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Continuity of Operations

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1 Continuity of Operations
Office of National Security Coordination Federal Emergency Management Agency U.S. Department of Homeland Security Welcome and Introduction: I would like to thank all of the members of the Oakland/San Francisco Federal Executive Board for your attendance at our first continuity of operations workshop. I would also like to thank the members of FEMA Region IX for helping to set-up and coordinate this important meeting. My name is Richard Eligan, Deputy Director of the FEMA/DHS Office of National Security Coordination. As our office is the lead agent for the Federal Executive Branch Continuity of Operations program, I have been asked to present to you an overview of both the DHS and FEMA organizations and missions, and discuss in general terms the continuity of operations or COOP program.

2 Enduring Constitutional Government
The Nation’s First Essential Function

3 Continuity of Operations (COOP) Overview
“The functions of our government continue without interruption.” –President George W. Bush, Address to the Nation, September 11, 2001

4 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.

5 Department of Homeland Security

6 DHS Organization Secretary Deputy Secretary Executive Secretary
Commandant of Coast Guard Secretary Deputy Secretary Legislative Affairs Inspector General Public Affairs General Counsel State and Local Coordination Civil Rights and Civil Liberties Citizenship & Immigration Service Ombudsman Director, Bureau of Citizenship & Immigration Services (1) Special Assistant to the Secretary (private sector) Director of the Secret Service National Capital Region Coordination Privacy Officer International Affairs Chief of Staff Shared Services Small & Disadvantaged Business Counter Narcotics Under Secretary Management Under Secretary Science and Technology Under Secretary Emergency Preparedness and Response Under Secretary Border & Transportation Security Under Secretary Information Analysis and Infrastructure Protection

7 Federal Emergency Management Agency

8 FEMA Organization

9 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.

10 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

11 Continuity of Operations

12 COOP Defined COOP Planning is simply a good business practice!
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!

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

14 Spectrum of Threats

15 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 ) EO 13286, Establishing Office of Homeland Security

16 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

17 COOP State Authorities and References
Basic authority is provided through the state. Statutes State Executive Directive General policy statements Policy statements regarding emergency preparedness and planning Basic authority for state departments and local jurisdictions concerning COOP Planning is provided through state government. Statutes State Executive Directives General policy statements Policy statements regarding emergency preparedness and planning There are numerous federal publications as well as state and local sources containing information relevant to COOP planning.

18 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

19 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

20 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

21 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

22 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

23 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 better that a perfect plan tomorrow. - George S. Patton

24 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.

25 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.

26 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

27 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

28 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

29 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

30 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

31 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).

32 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

33 COOP Elements Continued
Vital Records and Databases Three types of Vital Records: Emergency operating records Legal records Financial records

34 COOP Elements Continued
Vital Records and Databases Planning 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

35 COOP Elements Continued
Human Capital (Personnel) Pay guidance Leave guidance Benefits issues Staffing issues Manager’s roles and responsibilities Employee’s roles and responsibilities

36 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

37 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

38 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

39 QUESTIONS "The measure of success is not whether you have a tough problem to deal with, but whether it is the same problem you had last year." - John Foster Dulles Former Secretary of State

40 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/ Fax: 202/

41 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/ Fax: 202/


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