How FEMA Prepares Leaders for Continuity in Face of Terrorism

1. National Continuity Programs (NCP) How FEMA Prepares Leaders for Continuity in Face of Terrorism July 11, 2018

2. Table of Contents  Background and Policies  Continuity, Requirements and Criteria  National Essential Functions and Continuity of Government  Continuity Phases and Devolution  Preparing yourself and Family  Continuity Excellence Series and Programs Presenter’s Name June 17, 2003 2

3. Background • On September 11, 2001, terrorists attacked the United States. The attacks on New York’s World Trade Center and the Pentagon were also the catalyst for major changes in legislation and policy that affected how the Federal Government would be organized to prevent subsequent attacks and respond to disasters. The changes led to the creation of the Department of Homeland Security (DHS) in 2003. • Homeland Security Act of 2002, as amended (6 U.S.C. § 101 et seq.). • Homeland Security Presidential Directive 5 (HSPD-5), 2003 • Presidential Policy Directive 8 (PPD-8), “National Preparedness,” March 2011 • Executive Order 13618. Assignment of National Security and Emergency Preparedness Communications Functions, July 6, 2012. • Presidential Policy Directive 21, Critical Infrastructure Security and Resilience, February 12, 2013. Presenter’s Name June 17, 2003 3

4. Presidential Policy Directive (PPD) 40 • PPD 40, National Continuity Policy, is the comprehensive national policy on continuity programs, capabilities, and operations. The PPD was signed by the President on July 15, 2016. • The PPD was developed to ensure a comprehensive and integrated national continuity program that enables a more rapid and effective response to and recovery from a catastrophic emergency. Among other direction, it: • Prescribes requirements for the Executive Office of the President and all Federal Executive Branch departments and agencies; and • Details the continuation of National Essential Functions under all conditions. • The Federal Continuity Directive (FCDs) 1 & 2 established the framework, requirements, and processes to support the development of federal continuity programs. • The Continuity Guidance Circular (CGC) guides whole community efforts to develop and maintain the capability to ensure continuity of operations. Presenter’s Name June 17, 2003 4

5. National Continuity Programs (NCP) Designated as the lead agency for Continuity of Operations (COOP) and Continuity of Government (COG) planning, implementation, and execution across the Executive Branch, FEMA’s National Continuity Programs (NCP) is the premier subject matter expert on continuity. • Mission: FEMA National Continuity Programs ensures the implementation of Executive Branch continuity and assists the continuity planning efforts of both government and non-government stakeholders to sustain the continuous performance of governmental essential functions under all conditions. • Vision: Ensure essential functions of government will continue at all levels. • FEMA Strategic Goals: • Build a Culture of Preparedness • Ready the Nation for Catastrophic Disasters • Reduce the Complexity of FEMA Presenter’s Name June 17, 2003 5

6. What is Continuity of Operations? • Continuity of operations ensures an individual organization can continue to perform its essential functions, provide essential services, and deliver core capabilities during a disruption to normal operations. • Continuity of government is a coordinated effort within the executive, legislative, or judicial branches of the Federal Government to ensure that NEFs continue to be performed before, during, and after a catastrophic emergency. • Enduring constitutional government is the cooperative effort among the executive, legislative, and judicial branches to preserve the constitutional framework under which the Nation is governed. Presenter’s Name June 17, 2003 6

7. Continuity Requirements and Criteria • Essential Functions must be continued during all events, threats or hazards • Federal continuity programs must address all elements of continuity. • 11 Viable elements: 1. Program Management, Plans, and Procedures; 2. Essential Functions; 3. Orders of Succession; 4. Delegations of Authority; 5. Communications and Information Systems; 6. Essential Records Management; 7. Alternate Locations; 8. Human Resources; 9. Devolution; 10. Reconstitution; 11. Test, Training, and Exercises; and, the four phases of continuity: (1) Readiness and Preparedness; (2) Activation; (3) Continuity Operations; and (4) Reconstitution. Presenter’s Name June 17, 2003 7

8. National Essential Functions (NEFs) Presenter’s Name June 17, 2003 8

9. Example Decision Process Matrix for Continuity of Operations Presenter’s Name June 17, 2003 9

10. Four Phases of Continuity Operations 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) Presenter’s Name June 17, 2003 10

11. Readiness and Preparedness: Phase I Continuity Program Management Cycle: • Plans and procedures; • Test, Training, and Exercise (TT&E); • After-Action Report/Improvement Plan (AAR/IP) and lessons learned; and • Corrective Action Plan (CAP). Presenter’s Name June 17, 2003 11

12. Activation: Phase II (0-12 Hours) • This phase includes the activation of plans, procedures, and schedules for the continuation of essential functions. Federal continuity personnel must be fully operational at the alternate facility as soon as possible but no later than 12 hours after continuity activation. • The activation and implementation of a continuity plan and its associated procedures may require the use of alternate locations, depending upon the incident and its effect on normal operations. • Pre-determined triggers 1. Active procedures 2. Passive procedures Presenter’s Name June 17, 2003 12

13. Continuity Operations: Phase III • Federal organizations must have the capability for continuity personnel to be fully operational at the alternate location as soon as possible, but no later than 12 hours after a continuity activation, and able to sustain operations for a minimum of 30 days or until normal operations are resumed. This includes planning for the challenges posed by continuity events that extend past 30 days. • Federal organizations must ensure the following capabilities exist at alternate locations prior to activation, or become available as soon as possible but not later than 12 hours after activation: 1. The capability to ensure performance of essential functions with minimal disruption of operations, for a minimum of 30 days or until normal operations are resumed. 2. Replication of essential capabilities by providing systems and configurations that are used in daily activities (interoperable communications, computer and information systems, and logistics, to include lodging, support and security). Presenter’s Name June 17, 2003 13

14. Alternate Locations • Alternate locations are classified in the following three ways: Hot site: Hot sites are locations that operate 24 hours a day with fully operational equipment and capacity to immediately assume operations upon loss of the primary facility. Warm site: Locations that have a minimum acceptable level of infrastructure in- place, and also possess the IT and telecommunications equipment to become operational as soon as possible, but not later than 12 hours after continuity activation. Cold site: Facilities that are neither staffed nor operational on a daily basis. Telecommunications, IT equipment, and other infrastructure is typically present at the location, however teams of specialized personnel must be deployed to activate the systems before the site can become operational. Presenter’s Name June 17, 2003 14

15. Devolution Although devolution is not a phase of continuity operations it is a mitigation strategy to enable continuity of operations. • Devolution is the capability to transfer statutory authority and responsibility from an organization’s primary operating staff and facilities to other designated staff and alternate locations to sustain essential functions. A continuity plan’s devolution option addresses how an organization will identify and transfer organizational command and control, as well as responsibility for performing essential functions to personnel at a geographically dispersed location unaffected by the incident. • The devolution counterpart must have the capability to perform essential functions as soon as possible but not later than 12 hours after devolution plan activation and must be able to sustain operations for a minimum of 30 days or until normal operations are resumed. Presenter’s Name June 17, 2003 15

16. Reconstitution: Phase IV • Leadership communicates instructions for resumption of normal operations to all staff, and supervises an orderly return to the normal operating facility, moving to another temporary facility, or moving to a new permanent facility. The process of reconstitution will generally start immediately after an event concludes. Some of the activities involved with reconstitution include: 1. Assessing the status of the affected facility or facilities; 2. Determining how much time is needed to repair the affected facility and/or to acquire a new facility; 3. Supervising facility repairs; 4. Notifying decision makers of the status of repairs, including estimates of when the repairs will be completed; and, 5. Implementing a priority-based, phased approach to reconstitution. Presenter’s Name June 17, 2003 16

17. Preparing Yourself and Family • Websites with practical guidance and checklists to help with support and planning: - FEMA—Are You Ready? - Ready America - The American Red Cross - CDC—Emergency Preparedness - HHS—Pandemic Influenza Planning Presenter’s Name June 17, 2003 17

18. Developing a Personal Go Kit • Some essential provisions of a go kit include: - Personal items and necessities; - Cash; - Financial and legal documents that cannot be replaced easily; and - An out-of-area point of contact, because telephone calls in the local area may be restricted during a wide-scale emergency. - 3-day supply of nonperishable food - Portable, battery-powered radio with extra batteries - First aid kit and manual - Sanitation and hygiene items - Matches and waterproof container - Special needs items (e.g., prescriptions) Presenter’s Name June 17, 2003 18

19. Continuity Excellence Series and Programs • Continuity Excellence Series - Professional & Master Continuity Practitioner Programs: - Level I - Professional Continuity Practitioner - Level II - Master Continuity Practitioner https://www.fema.gov/continuity-excellence-series-professional-and-master- practitioner-continuity-certificate-programs • Integrated Public Alert and Warning System (IPAWS) Presenter’s Name June 17, 2003 19