Government Continuity of Operations (COOP) Overview Integrated Emergency Management Course
Continuity Vision A more resilient nation through integration of continuity plans and programs within government and non-government organizations to sustain National Essential Functions under all conditions. Visual 15.2
COOP in 90 Seconds Normal Operations MISSION PERSONNEL FACILITY INFRASTRUCTURE Reconstitution COOP Activation MISSION PERSONNEL FACILITY Loss of Facility COOP Execution >>>>>>>>>> MEF PERSONNEL ALTERNATE SITE Devolution of Operations MISSION PERSONNEL FACILITY Loss of Facility & Personnel Devolution Execution >>>>>>>>>>>>>> MEF DEVOLUTION TEAM DEVOLUTION SITE Restores organization to a new state of normalcy
Recent Examples Hurricanes Harvey and Irma Actions SSA and US Post Office worked together to ensure checks were delivered to shelters. Operations of USCIS Houston Field Office devolved to the Dallas Field Office pending reconstitution efforts. As a result, USCIS MEFs were unaffected. USCG Sector Corpus Christi Command Center COOPed to Sector STA South Padre Island due to extensive roof and water damage to facilities related to Hurricane Harvey. If the National Hurricane Center loses the ability to issue forecasts, that responsibly devolves to the Weather Prediction Center (WPC) in College Park, MD.
5 What is Continuity? The ability to provide uninterrupted services and support, while maintaining organizational viability, before, during, and after an event that disrupts normal operations. Consists of: o o o Enduring Constitutional Government (ECG); Continuity of Government (COG); and Continuity of Operations (COOP) programs. ECG Continuity COOP COG Visual 15.5
COOP, COG, and ECG COOP: An effort within individual organizations to ensure that essential functions continue to be performed during disruption of normal operations. COG: A coordinated effort within the executive, legislative, or judicial branches of the Federal [or State] Governments to ensure that NEFs continue to be performed during a catastrophic emergency. ECG: A cooperative effort among the executive, legislative, and judicial branches of the Federal Government, coordinated by the President, to preserve the constitutional framework under which the Nation is governed. Visual 15.6
ECG COOP/COG programs enable the Nation s ECG to preserve the constitutional framework through the sustainment of essential functions within the branches of government. Enduring Constitutional Government COG COG COG COOP COOP COOP Legislative Branch Executive Branch Judicial Branch Visual 15.7
Continuity in Action Pre-Event Trans-Event Post- Event Normal Operations Continuity Plan Activation Essential Functions being performed from alternate site or by alternative method Normal/ New Normal Operations Efficiency More time and effort in planning and practice typically means less time and effort in execution Recovery Time Recovery Time Objective (RTO) 8
Continuity Directives and Guidance Federal Continuity Directive (FCD) 1 and the Continuity Guidance Circular (CGC) provide continuity guidance on: o Continuity Program Management information; o Elements of a viable continuity capability; o Coordination of interdependencies; and o Continuity operational phases and implementation. Visual 15.9
Ready.gov/Business for more Resources Visual 15.10
Guiding Principles Continuity planning is guided by three primary principles: 1. Preparedness and Resilience: A prepared and resilient Nation is built upon the foundation of prepared and resilient individuals, communities, and the organizations that comprise it. 2. Whole Community Engagement: Every community and organization, no matter how large or how small, has essential functions that support the continuation and resiliency of the Nation. 3. Scalable, Flexible, and Adaptable Continuity Capabilities: continuity programs and capabilities must be scalable, flexible, and adaptable to meet evolving requirements. Visual 15.11
12 PPD-8: National Preparedness Outlines the National Preparedness Goal, National Preparedness System, Core Capabilities, and the planning frameworks. Aims to strengthen the security and resilience of the nation through the engagement of the whole community. Guides our national level preparedness efforts utilizing the Whole Community approach. Visual 15.12
13 National Preparedness Goal (NPG) The NPG defines what it means for the whole community to be prepared for all types of disasters and emergencies. A secure and resilient nation with the capabilities required across the whole community to prevent, protect against, mitigate, respond to, and recover from the threats and hazards that pose the greatest risk. Visual 15.13
14 NPG (cont.) The NPG also stresses the importance of continuity. The scope and magnitude of a catastrophic incident may result in a resource scarce environment. Because such incidents may affect an organization s ability to provide assets, assistance, and services, continuity planning and operations are an inherent component of each core capability and the coordinating structures that provide them. Continuity operations increase resilience and the likelihood that organizations can perform essential functions and deliver core capabilities that support the mission areas. Visual 15.14
15 What Does Resilience Mean? An ability to recover from or adjust to misfortune or change. Continuity of Operations Planning (COOP) Visual 14.15
16 Types of Resilience The ability to adapt to changing conditions and withstand and rapidly recover from disruption due to emergencies. Three types of resilience: 1. Individual 2. Organizational 3. Community RESILIENCE COMMUNITY INDIVIDUAL ORGANIZATION All are interdependent and integral to building the capabilities communities need to withstand and recover from emergencies. Visual 15.16
Emergency Management tied to Community Resilience State government FEMA/Federal government Local government Non-governmental organizations and private sector stakeholders 1
18 Community Resilience The collective effort among individuals and organizations within a community (or communities) to work together to ensure that they can adapt to and recover from any threat or incident. Achieved through participation and representation from organizations within a community engaged in collective planning for the threats and hazards that are most likely to affect them. Visual 15.18
19 Core Capabilities 32 activities that address the greatest risks to the nation Serve as both preparedness tools and a means of structured implementation (a means to achieve collective preparedness) Organized by the five mission areas: o Prevention o Protection o Mitigation o Response o Recovery Visual 15.19
20 Continuity is essential to implementing all of the core capabilities. Continuity of Operations Planning (COOP) Visual 14.20
21 Continuity Phases The Concept of Operations section of the Continuity Plan describes the procedures for plan implementation in four phases: Phase I: Readiness and Preparedness Phase II: Activation (0 12 hours) Phase III: Continuity Operations (12 hours- 30 days or until resumption of normal operations) Phase IV: Reconstitution (recovery, mitigation, and termination) Visual 15.21
22 Phases of Continuity Phase I All four phases of continuity are supported in plans by including: Orders of Succession; Delegations of Authority; Communications; Essential Records; Alternate Locations; Human Resources; Devolution; Reconstitution; TT&E Readiness and Preparedness Phase II Phase III Phase IV Alert Decision Notification Activation Relocation Accountability Operations Reconstitution Visual 15.22
Continuity Program Management Cycle Provides consistency across programs and facilitates the development and implementation of resilient continuity programs. o o o o Step 1: Develop Plans & Procedures Step 2: Test, Training, & Exercising Step 3: Evaluations, After Action Reports (AARs), & Lessons Learned Step 4: Develop Improvement Plans Visual 15.23
Types of Federal Essential Functions Visual 15.24
25 NEFs 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 a catastrophic emergency. The Federal government cannot maintain these functions and services without the support of the whole community. Continuity of Operations Planning (COOP) Visual 14.25
26 NEF 1 Preserve Our Constitutional Government NEF 5 Protect the Homeland NEF 2 Provide Visible Leadership NEF 6 Provide Emergency Response NEF 3 Defend the Country NEF 7 Maintain a Stable Economy NEF 4 Maintain Foreign Relations NEF 8 Provide Critical Government Services Visual 15.26
NEF 5 Protect the Homeland NEF 6 Provide Emergency Response/Recovery NEF 7 Maintain a Stable Economy NEF 8 Provide Critical Government Services DHS (1) Screen to Secure the Borders DHS (2) Protect Critical Infrastructure DHS (2) Protect Critical Infrastructure DHS (6) Coordinate Continuity and Incident Response TREAS (1) Address Risk to Financial Stability TREAS (3) Manage Finances HHS (1) Monitor and Respond to Health Challenges HHS (2) Oversee Safety of of Medical Products DHS (4) Maintain Domestic Situational Awareness DHS (5) Enforce Homeland Security Laws DHS (7) Manage Long-Term Recovery DoD (5) Conduct Domestic Emergency Response TREAS (4) Participate in International Markets SEC (1) Regulate Securities Markets DOE HHS (3) Provide Manage Medical Energy Care and Infrastructure Services DOJ (6) Operate Federal Prisons DOJ (2) Protect Senior Officials and the Courts DOJ (4) Fight Terrorism and Espionage DOE (2) Respond to Nuclear Incidents DOE (3) Manage Energy Infrastructure NCUA (1) Maintain Solvent Credit Unions FDIC (1) Maintain Confidence in Banks State (4) Support U.S. Citizens Overseas DOT (3) Operate the National Airspace System DOJ (5) Conduct Law Enforcement Activities DoD (1) Formulate National Defense Policy HHS (1) Monitor and Respond to Health Challenges HHS (2) Oversee Safety of Medical Products FRS (1) Conduct Monetary Policy FRS (2) Maintain Financial System Stability USDA (1) Ensure Food Safety USDA (2) Provide Emergency Food Supplies DoD (2) Protect and Defend the Country DoD (3) Maintain Worldwide Situational Awareness DOJ (5) Conduct Law Enforcement Activities DOT (2) Respond to Transportation Disruptions FRS (3) Regulate Banking FRS (4) Provide Financial Services USDA (4) Provide Safety and Security on Public Lands DOC (3) Provide Meteorological Forecasts State (2) Maintain Foreign Diplomatic Relations TREAS (2) Impose Trade Sanctions DOC (2) Provide Satellite Imagery DOC (3) Provide Meteorological Forecasts CFTC (1) Monitor Commodity Futures Markets DOC (4) Maintain Operational Federal Communications DOI (3) Provide National Emergency Response ODNI (1) Collect, Analyze, and Provide Intelligence CIA (1) Produce Intelligence Reports DOC (4) Maintain Operational Federal Communications USDA (1) Ensure Food Safety DOI (5) Provide Water and Electric Power VA (1) Provide Medical Care CIA (2) Collect Intelligence CIA (3) Conduct Covert Operations USDA (2) Provide Emergency Food Supplies USDA (3) Fight Forest Fires EPA (1) Respond to Environmental and Health Threats SSA (1) Provide Social Security Services DOC (1) Prevent Export Control Violations DOC (2) Provide Satellite Imagery DOI (1) Provide Emergency Response on Public Lands DOI (3) Provide National Emergency Response OPM (1) Provide Human Capital Services NRC (1) Ensure Safe Nuclear Operations DOI (2) Provide Law Enforcement on Public Lands NASA (1) Operate Satellites USPS (2) Deliver Emergency Medical Supplies EPA (1) Respond to Environmental and Health Threats FCC (1) Maintain Operational Communications USPS (1) Deliver Postal Services DOE (1) Ensure Nuclear Materials Safety NRC (1) Ensure Safe Nuclear Operations FCC (1) Maintain Operational Communications DHS (4) Maintain Domestic Situational Awareness NRC (1) Ensure Safe Nuclear Operations DHS (2) Protect Critical Infrastructure DOE (3) Manage Energy Infrastructure
Essential Functions Those functions that enable an organization to: Provide essential services Exercise civil authority Maintain the safety of the general public Sustain the industrial or economic base during an emergency Visual 15.28
29 MEFs Essential functions that are directly related to accomplishing the mission of the organization. Those activities an organization determines cannot be deferred during an emergency; these activities must be resumed quickly following a disruption. Set forth in Statutory or Executive charter. Generally something unique the organization does; most other organizations do not do this. Visual 15.29
30 ESAs The many activities that must be performed in order to support the organization s performance of its MEFs. Common to most organizations (paying staff, providing a secure workplace, ensuring computer systems are operating, etc.), but do not accomplish the organization s mission. Facilitating activities that enable the organization to perform MEFs. Important and urgent, but accomplishing an ESA alone does not complete the mission or deliver the services the organization was created to accomplish. Visual 15.30
31 Essential Function Identification The first step in creating a continuity program is to identify the essential functions of an organization and conduct a BPA. The BPA is a method of examining, identifying, and mapping the functional processes, workflows, activities, personnel expertise, systems, data, and facilities inherent to the execution of a function or requirement. Visual 15.31
32 BIA/Risk Assessment Overview The BIA is a method of identifying risk, assessing the probability of an occurrence of the risk, and determining the level of harm (consequences) which it could cause to the accomplishment of an essential function. The BIA will help identify weaknesses that could compromise successful MEF performance and facilitate developing mitigation strategies. Visual 15.32
Devolution The transition of roles and responsibilities for performance of essential functions through pre-authorized delegations of authority and responsibility. Delegated authorities from an organization s primary operating staff to other employees internal or external to the organization in order to sustain essential functions Devolution is a continuity option instead of or in conjunction with relocation to ensure the continued performance of essential functions Devolution of Operations MISSION PERSONNEL Loss of Facility & Personnel Devolution Execution MISSION New PERSONNEL FACILITY New FACILITY Visual 15.33 33
Reconstitution Reconstitution planning is the process by which organizations/personnel resume normal operations from the original or a replacement primary operating facility. Visual 15.34
Test, Training, & Exercises (TT&E) An effective TT&E program identifies, trains, and prepares personnel capable of performing their continuity responsibilities and implementing procedures to support the continuation of essential functions. o Tests and exercises serve to assess and validate all the components of continuity plans, policies, procedures, systems, and facilities. o Training provides the skills and familiarizes personnel with procedures and tasks. Visual 15.35
TT&E Verifies that essential functions continue as planned; Provides the framework for promoting consistency and uniformity in job performance; and Ensures that TT&E events support the common overall goal of mission readiness. Visual 15.36
Summary & Benefits All hazards Notice and no-notice events Compliment all emergency management plans and programs Whole community Resiliency Visual 15.37
Resources www.fema.gov/continuity-operations You will find: Governance and Templates Training Assistance Exercise Assistance Outreach and Marketing Programs Continuity Excellence Series Visual 15.38
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