National Continuity Policy: A Brief Overview
Released: 2007-10-12T00:00:00

Introduction

On May 9, 2007, President George W. Bush issued National Security Presidential Directive (NSPD) 51, which is also identified as Homeland Security Presidential Directive (HSPD) 20 (NSPD 51/HSPD 20), on National Continuity Policy. NSPD 51/HSPD 20 updates longstanding continuity policy expressed in various directives issued by previous administrations to assure that governing entities are able to recover from a wide range of potential operational interruptions. Interruptions for which contingency plans might be activated include localized acts of nature, accidents, technological emergencies, and military or terrorist attack-related incidents.

Continuity planning is not unique to government; efforts to assure essential operations are broadly integrated into many private sector industries. As with the private sector, government continuity planning is regarded by some observers as a "good business practice," and part of the fundamental mission of agencies as responsible and reliable public institutions. In the public and private sectors, continuity planning may be viewed as a process that incorporates preparedness capacities ranging from basic emergency preparedness to recovery plans and the resumption of normal operations. Unlike the private sector, however, federal continuity planning also incorporates efforts to maintain and preserve constitutional government, on the assumption that certain essential activities typically provided by government must be carried out with little or no interruption under all circumstances. Examples of those activities include the maintenance of civil authority, support for individuals and firms affected by an incident, infrastructure repair, or other action in support of recovery. Such a response presumes the existence of an ongoing, functional government to fund, support, and oversee recovery efforts.

To support the provision of essential government activities, NSPD 51/HSPD 20 sets out a policy "to maintain a comprehensive and effective continuity capability composed of continuity of operations and continuity of government programs in order to ensure the preservation of our form of government under the Constitution and the continuing performance of national essential functions (NEF) under all conditions." The directive identifies eight NEFs that "are the foundation for all continuity programs and capabilities and represent the overarching responsibilities of the federal government to lead and sustain the Nation during a crisis." These are as follows:

"Ensuring the continued functioning of government under the Constitution, including the functioning of the three separate branches of government; "Providing leadership visible to the Nation and the world and maintaining the trust and confidence of the American people; "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; "Maintaining and fostering effective relationships with foreign nations; "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; "Providing rapid and effective response to and recovery from the domestic consequences of an attack or other incident; "Protecting and stabilizing the Nation's economy and ensuring public confidence in its financial systems; and "Providing for critical Federal Government services that address the national health, safety, and welfare needs of the United States."

Since operations may be interrupted without warning, NSPD 51/HSPD 20 requires that continuity planning be incorporated into the daily operations of all executive departments and agencies. Executive branch continuity planning emphasizes "geographic dispersion of leadership, staff, and infrastructure to alternate facilities to increase survivability and maintain uninterrupted Government Functions." The directive requires the application of risk management principles "to ensure that appropriate operational readiness decisions are based on the probability of an attack or other incident and its consequences." By mandating planning based on risk analysis, incorporating continuity activities in day-to-day operations, and mandating the utilization of alternate facilities and staffing, the directive appears to incorporate planning assumptions and approaches used widely in the private sector.

Managing National Continuity Policy

NSPD 51/HSPD 20 designates the President to lead the activities of the federal government for ensuring constitutional government, and designates the Assistant to the President for Homeland Security and Counterterrorism as the National Continuity Coordinator (NCC). In coordination with the Assistant to the President for National Security Affairs, and without exercising directive authority, the NCC coordinates the development and implementation of continuity policy for executive branch departments and agencies. In consultation with the heads of appropriate executive departments and agencies, the NCC was required to lead the development of a National Continuity Implementation Plan for submission to the President. NSPD 51/HSPD 20 does not explicitly specify the appropriate departments and agencies.

The directive specifies a "Continuity Policy Coordination Committee (CPCC), chaired by a Senior Director from the Homeland Security Council (HSC) staff" appointed by the NCC, and designated as the main day-to-day forum for continuity policy coordination, but also indicates that the NCC will coordinate with the Assistant to the President for National Security Affairs. The directive designates the Secretary of Homeland Security "as the President's lead agent for coordinating overall continuity operations and activities of executive departments and agencies." Other than explicitly denying the NCC the capacity to exercise directive authority, the extent to which any official charged with continuity coordinating responsibilities can enjoin executive branch agencies to comply with their guidance or recommendations is unclear.

NSPD 51/HSPD 20 provides that federal executive branch departments and agencies are "assigned to a category in accordance with the nature and characteristics of its national security roles and responsibilities in support" of the NEFs. Agency leaders are required to execute their respective department or agency COOP plans in response to emergencies that affect their operations. In addition, each agency head is required to appoint a senior accountable official, at the assistant secretary level, as the continuity coordinator for the department or agency; identify and submit to the NCC agency mission essential functions and "develop continuity plans in support of the NEFs and the continuation of essential functions under all conditions;" plan, program, and budget for continuity capabilities; plan, conduct, and support annual tests and training, to evaluate program readiness and ensure the adequacy and viability of continuity plans and communications systems; and support other continuity requirements, "in accordance with the nature and characteristics of the agency's national security roles and responsibilities."

In addition to efforts within the federal executive branch, NSPD 51/HSPD 20 requires the integration of continuity planning with the "emergency plans and capabilities of state, local, territorial, and tribal governments, and private sector owners and operators of critical infrastructure, as appropriate, in order to promote interoperability and to prevent redundancies and conflicting lines of authority," and requires the Secretary of Homeland Security to coordinate that integration "to provide for the delivery of essential services during an emergency."