Continuity of Operations Continuity of Government

An Overview of COOP/COG
Course Facilitator Jonathan D. Greenstein, ILEM

Facilitator

Mr. Jonathan D. Greenstein, ILEM

Contact: jonathan.greenstein@leo.gov About: I have been involved in law enforcement and emergency management for over fifteen years. I currently hold certification at the Intermediate Level in Emergency Management (ILEM) through the Alabama Association of Emergency Managers(AAEM); have completed the FEMA Professional Development Series (PDS); in addition, I am a certified Field Training Officer (FTO) and General Instructor and hold Train-the-Trainer level designation for CBRNE Incident Management (Awareness through Operations).

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 National Continuity Programs Directorate, Continuity of Operations Division; as such 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 certification and recognition available through the Alabama Association of Emergency Managers (AAEM). Please note that I am affiliated with the AAEM however I am not employed by them, nor do I receive any compensation for providing this information.

Continuity of Operations Overview

From the FEMA COOP/COG Program:

"This program provides the foundation for the nations First Essential Function, Enduring Constitutional Government, and the foundation for the tiers of the National Response Framework, operational governments at all levels-local, State, and Federalcapable of performing their essential functions, under all conditions."

What is Continuity of Operations?

Continuity of Operations, as defined in the National Security Presidential Directive-51/Homeland Security Presidential Directive-20 (NSPD-51/HSPD-20) and the National Continuity Policy Implementation Plan (NCPIP), is an effort within individual executive departments and agencies to ensure that Primary Mission Essential Functions (PMEFs) continue to be performed during a wide range of emergencies, including localized acts of nature, accidents and technological or attack-related emergencies.

Directives and Guidance

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

National Continuity Policy Implementation Plan

National Communications System Directive (NCSD) 3-10 Federal Continuity Directive (FCD) 1 Federal Continuity Directive (FCD) 2 Continuity Guidance Circular (CGC) 1 Continuity Guidance Circular (CGC) 2 FEMA Continuity Planning Guidance

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

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

This Directive designates the Secretary of Homeland Security as the Presidents lead agent for coordinating overall national continuity operations and activities, and provides continuity planners with substantive new guidance designed to enhance the Nations continuity capabilities. It also directs the Secretary of Homeland Security to assist with the practical implementation of policy guidance through the development and promulgation of continuity planning requirements and guidance for Federal and non-Federal government jurisdictions and private sector critical infrastructure owners and operators.

National Continuity Policy Implementation Plan

The National Continuity Policy Implementation Plan (NCPIP), dated August 2007, provides continuity program implementation guidance for NSPD51/HSPD-20. It provides directive guidance to assist Federal organizations in developing continuity plans and programs, to include the identification of Mission Essential Functions (MEFs) and Primary Mission Essential Functions (PMEFs), that support the eight National Essential Functions (NEFs)the most critical functions necessary for leading and sustaining our Nation during a catastrophic emergency.

Guidance in the implementation plan helps ensure that our nations continuity efforts and resources will be coordinated and leveraged to ensure essential government functions and services will be provided to the nations citizens under all conditions. This plan directs more than 75 critical actions to ensure the effectiveness and survivability of our Nations continuity capability. The NCPIP highlights the importance of partnerships with the other branches 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

National Communications System Directive (NCSD) 3-10

National Security Presidential Directive-51/Homeland Security Presidential Directive-20, recognizes the importance of effective communications to meet Enduring Constitutional Government and continuity requirements. The National Communications System Directive (NCSD) 3-10, Minimum Requirements for Continuity Communications Capabilities, establishes a policy framework that defines minimum communications requirements for all Federal Executive Branch organizations and alternate operations facilities, to ensure continuity of national essential functions, as well as assured communication among the President, cabinet officers, and other key executive office personnel. It also assigns specific responsibilities to key executive offices and agencies, defines basic supporting mechanisms, and outlines testing/verifying and reporting requirements.

Federal Continuity Directive (FCD) 1

Federal Continuity Directive 1 (FCD 1), Federal Executive Branch National Continuity Program and Requirements, approved by the Secretary of Homeland Security in February 2008, provides operational direction for the development of continuity plans and programs for the Federal Executive Branch. This directive supersedes Federal Preparedness Circular 65 and was developed by NCPs Continuity of Operations Division in coordination with its interagency partners. FCD 1 describes the key elements of a viable continuity capability and the importance of coordinating with non-Federal organizations to establish and maintain a comprehensive and effective national continuity capability. Continuity programs and operations are simply good business practices that ensure government functions and services will be available to our nations citizens under all conditions.

Federal Continuity Directive (FCD) 1

The provisions of this directive are applicable at all levels of Federal Executive Branch organizations, regardless of their location, and are useful for 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 a broad range of disruptive events and call for more than just a traditional continuity option that requires relocating staff to an alternate facility -Incorporation of a risk-based framework for continuity plans and programs to identify and 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.

Federal Continuity Directive (FCD) 2

Federal Continuity Directive 2 (FCD 2), Federal Executive Branch Mission Essential Function and Primary Mission Essential Function Identification, approved by the DHS Secretary in February 2008, provides direction and guidance for Federal organizations to identify their essential functions and the business process analysis (BPA) and business impact analysis (BIA) that support and identify the relationships between these essential functions. FCD 2 provides implementation guidelines for the requirements identified in FCD 1, Annex C. It provides direction and guidance to Federal entities for identification of their mission essential functions (MEFs) and potential primary mission essential functions (PMEFs). It also includes checklists to assist in identifying essential functions through a risk management process and identify potential PMEFs that support specific national essential functions (NEFs)the most critical functions necessary for leading and sustaining our nation during a catastrophic emergency.

FCD 2

FCD 2 provides direction on the formalized process for submission of a Departments 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 the potential PMEFs that help identify essential function relationships and interdependencies, time sensitivities, threat and vulnerability analyses, and mitigation strategies affecting and supporting the PMEFs.

Continuity Guidance Circular (CGC) 1

Continuity Guidance Circular 1 (CGC 1), Continuity Guidance for Non-Federal Entities (States, Territories, Tribal, and Local Government Jurisdictions and Private Sector Organizations), was approved by the FEMA Administrator on January 21, 2009. CGC 1 supersedes the Interim Guidance on Continuity of Operations Planning for State and Local Governments, and provides operational guidance for implementing NSPD-51/HSPD-20 for non-Federal entities. CGC 1 provides guidance for developing continuity plans and programs for the sustainment of essential functions and services to our nations citizens, under all conditions.

Continuity Guidance Circular (CGC) 2

Continuity Guidance Circular 2 (CGC 2), Continuity Guidance for Non-Federal Entities: Mission Essential Functions Identification Process (States, Territories, Tribes, and Local Government Jurisdictions), was approved July 22, 2010, by the Assistant Administrator of National Continuity Programs. CGC 2 provides planning guidance to assist non-Federal entities and organizations in identifying their essential functions. Additionally, CGC 2 describes the use of a systematic Business Process Analysis, Business Impact Analysis, and the development of risk mitigation strategies.

FEMA Continuity Planning Guidance

An organizations continuity of operations plan documents the overarching strategy, policies, and procedures required to support its headquarters continuity of operations program. As the DHS entity for coordinating the Executive Branch continuity of operations program, NCP has developed detailed planning guidance and 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 in Federal Continuity Directive 1 and Continuity Guidance Circular 1. The Continuity of Operations Planning Course provides guidance and templates to help develop Federal interagency and State, territorial, tribal, and local government continuity plans and programs.

A World of Resources

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

COOP/COG Illustrated

The Goal of Continuity

The ultimate goal of continuity in the executive branch is the continuation of National Essential Functions (NEFs). In order to achieve that goal, the objective for organizations is to identify their Essential Functions (EFs) and ensure that those functions can be continued throughout, or resumed rapidly after, a disruption of normal activities. The Federal Government has an important partnership with other non-Federal government entities and with private sector owners and operators who play integral roles in ensuring our homeland security.

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 essential functions continuouslyrests upon key components or pillars, 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 development and implementation of continuity plans and supporting procedures.

A standardized continuity program management cycle ensures consistency across all continuity programs 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-agency continuity evaluations.

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 following overarching 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

Elements

Essential Functions a subset of government and other organizational functions that are determined to be critical activities used to identify supporting tasks and resources that must be included in the agencys and organizations continuity planning process. Orders of Succession essential part of an agencys and organizations continuity plan to ensure that agency and organizational personnel know who assumes the authority and responsibility of the agencys and organizations leadership if that leadership is incapacitated or becomes otherwise unavailable during a continuity situation. Delegations of Authority establish who has the right to make key decisions during a continuity situation.

Elements

Continuity Facilities alternate facilities from which an agency and organization can perform its Essential Functions in a threat-free environment. Continuity Communications the availability and redundancy of critical communications systems to support connectivity to internal and external organizations, customers, and the public is vital to the success of agency and organization operations. Vital Records Management the identification, protection and ready availability of electronic and hard copy documents, references, records, information systems, data management software and equipment needed to support essential functions during a continuity situation.

Elements

Human Capital provides guidance to emergency employees and other special categories of employees who are activated by an agency and organization to perform assigned response duties during a continuity event.

Tests, Training, and Exercises (TT&E) Provisions made for the identification, training, and preparedness of personnel capable of relocating to alternate facilities to support the continuation of the performance of essential functions.

Elements

Devolution of Control and Direction capability to transfer statutory authority and responsibility for essential functions from an agencys and organizations primary operating staff and facilities to other agency and organization employees and facilities, and to sustain that operational capability for an extended period. Reconstitution the process by which surviving and/or replacement agency and organizational personnel resume normal agency operations from the original or replacement primary operating facility.

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 of essential operations at alternate operating facilities is commenced. Phase IV Reconstitution: operations at alternate facility are terminated and normal operations resume.

Conditions in which the Continuity Plan will be Activated

The plan could be activated in response to a wide range of events or situations from a fire in the building; to a natural disaster; to the threat or occurrence of a terrorist attack. Any event that makes it impossible for employees to work in their regular facility could result in the activation of the Continuity plan.

"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."

Continuity Plan Templates

FEMA has made available several planning templates. They are accessible via:

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

Related Planning Templates

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

-Meta Checklist -Continuity Multi-Year Strategy and Program Management Plan -Reconstitution Template -Devolution Template -Vital Records -Exercise Templates

Plan Templates

The template structure follows the traditional functional Emergency Operations Plan format detailed in the Federal Emergency Management Agency (FEMA) National Preparedness Directorates Comprehensive Preparedness Guide 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 support effective continuity operations during todays allhazards environment.

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-Trainer Course Continuity Excellence Series (Professional & Master Continuity Practitioner Programs, Levels 1 & II) Continuity Practitioner Certificates : Professional and Master

Training

The Emergency Management Institute (EMI) is one venue where you will locate the majority of training programs related to COOP and COG. In addition, the EMI offers numerous other emergency management, mitigation, response and recovery centric courses. http://www.training.fema.gov/

EMI

EMI serves as the national focal point for the development and delivery of emergency management training to enhance the capabilities of State, local, and Tribal government officials; volunteer organizations; FEMAs disaster workforce; other Federal agencies; and the public and private sectors to minimize the impact of disasters and emergencies on the American public.

EMI curricula are structured to meet the needs of this diverse audience with an emphasis on separate organizations working together in all-hazards emergencies to save lives and protect property. Particular emphasis is placed on governing doctrine such as the National Response Framework, National Incident Management System, and the National Preparedness Guidelines.

FEMA Independent Study Program (ISP)

The Emergency Management Institute (EMI) offers self-paced courses designed for people who have emergency management responsibilities and the general public.
All are offered free-of-charge to those who qualify for enrollment. http://www.training.fema.gov/is/

FEMA Independent Study Program

FEMAs Independent Study Program offers courses that support the nine mission areas identified by the National Preparedness Goal.

1-Incident Management 2-Operational Planning 3-Disaster Logistics 4-Emergency Communications 5-Service to Disaster Victims 6-Continuity Programs 7-Public Disaster Communications 8-Integrated Preparedness 9-Hazard Mitigation

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 their concerted views on matters of interest and concern. Establish an alliance between local EMA offices and other agencies of state and local government which 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 performance standards and encouraging continuing education. Promote necessary legislation to enhance emergency preparedness at both the state and national levels.

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 the applicant is required to have completed the baseline training.

Questions/Comments?

Thank you for your dedication and service!