# Presentation: 205896

## Continuity of Operations Overview

**Notes:**
Good morning and thank you very much for the introduction.

As the Regional Continuity Program Coordinator with the Federal Emergency Management Agency, FEMA, up in Oakland, CA it is a pleasure for me to be here today.  In the world of emergency management - preparedness and COOP are very integral to any successful response to emergencies or disasters.  We have learned that lesson well from previous experiences and strive daily to enhance capabilities in the continuity readiness area at the Federal, State, and Local levels.  

## Continuity of Operations (COOP) 

-  Emphasize continuity
-  Incorporate continuity into day-to-day planning in order to reduce vulnerability and ensure performance of essential functions

**Continuity of Operations (COOP) **

## A Katrina Success Story

- USDA’s National Finance Center shuts down in face of Katrina, August 27, 2005

- Hurricane not expected to disrupt payroll, TSP services

- USDA National Finance Center Reopens In Eastern New Orleans, November 15, 2005

**Notes:**
Hurricanes Katrina, Rita, and Wilma in 2005 set into motion the largest Federal COOP Event in the history of the nation. The scope of the relocation of government functions was greater than Sept 11, 2001, the 2003 Northwest blackouts, and the 1989 Loma Prieta earthquake combined.  

On August 27, in response to the approaching Hurricanes Katrina, NFC relocated employees to six alternative worksites and shutdown the facility. Within three days, the NFC staff successfully executed its disaster recovery and continuity of operations plans - resuming essential services for its customers.  Despite the relocation, NFC successfully accomplished the next payroll process, setting records for the number of employees paid in a single pay period (more than 565,000) and the amount of funds disbursed (more than $2.7 billion).  Rreopened its doors in eastern New Orleans November 2005 to more than 300 returning staff.

## A Katrina Success Story

- National Finance Center paid half a million Federal workers on time during Hurricane Katrina without delays:
- Surged work force before landfall allowing them to complete payroll processing for federal employees
- Shut down operations and deployed to backup locations
- Backup data was trucked out of the New Orleans facility
- Advance deployment team moved to backup sites
- Within a 50-hour period, they began catch-up processing

**Notes:**
Some Lessons Learned from a Hurricane Katrina, Rita, and Wilma Federal Department and Agencies hot wash.  Department and agencies needed:
The ability to operate form ERS for more than 30 days
Pre-scripted emergency alert and activation messages
Re-evaluate their essential functions, because some listed were not key to the organization
Pre-identify alternate facilities outside of potential immediate impact areas
To be flexible 
To regularly practice COOP activation and relocation 
Better protect vital records

## WHAT IF?

- IRS Building in Washington DC, June 25,2006

**Notes:**
On June 25, 2006 the subbasement and basement of the IRS National Headquarters building in Washington, D.C., were flooded with over 20 feet of water. The IRS responded by implementing business resumption plans that contain specific procedures for managing such events. While the flood displaced over 2,200 IRS personnel who worked in the building, there was no measurable impact on taxpayers and tax administration

Because the flood occurred over a weekend when the building was closed, the Occupant Emergency Plan was not implemented, as the safety of employees and visitors was not an issue. Contrary to reports indicating the national COOP plan was implemented, IRS officials decided the flood did not reach the level of severity to warrant its activation. Instead, IRS officials focused their efforts on implementing internal contingency plan procedures designed to handle one of the biggest challenges presented by the flood–managing the crisis to minimize its impact on business operations.

## WHAT IF?

**Pandemic Influenza **

**Notes:**
During a pandemic influenza event could we:
Maintain essential functions and services if 40% or more of all workers are out sick or choose to stay at home to avoid exposure?
Maintain essential operations and services when community outbreaks last six to eight weeks and multiple waves strike in a calendar year?
Provide delegation of authority and orders of successions for workers?
Provide family and childcare support for essential workers?
Maintain essential operations and services when necessary resources are not available?
Protect workers from others who, while infected, do not yet feel ill or exhibit any symptoms?
Ensure the healthcare and public health support for workers and their families?
Define the breaking point when a portion or all basic and essential functions begin to fail?
Withstand a lengthy quarantine for all traveling personnel?

## What If?

- US Forest Service Santa Clara/Mojave Rivers Ranger District (SCMRRD) Office
- October 20, 2007

**Notes:**
October 2007 Fire Storm
Malibu fire
San Diego fires
Ranch fire – SCMRRD Started October 20, 2007
Large fire – set up Incident Command Center at Central Park, Santa Clarita, CA 1100 acres
Issues
Santa Ana Winds
Retention
Draw down
Rainfall
Inadequate brush clearance

Buckweed Fire
Started on private land in LA County 3 to 4 miles east of Texas Canyon at 13:04 hrs.
No request for Forest Service Response
Fast moving fire fueled by Santa Ana winds
Texas Canyon Fire Station and SCMRRD office in path of fire
Fire consumes SCMRRD office between 1600 to 1630 hrs.
Two employees working in the trailer (office building) at time of fire

## USFS SCMRRD Office

_**LOSSES**_
- Most original files & records destroyed
- All buildings & trailers
- Mechanical equipment
- Computers
- Government vehicles
- Employee vehicles damaged
- Employee personal items
- Leased equipment
- Cell phones
- Office equipment

## Smoke drifts around downtown San Diego. (Submitted to YourScene by gutinho)

**Smoke drifts around downtown San Diego. (Submitted to YourScene by gutinho)**

**WHAT IF?**

## COOP includes. . . 
	The activities of individual departments and agencies and their subcompartments to ensure that their essential functions are performed

COOP activities include:
Plans and procedures to ensure that essential functions are performed
Tests, training, and exercises (TT&E) essential for 	ensuring a viable COOP capability

- 	The activities of individual departments and agencies and their subcompartments to ensure that their essential functions are performed
- COOP activities include:
- Plans and procedures to ensure that essential functions are performed
- Tests, training, and exercises (TT&E) essential for 	ensuring a viable COOP capability

- What is COOP?

**Notes:**
Define COOP by explaining that COOP includes. . .
		The activities of individual departments and agencies and their 			subcompartments to ensure that their essential functions are performed.

## National Continuity Program Policy Guidance

- National Security Presidential Directive (NSPD) 51/ Homeland Security Presidential Directive (HSPD) 20
- Subject: Continuity Policy
- May 4, 2007

***“******A culture of continuity”***

## Benefits

- COOP is a good business practice. It enables agencies to continue their essential functions across a broad spectrum of hazards and emergencies:
- Natural
- Manmade
- Technological
- National security emergency

**Notes:**
Continuity planning is simply the good business practice of ensuring the execution of essential functions through all circumstances
Establish and ensure continuity of national priorities

FCD-1 & 2 published in Feb 2008, provides guidance to Federal Executive Branch departments and agencies for use in developing contingency plans and programs for continuity of operations (COOP).  

Stress the following points:
Governments at all levels have a fundamental responsibility to provide uninterrupted essential services to the public, regardless of circumstances.
The key component of this definition is essential functions, which will be discussed in detail during this course.

Plan for the full spectrum of emergencies (e.g. building fires, utility outages, transit sticks, nature and other man-made disasters). Operational within 12-hours of activation.

## COOP Challenges

- Similar challenges
- Limited to no budget for facilities and equipment
- MOUs
- Creative resource management
- Limited funded positions
- Business continuity gauged by profit/bottom-line
- Government COOP is driven by the National Essential Functions

**Notes:**
Identify those services that must be continued during an emergency
Planning for the execution of essential functions must be integrated into daily operations, functions, plans, and mission areas
Utilize Continuity Program Management Cycle to ensure continuity
The ultimate goal of continuity in the Executive Branch is the continuation of the eight National Essential Functions (NEF) which are the critical responsibilities of the Federal Government needed to lead and sustain the Nation
The Federal Government relies upon key partners at all levels of government and in the private sector to successfully execute its NEFs at all times, and especially during a crisis, is not an independent capability

## Key Elements of COOP Capability 

- Plans and Procedures
- Essential Functions
- Delegation of Authority
- Orders of Succession
- Alternate Facilities
- Interoperable Communications
- Vital Records
- Human Capital

- Test, Training, and Exercises (TT&E)
- Devolution
- Reconstitution

**Notes:**

Eleven (11) elements of a viable COOP Program  (SAME) 
Plans and procedures
Essential functions
Delegation of Authority
Orders of Successions
Alternate Operating Facilities
Interoperable Communications
Vital Records and Databases
Human Capital
Test, training, and exercises
Devolution of Control and Direction
Reconstitution

## What is new and different?

- D&A Continuity Coordinators
- Continuity Program Management Cycle
- Continuity Requirements and Metrics
- Risk Management
- Budgeting and Acquisition of Resources
- MEFs, PMEFs, and NEFs
- Four Continuity Plan Operational Phases:
- Readiness and Preparedness
- Activation and Relocation
- Continuity Operations
- Reconstitution
- Coordination with State, local, territorial and tribal governments and the Private Sector

## The critical activities that are performed by organizations, especially after a disruption of normal activities
There are three categories of essential functions:
National Essential Functions (NEF)
Primary Mission Essential Functions (PMEF)
Mission Essential Functions (MEF)

- There are three categories of essential functions:
- National Essential Functions (NEF)
- Primary Mission Essential Functions (PMEF)
- Mission Essential Functions (MEF)

- Essential Functions

## National Essential Functions

- 1.Ensuring the continued functioning of our form of government under the Constitution, including the functioning of the three separate branches of government;
- 2.Providing leadership visible to the Nation and the world and maintaining the trust and confidence of the American people;
- 3.Defending the Constitution of the United States against all enemies, foreign and domestic, and preventing or interdicting attacks against the United States or its people, property, or interests;
- 4.Maintaining and fostering effective relationships with foreign nations;

## National Essential Functions

- 5.Protecting against threats to the homeland and bringing to justice perpetrators of crimes or attacks against the United States or its people, property, or interests;
- 6.Providing rapid and effective response to and recovery from the domestic consequences of an attack or other incident;
- 7.Protecting and stabilizing the Nation’s economy and ensuring public confidence in its financial systems; and
- 8.Providing for critical Federal Government services that address the national health, safety, and welfare needs of the United States.

## COOP Concepts

- Use a minimal workforce **(Emergency Relocation Group/ERG)** to maintain essential functions at an alternate site **(Emergency Relocation Site/ERS).**
- Operational within 12 hours notice
- Sustaining operations for at least 30 days or until a permanent facility can become operational
- If ERG cannot maintain essential functions, devolve (transfer) those functions to another office/agency

## COOP Impacts

- Impact on the Organization:
- Leadership
- Operations
- Security
- Communications

**A viable COOP plan will minimize the adverse impacts of a COOP event!**

**Notes:**
Remind the group that an event serious enough to warrant execution of a COOP plan will have adverse impacts on the entire organization.  Explain that the severity of the impact depends on the nature and severity of the emergency and could range from a little to a lot.
	Normal lines of direction and control may be disrupted.
	Normal operations will be disrupted for a brief time or until reconstitution is 	completed after the emergency ends.
	Normal security arrangements will be disrupted and the organization could be 	vulnerable to further disruptions until the COOP site is activated and all 	employees get home or to a safe location.
	Normal communications links and methods will be disrupted until the COOP site is 	up and running and reconstitution is complete.
Stress that a comprehensive COOP capability will minimize these impacts.

## COOP Impacts

- You and your family:
- Uncertainty
- Personal and family security
- Job security
- Economic well-being

**A viable COOP plan and a family support plan will minimize the adverse impacts of a COOP event!**

**Notes:**
Point out that this slide lists potential issues for employees and their families in the event of an emergency requiring a COOP response.  Emphasize that these issues may impact all employees, whether they are members of the ERG or not.
Stress that a comprehensive COOP plan that includes a family support plan will minimize these impacts.

## Family support plans should:

- Provide a means for keeping employees and family members informed.
- Use READY.gov and OPM.gov to develop Family Preparedness plans
- Contact and communications information.
- Immediate Emergency Checklist:
- Medical
- Financial
- Automobile/Transportation
- Legal/Administrative
- Important documents
- Wills and Power of Authorities
- Titles and Registrations

## Continuity Program Management Cycle

**Plans and Procedures**

**Test, Training and Exercise**

**Evaluations, After Action Reports, and Lessons Learned**

**Develop Corrective Action Plans **

## IMMEDIATE NEEDS
Telephones
Photo copy machine
Fax machine
Printers
Computers
Facility
Cell Phones
Vehicles
Fuel Cards
Site Security
Hazmat/Site cleanup contract

**IMMEDIATE NEEDS**
- Telephones
- Photo copy machine
- Fax machine
- Printers
- Computers
- Facility
- Cell Phones
- Vehicles
- Fuel Cards
- Site Security
- Hazmat/Site cleanup contract

- USFS SCMRRD Office

## LESSONS LEARNED
Have a COOP Plan
Utilizing National Archives
Use thumb drives for back ups
Take lap top computers home
Deal with employee emotions/feelings
Track employees in facilities after hours/weekends/holidays
Know your agency claims procedure
Be able to list your losses
Check your contracts on leased equipment and responsibility
Know your cooperators
Los Angeles County Fire
City of Santa Clarita
Federal Executive Board
FEMA
National Archives
Procurement or contracting agent with a high warrant approval ability
Keep copies of equipment contracts on thumb drive

- Have a COOP Plan
- Utilizing National Archives
- Use thumb drives for back ups
- Take lap top computers home
- Deal with employee emotions/feelings
- Track employees in facilities after hours/weekends/holidays
- Know your agency claims procedure
- Be able to list your losses
- Check your contracts on leased equipment and responsibility
- Know your cooperators
- Los Angeles County Fire
- City of Santa Clarita
- Federal Executive Board
- FEMA
- National Archives
- Procurement or contracting agent with a high warrant approval ability
- Keep copies of equipment contracts on thumb drive

- USFS SCMRRD Office

## Summary

**Notes:**
Wrap up discussion the following key points:
 Most emergencies, even very severe emergencies, are temporary conditions. The COOP program provides the capability to continue essential government services through any emergency.  
 Viable COOP programs include comprehensive plans, tests, training, and exercises to ensure that desired capabilities are achieved and maintained.  
 Completing COOP planning and conducting TT&E helps ensure that the government can continue providing essential services to the public and preserve constitutional government.  Viable COOP plans enable a prompt response to emergencies and facilitate the timely return to normal operations.
 COOP emergencies can disrupt all organizations for a time and can threaten our well-being and that of our families.  

## “Anything adjustable will sooner or later need adjustment.”

***“******Anything adjustable will sooner or later need adjustment.”***
- - Ancient Volkswagen Proverb