Presentation on theme: "Continuity of Operations"— Presentation transcript:
1 Continuity of Operations Office of National Security CoordinationFederal Emergency Management AgencyU.S. Department of Homeland SecurityWelcome and Introduction:I would like to thank all of the members of the Oakland/San Francisco Federal Executive Boardfor 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.
6 DHS Organization Secretary Deputy Secretary Executive Secretary Commandant ofCoast GuardSecretaryDeputy SecretaryLegislative AffairsInspector GeneralPublic AffairsGeneral CounselState and Local CoordinationCivil Rights andCivil LibertiesCitizenship & Immigration ServiceOmbudsmanDirector, Bureau of Citizenship & Immigration Services (1)Special Assistant to the Secretary(private sector)Director of theSecret ServiceNational Capital Region CoordinationPrivacy OfficerInternational AffairsChief of StaffShared ServicesSmall & DisadvantagedBusinessCounter NarcoticsUnder SecretaryManagementUnder SecretaryScience and TechnologyUnder Secretary Emergency Preparedness and ResponseUnder SecretaryBorder & Transportation SecurityUnder Secretary Information Analysis and Infrastructure Protection
9 ONSC MissionThe 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 InternalDepartment of Homeland Security (DHS)Emergency Preparedness and Response/FEMARegionsExternalThe White HouseWhite 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
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!
13 APPLICABILITY AND SCOPE Who?All Federal, State, and tribal government departments/agencies and local jurisdictionsWhen?Impossible or unsafe to use normal facilities and proceduresWhat?All Hazards Approach
15 COOP History The National Security Act of 1947, as amended EO 12148, Federal Emergency Management, as amendedEO 12472, Assignment of National Security and Emergency Preparedness Telecommunications FunctionsExecutive Order (EO) 12656, Assignment of Emergency Preparedness Responsibilities, as amendedThe Homeland Security Act of 2002 (Public Law )EO 13286, Establishing Office of Homeland Security
16 COOP Federal Authority Presidential Decision Directive (PDD) 67PDD 67: Enduring Constitutional Government and Continuity of Government OperationsDesignates Emergency Preparedness and Response/FEMA, Department of Homeland Security, the Federal Executive Branch’s Lead Agent for COOPPDD 67 also:Recognizes emerging threatsStresses continuation of Federal government essential operations in an all-hazards environment
17 COOP State Authorities and References Basic authority is provided through the state.StatutesState Executive DirectiveGeneral policy statementsPolicy statements regarding emergency preparedness and planningBasic authority for state departments and local jurisdictions concerning COOP Planning is provided through state government.StatutesState Executive DirectivesGeneral policy statementsPolicy statements regarding emergency preparedness and planningThere 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 BranchDepartment of Homeland Security COOP PlanFederal Emergency Management Agency COOP PlanDHS/FEMA Alternate COOP FacilityRegional COOPState/Local/Territorial/Tribal COOP
19 COOP Lead Agent Establish interagency coordinating mechanisms Chair the interagency COOP Working Group (CWG)Topic-specific subgroupsProvide COOP guidance to Federal Executive Branch D/AsFederal Preparedness Circulars (FPCs)Assess Federal COOP capabilityReadiness Reporting System (RRS)Coordinate Federal Executive Branch Interagency COOP exercisesForward Challenge
20 COOP GuidanceFPCs provide the authority and guidance for the implementation of COOP PlansFPC 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 AuthorityOrders of SuccessionAlternate Operating FacilitiesInteroperable CommunicationsVital Records and DatabasesHuman Capital (Personnel)Test, Training & ExercisesDevolution of Control and DirectionReconstitution
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 ProceduresDevelopment of comprehensive COOP plansImplementation plans for 3 Phases:Activation and relocationAlternate operating facility operationsReconstitution (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/notificationAccounting for staffImplementing orders of successionActivating the alternate facilityInitiating site-support functions at the alternate site.
25 Phase 2 – Alternate Facility Operations Address policies and procedures on how activated staff will:Perform essential functionsEstablish communicationsEnsure responsibilities have been assignedAugment staffMaintain contact and provide guidance to non-activated staffPlan 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 –ReportingAssessmentPlanningRemedial actions
27 COOP Elements Continued Essential FunctionsFunctions 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 emergencyDetermination of essential functions under all circumstancesPrioritized functions based on the criticality of the functionStaffing, resource requirements, and any other supporting activities needed to perform these functions
28 COOP Elements Continued Orders of SuccessionEstablished order to the position of agency head as well as other key agency leadershipEstablished rules and proceduresPredetermined conditions for successionProper storage and updates of the orders of successionAnnual briefings to designated successors
29 COOP Elements Continued Delegations of AuthorityLegal authority of officialsIdentified programs and administrative authorities needed for effective operationsDocumentation to include:Delineation of the limits of authority and accountabilityA statement explicitly outlining authorityCircumstances under which delegated authorities would be exercised and when they would terminateBriefing and training of delegated officials
30 COOP Elements Continued Alternate Operating FacilitiesSelect an alternate facility for the possibility of unannounced relocation of essential functions and/or COOP personnel.Existing agency local or field infrastructuresExternal sourcesThreat freeCapable of sustained useDual useTransportation to and from the alternate siteLodgingTelecommutingCo-location with other agencies
31 Alternate Facilities (cont.) Should provide:Immediate access and capabilitySupport servicesInteroperable communicationsSufficient space and equipment (pre-positionedHealth, safety, and emotional supportPhysical security and access controlLogistical supportInfrastructure systems (backup power).
32 COOP Elements Continued Interoperable CommunicationsCommunication with internal organizationsOther agencies and their COOP sites, and critical customers and suppliersRedundant communications for use in COOP with or without warning and following operational requirementsPublicAccess to data, systems, and services
33 COOP Elements Continued Vital Records and DatabasesThree types of Vital Records:Emergency operating recordsLegal recordsFinancial records
34 COOP Elements Continued Vital Records and DatabasesPlanning considerations:Establishment of a vital records programAppropriate medium to access vital recordsMaintenance of a complete inventory of recordsProtection methods for recordsRoutine updating of recordsTraining program for all staff involved in the programReview of records program
35 COOP Elements Continued Human Capital (Personnel)Pay guidanceLeave guidanceBenefits issuesStaffing issuesManager’s roles and responsibilitiesEmployee’s roles and responsibilities
36 COOP Elements Continued Test, Training and ExercisesTesting of alert, notification, and activation proceduresTesting of COOP communication capabilitiesTesting of primary and backup infrastructure at alternate facilityCOOP awareness briefingsCOOP team training and exercise at alternate facility
37 COOP Elements Continued Devolution of Control and DirectionAddressing worst-case possibilities to ensure the continuation of essential functions in the event of a catastrophic or other serious emergencyPlanning developed to address the transfer of essential functions in the event an agency is incapable of performing those functions
38 COOP Elements Continued ReconstitutionPlan to identify and outline the return of normal operations to an agencyOutlined 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. KretzSpecial Program BranchOffice of National Security CoordinationFEMA/U.S. Department of Homeland Security500 C Street SWWashington, DC 20472W: 202/Fax: 202/
41 Office of National Security Coordination POCs Robert SullivanChief, Federal Coordination BranchPlans Division, Office of National Security CoordinationFEMA/U.S. Department of Homeland Security500 C Street SWWashington, DC 20472W: 202/Fax: 202/