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!

13. APPLICABILITY AND SCOPE
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/