s readiness posture. An agency’s continuity implementation process will include the following four phases: readiness and preparedness, activation and relocation, continuity operations, and reconstitution. The four phases are implemented as illustrated in Figure 3.

Figure 3

See Annex N – Continuity Plan Operational Phases and Implementation

Readiness and Preparedness

Activation and Relocation

Continuity Operations

Reconstitution

Event/Threat

12. ROLES AND RESPONSIBILITIES: The following responsibilities are assigned to the leadership or leadership of designated entities listed below, as outlined in the National Continuity Policy Implementation Plan.

a. The President is responsible for leading the activities of the Federal Government for

ECG.

b. The National Continuity Coordinator (NCC) is responsible for:

1) Providing continuity policy coordination among all agencies, monitoring performance, and reporting to the President as appropriate.

2) Periodically reviewing and, as necessary, coordinating the revision of the NEFs.

3) Overseeing the Continuity Policy Coordination Committee (CPCC), which was established consistent with HSPD-1 of October 29, 2001 (“Organization and Operation of the Homeland Security Council”). The CPCC is chaired by a designee of the NCC and is the main day-to-day forum for continuity policy coordination.

4) Establishing a Continuity Advisory Group (CAG) as a sub-CPCC group focused on interagency implementation of continuity programs.

5) Establishing an interagency board (IAB), as a working group of the CPCC to review and recommend validation of potential PMEFs submitted by agencies for submission to the NCC for final approval.

6) Within 30 days of IAB review, considering identified PMEFs for validation and approval.

7) Coordinating with FEMA in developing a continuity assessment tool for the agencies to measure continuity readiness against requirements contained in NSPD-51/ HSPD- 20 and reporting the continuity assessment results to the President.

8) Within the annual budget process and on an ongoing basis, assisting OMB and agencies with continuity budget development and prioritization, including long-term equipment life cycle replacements and upgrades.

9) On an ongoing basis, ensuring coordination of continuity acquisition functions with DHS and the General Services Administration (GSA).

10) On an ongoing basis, coordinating the integration of national continuity test, training, and exercise programs.

11) Annually submitting a report to the President that assesses (a) the ability of executive branch departments and agencies to perform their PMEFs, (b) the scope and effectiveness of legislative, executive, and judicial branch coordination, and the nature and level of executive branch support, to perform the NEFs and achieve common continuity goals, and (c) the scope and effectiveness of coordination among State, local, territorial, and tribal governments and the private sector to perform the NEFs and achieve common continuity goals.

12) Coordinating, without exercising directive authority, the development and implementation of continuity policy for agencies.

13) Maintaining and revising as necessary the various agency PMEFs and MEFs in order to meet requirements for continuity, including ECG, COG, and COOP.

c. The Assistant to the President for National Security Affairs (APNSA) is responsible for coordinating with the NCC on the development and implementation of continuity policy for executive departments and agencies.

d. The Secretary of Homeland Security is responsible for:

1) On an ongoing basis, serving as the President’s lead agent for coordinating overall continuity operations and activities and domestic incident management of executive departments and agencies, and in such role performing the responsibilities set forth in NSPD-51/HSPD-20 and in HSPD-5.

2) Coordinating the implementation, execution, and assessment of continuity activities and programs.

3) Quarterly, ensuring FEMA’s Continuity Coordinator chairs meetings of the CAG and reports to the CPCC.

4) On an as-needed basis in coordination with the CAG and in consultation with the CPCC, developing and promulgating Federal Continuity Directives that establish continuity planning requirements, continuity plan templates, TT&E programs including required continuity training, types and frequency of exercises, and assessment criteria to ensure agencies develop and maintain a robust TT&E program.

5) In coordination with the CPCC, issuing FCDs on Continuity Requirements to include the formalized and standardized process for the identification of MEFs, and revising through annual or as needed Directives thereafter, and the identification and submission of potential PMEFs that are consistent and supporting of the NEFs for review by the IAB, consolidating the agencies’ PMEFs, and compiling and submitting potential PMEFs to the NCC.

• Include a standardized checklist to allow agencies to assess their PMEFs through a risk management process;

• Include guidance on how the PMEF links to/supports NEF(s); and

• Include guidance on impact statements if a specific PMEF is not conducted.

6) Within 30 days after submission of agency MEFs and potential PMEFs, compiling submissions and providing them to the NCC for IAB review and validation.

7) On an annual basis, developing, leading, and conducting an integrated COOP and COG continuity training exercise, incorporated into the National Exercise Program (NEP), and reporting the results to the NCC.

8) Providing continuity direction, training, and coordination of continuity exercises, as well as providing continuity program and biennial assessments of department and agency continuity capabilities and reporting the results to the President through the

NCC.

9) Developing, leading, and conducting the Federal executive branch continuity training and exercise program, which shall be incorporated into the NEP developed pursuant to HSPD-8 of December 17, 2003 (“National Preparedness”), in consultation with an official designated by the Chief of Staff to the President.

10) Coordinating the integration of Federal executive branch continuity plans and operations with State, local, territorial, and tribal governments and private sector owners and operators of critical infrastructure, as appropriate, in order to provide for the delivery of essential services during an emergency.

11) On an ongoing basis, ensuring that the DHS National Operations Center (NOC), National Infrastructure Coordinating Center (NICC), and FEMA Operations Center (FOC) maintain 24-hour operations to ensure appropriate responses for continuity, incident management activities, and for emergency operations.

12) On an ongoing basis, ensuring that the National Preparedness Goal, the Target Capabilities List, and State and Local Homeland Security Grant Programs criteria provide guidance to State, local, tribal and territorial governments on continuity priorities and implementation guidelines.

13) On an ongoing basis, ensuring that DHS makes available continuity planning and exercise funding in the form of grants, as provided by law, to State, local, territorial, tribal governments and the private sector.

14) On an ongoing basis, ensuring that the National Infrastructure Protection Plan (NIPP) supports the Nation’s continuity plans and programs and provides guidance to private sector entities and operators of CI/KR on continuity priorities and implementation guidelines.

15) Not less than quarterly, conducting assessments of continuity communications capabilities in consultation with an official designated by the Chief of Staff to the President.

16) Establishing a familiarization briefing on MEF and PMEF identification for agency Continuity Coordinators (Assistant Secretary-level).

17) Annually updating training courses for agency continuity planners on the identification and development of PMEFs and MEFs, in addition to maintaining ongoing continuity training courses.

18) Within 30 days after receipt of technical requirements from the Office of Science and Technology Policy (OSTP), as Executive Agent of the National Communications System (NCS), providing the Director of OSTP, and Department of Defense (DOD) with an implementation plan for a comprehensive Continuity Communications Architecture (CCA), which shall include the minimum requirements necessary to finalize selection of a secure communications system by DOD.

19) Within 90 days after receipt of technical requirements from OSTP, through the NCS, developing, implementing, and beginning maintenance of a comprehensive CCA.

20) On an as-needed basis, revising and promulgating integrated continuity planning guidance to NFGs and others as appropriate.

21) On an as-needed basis, providing critical infrastructure assistance and support in accordance with HSPD-7 and the National Strategy for the Physical Protection of Critical Infrastructures and Key Assets.

22) On an as-needed basis, providing cybersecurity assistance and support in accordance with HSPD-7 and the National Strategy to Secure Cyberspace.

23) Developing regional and State level CWGs to, at a minimum, conduct annual continuity conferences to address joint Federal and NFG continuity planning and other elements of a viable continuity program.

24) Developing and promulgating continuity planning guidance to State, local, territorial, and tribal governments. Guidance should include procedures and models for development of PMEFs, orders of succession, delegations of authority, devolution, reconstitution, establishment of alternate facilities, interoperable communications, the safeguarding of vital resources, facilities, and records, and a test, training, and exercise program that will ensure a viable continuity program.

25) Providing planning guidance to NFGs on development of internal MEFs. Guidance will be based on the requirement of continuing the performance of essential functions.

26) Providing critical infrastructure assistance and support for the Nation’s continuity plans and programs in accordance with guidance in HSPD-7. Organizations established to support the NIPP will be members of and support the activities of the

CWGs, including supporting the activities of the DHS/FEMA regional and State level CWGs.

27) Developing and promulgating continuity planning guidance for private sector critical infrastructure owners and operators. Guidance should be integrated into the NIPP and be supported by CI/KRs Coordinating Councils and Committees in accordance with guidance in HSPD-7.

28) Inviting the private sector to participate in government training and exercises, where appropriate.

29) Developing, operating, and maintaining a continuity Readiness Reporting System (RRS) which will measure and report both the individual and aggregate ability of agencies to continue their PMEFs in support of the required NEFs. This system identifies near real-time COOP and COG programmatic capabilities and requires monthly or as required data input from system users.

30) Coordinating with the Assistant to the President for Homeland Security and Counterterrorism (APHS/CT) in developing a continuity assessment tool for the agencies to measure continuity readiness against requirements contained in NSPD-

51/HSPD-20.

e. Heads of Federal Government executive agencies are responsible for:

1) On an ongoing basis, ensuring performance of agency PMEFs.

2) On an ongoing basis, incorporating continuity requirements into daily agency operations.

3) On an ongoing basis, ensuring the agency has continuity plans for dealing with a national or localized emergency situation and ensuring the continued performance of all PMEFs in support of the NEFs, as well as continued performance of MEFs.

4) Appointing a senior accountable official, at the Assistant Secretary or equivalent level, as the Continuity Coordinator for the department or agency.

5) Annually submitting a report to the NCC certifying that the agency has a continuity capability plan that includes the items in Paragraph 11 of NSPD-51/ HSPD-20.

6) On an ongoing basis, consistent with sections 11(e) and 19(c) of NSPD-51/ HSPD-20, planning, programming, and budgeting for secure continuity communications capabilities.

7) Within 90 days after DHS’s guidance, reviewing and revising MEFs and identifying and submitting potential PMEFs. To support the PMEF approval and implementation process, agency heads are responsible for:

a. Validating and approving their identified PMEFs and MEFs, as appropriate, and accompanying Business Process Analysis (BPAs).

b. Identifying and submitting to the NCC through the IAB their respective MEFs and potential PMEFs that support NEFs.

c. After validation of agency PMEFs and annually thereafter, ensuring key leaders and support staff are provided familiarization training of agency PMEFs and MEFs.

d. After validation of agency PMEFs, ensuring PMEF and MEF interdependencies are coordinated internally, at the interagency level, and with private sector partners.

e. In consultation with the NCC, periodically reviewing and revising their PMEFs and MEFs.

8) During development of PMEFs, coordinating and integrating with Federal and non- Federal Government organizations; State, local, tribal, and territorial governments;

and private sector entities on those relevant activities essential to PMEFs and MEFs.

9) On an ongoing basis, participating in DHS’s NEP.

10) On an ongoing basis, incorporating Office of Management and Budget (OMB) Circular A-11 guidance, or other OMB guidance on continuity as provided, when developing continuity budgets.

11) As required, submitting Continuity Readiness Reports and other reports as requested, through the RRS.

12) Developing a CAP to assist in documenting, prioritizing, and resourcing continuity issues identified during TT&E, assessments, and emergency operations.

13) Planning, programming, and budgeting for continuity capabilities (including for planning, conducting, and supporting annual TT&E programs). For continuity funding requests, incorporate OMB guidance from Circular A-11, to ensure proper accounting of spending related to homeland security.

14) Evaluating program readiness, to ensure the adequacy and capability of continuity plans and programs.

15) Promulgating and disseminating continuity guidance to all subordinate elements including regional and field offices.

16) Emphasizing geographic dispersion of leadership, staff, and infrastructure, as appropriate, in order to increase survivability and maintain uninterrupted Government functions.

17) Executing continuity plans and complying with the requirements and assigned…