The purpose here is to clear up some common misunderstandings about Continuity in the federal response during emergency situations that our Nation faces. Continuity is an integral part in the National Response Framework (NRF) within each organizational department and agency. In today's world, there's a lot of wrong information on the internet, especially when it comes to things like two prevalent theories being circulated around communities, those are: the Law of War and the Devolution theory. We have developed this to dispel the misinformation that has been developed around the concept of continuity.
What we want to do is set the record straight. We'll explain why continuity planning is so important, how it fits into the NRF, and why it's crucial for making sure our important functions keep running during tough times. We're going to tackle these misunderstandings head-on and give you straightforward, reliable information.
Our goal here is to help you analyze what you are reading and make sure everyone understands what continuity planning means in the context of the NRF.
The landscape of Continuity planning and government operations in the United States is shaped by a range of key documents and regulations. These include Presidential Directives, Executive Orders, and legislative acts such as the National Defense Authorization Act (NDAA). In 2007, President George W. Bush issued the National Security Presidential Directive 51 (NSPD-51), establishing the framework for federal government continuity efforts and designating crucial roles and responsibilities. Homeland Security Presidential Directive 20 (HSPD-20) further emphasized the importance of maintaining essential functions during emergencies for federal executive branch departments and agencies. Additionally, wide misconstrued documents known as the Federal Continuity Directives (FCDs) issued by FEMA offer detailed instructions to federal entities. The Robert T. Stafford Disaster Relief and Emergency Assistance Act, also known as the Stafford Act, authorizes federal assistance to state and local governments during disasters and emergencies, indirectly influencing continuity planning at various levels. Finally, continuity planning isn't limited to the federal government, as state and local laws and regulations play a vital role in shaping procedures and responsibilities for continuity planning efforts at these levels. Together, these documents and regulations form the foundation of continuity planning and government operations across the country.
Presidential Policy Directive 40 (PPD-40) serves as a cornerstone in shaping the national policy for ensuring the continuity of programs, capabilities, and operations within the United States. Its significance lies in its pivotal role in maintaining a comprehensive and effective continuity capability through three key programs:
Continuity of Operations (COOP):
Designed to ensure the government functions seamlessly in the face of disruptive events.
Establishes protocols to guarantee the availability of essential services, preserve critical infrastructure, and protect key personnel.
Continuity of Government (COG):
Encompasses strategies to ensure the survival and functionality of the federal government in catastrophic incidents.
Involves provisions for alternative operational facilities, secure communication channels, and the mobilization of resources to sustain essential functions.
Enduring Constitutional Government (ECG):
Recognizes the significance of ECG in maintaining the fundamental principles and values embedded in the U.S. Constitution.
Entails the continuous operation of constitutional processes, the protection of democratic institutions, and the preservation of the rule of law.
At its core, PPD-40 is designed to safeguard the very fabric of the United States government, upholding the principles outlined in the Constitution. The overarching objective is to ensure the continuous and uninterrupted execution of the National Essential Functions within the Executive Branch under all conceivable conditions.
The implementation of COOP addresses the need for the government to function seamlessly in the face of disruptive events, establishing protocols to guarantee the availability of essential services, preserve critical infrastructure, and protect key personnel.
In parallel, COG encompasses strategies to ensure the survival and functionality of the federal government in the event of a catastrophic incident. This involves provisions for alternative operational facilities, secure communication channels, and the mobilization of resources to sustain essential functions.
Furthermore, PPD-40 recognizes the significance of Enduring Constitutional Government (ECG) in maintaining the fundamental principles and values embedded in the U.S. Constitution. This entails the continuous operation of constitutional processes, the protection of democratic institutions, and the preservation of the rule of law.
PPD-40 outlines the overarching continuity requirements for the Federal Executive Branch, directing the Secretary of Homeland Security, through the FEMA Administrator, to coordinate the implementation, execution, and assessment of continuity activities among Federal Executive Branch departments and agencies (D/As). Specifically, it mandates the FEMA Administrator to:
Develop and publish Federal Continuity Directives (FCDs).
Coordinate continuity operations.
Establish program and planning requirements.
Conduct biennial assessments of individual D/A continuity capabilities.
Lead federal continuity training and exercise programs.
Provide continuity planning guidance for state, local, tribal, and territorial governments, non-governmental organizations (NGOs), and private sector critical infrastructure owners and operators.
In 2020, the President issued Executive Order 13961, Governance and Integration of Federal Mission Resilience, and the Federal Mission Resilience Strategy (FMRS). This comprehensive approach integrates continuity and enterprise risk management to increase the resilience of day-to-day operations within the Federal Executive Branch. The framework aligns with the FMRS to support the federal government’s increasing resilience against all threats through an enduring structure of distributed risk and enhanced continuity capabilities.
National Security Presidential Directive 51 (NSPD-51) is a significant policy document that establishes a comprehensive national policy regarding the continuity of the Federal Government's structures and operations. It designates a single National Continuity Coordinator responsible for coordinating the development and implementation of continuity policies across federal agencies. NSPD-51 also assigns what are known as "National Essential Functions" to these federal agencies. It provides guidance not only for federal agencies but also for state governments and entities below the federal level, emphasizing the importance of creating an integrated national continuity program.
Within this framework, the National Continuity Plan comes into play. This plan outlines specific procedures to establish and maintain continuity, particularly during times of crisis. One of the notable aspects of the National Continuity Plan is its focus on the concept of "Enduring Constitutional Government."
This directive, according to the National Continuity Plan, refers to carrying out such continuing operations "with proper respect for the constitutional separation of powers among the branches, to preserve the constitutional framework under which the Nation is governed and the capability of all three branches of government to execute constitutional responsibilities and provide for orderly succession, appropriate transition of leadership, and interoperability and support of the National Essential Functions during a catastrophic emergency."
While the wording of these documents may not have foreseen concerns about government actions during times of crisis, it does serve as a clear statement of commitment to upholding the constitutional framework. This emphasis on adhering to Constitutional constraints helps dispel any misconceptions or conspiracy theories related to the suspension of the Constitution or the use of American troops for domestic law enforcement. In essence, it reaffirms the government's dedication to maintaining the rule of law, democratic principles, and the separation of powers during challenging times.
Presidential Policy Directive 8 on National Preparedness outlines key components crucial for enhancing the security and resilience of the nation. It establishes the National Preparedness Goal, which serves as a foundation for preparedness efforts across various levels of government and sectors. PPD-8 introduces the National Preparedness System, a framework designed to coordinate and integrate the nation's preparedness activities. The directive identifies core capabilities essential for effective preparedness, emphasizing the need for a comprehensive and all-encompassing approach. Furthermore, it introduces planning frameworks that guide the development of strategies and plans to address potential threats and hazards.
A central theme of PPD-8 is the engagement of the "whole community" in preparedness efforts. This approach recognizes that effective preparedness requires the involvement and collaboration of individuals, communities, organizations, and all levels of government. By embracing the Whole Community approach, PPD-8 encourages a collective and inclusive effort to enhance the nation's readiness for various challenges. The directive serves as a guiding document for national-level preparedness initiatives, emphasizing the importance of unity and collaboration in strengthening the nation's security and resilience.
The National Preparedness Goal (NPG) serves as a foundational document that articulates the collective readiness aspirations for the entire community in the face of diverse disasters and emergencies. This goal outlines a comprehensive vision of what it means for the "whole community" to be adequately prepared. The term "whole community" refers to the inclusive approach that involves individuals, communities, organizations, and all levels of government working collaboratively to enhance preparedness.
The NPG provides a framework for coordinating and aligning efforts across various sectors and levels of government. It establishes a common understanding of the capabilities and capacities necessary to effectively prevent, protect against, mitigate, respond to, and recover from disasters and emergencies of all types.
Key elements typically addressed in the National Preparedness Goal include:
Core Capabilities: Identifying the essential capabilities that the whole community must possess to address the various phases of emergency management.
Coordination and Integration: Emphasizing the need for coordinated and integrated efforts among different stakeholders, including federal, state, local, tribal, and territorial entities, as well as non-governmental organizations and the private sector.
Risk-Informed Approach: Incorporating a risk-informed perspective to ensure that preparedness efforts are tailored to the specific threats and hazards faced by different communities.
Whole Community Approach: Promoting the idea that everyone has a role to play in preparedness, and that collective action is necessary for a resilient and prepared nation.
By defining these aspects, the National Preparedness Goal provides a clear and comprehensive vision for achieving a state of readiness across the entire community, fostering a unified and collaborative approach to emergency management.
Before we dive into the Federal Continuity Directive (FCD) 1 and 2 there is the FCD Framework document: you can find it by clicking here. It is the most crucial document as it is the foundation to the entire program of Continuity. As it states: "This Framework is the first in a series of revised FCDs that build upon each other to provide direction and guidance for the Federal Executive Branch." Understand that the FCDs are directly relating to the executive branch no other branch of government. This framework was developed because of the requirements that are found in PPD-40, National Continuity Policy; Executive Order (EO) 13961, Governance and Integration of Federal Mission Resilience; and the Federal Mission Resiliency Strategy.
With Continuity planning the Federal Executive Branch must take an all-hazards approach to manage any disruption to its normal operations, "up to and including incidents or disruptions that occur with little to no warning." There are four planning factors that are considered in the FCD Framework, they are as follows:
Staff and Organization;
Equipment and Systems;
Information and Data; and
Sites.
Every department and agency within the executive branch is to "identify their essential functions; determine the planning factors needed to accomplish those functions; conduct risk assessments for each planning factor; and identify and implement continuity strategies addressing the areas of greatest vulnerability."
This framework is the foundation for a mission-focused, operational approach to mitigate impacts on these factors from current and future threats and hazards. And each organization is to prioritize their essential functions with potentially limited resources during disruptions by understanding the requirements of Staff and Organization, Equipment and Systems, Information and Data, and Sites to accomplish their mission. Their essential functions are their mission. And when the organization is able to take all this into consideration and assessing the vulnerabilities to the full spectrum of threats and hazards, they will better understand the overall risk to each essential function and how to strategize and mitigate the risks to keep the department operational and resilient against threats its vulnerable to.
This is the FCD Framework document in the most succint way possible for you to understand. This isnt some sort of marching orders to the military. It does not pertain to them at all as this document as well as the other FCDs are to construct a Continuity Program within each Department and Agency throughout the Executive Branch of Government.
The other two FCDs use this one, the Framework to use the "risk-based approach to decision-making; identify and mitigate negative impacts to essential functions; and help articulate the consequences of failure." The other two show the continuity elements and la lay out the requirements and standards that are needed for the continuity programs so that organizations can continue their essential functions. And they detail also the importance of how to "reconstitute operations after a disruption that requires the activation of continuity plans."
The Federal Continuity Directives (FCDs) 1 and 2 serve as pivotal guides in shaping the development of continuity plans and programs within the Federal Executive Branch. These directives are instrumental in ensuring the government's ability to function seamlessly in the face of potential disruptions.
FCD-1: Outlining Requirements
FCD-1 establishes the foundational framework requirements that agencies must adhere to when formulating their continuity plans. This directive serves as a comprehensive guide, offering a continuity elements that must be used in developing a COOP plan. Within its purview are key elements such as risk assessments, resource allocation, and the identification of essential functions critical to the sustained operation of the government.
FCD-1 directs agencies to develop clear and concise plans that encompass a wide range of potential scenarios. By doing so, it ensures that agencies are well-positioned to respond swiftly and decisively to any unforeseen circumstances, safeguarding the integrity of essential functions.
FCD-2: Essential Functions Identification, Business Process Analysis, and Business Impact Analysis
In tandem with FCD-1, FCD-2 delves deeper into the practical aspects of continuity planning. This directive provides explicit guidance on how to identify essential functions, conduct business process analysis, and perform business impact analysis. These components are essential in crafting resilient plans that not only prioritize critical functions but also evaluate the potential repercussions of disruptions.
FCD-2's focus on essential functions involves a meticulous examination of the core activities that must be sustained to uphold the government's mission and responsibilities. Through business process analysis, agencies gain insights into the intricate interdependencies among various functions, enabling a more holistic approach to continuity planning.
FCD-2 entails a thorough assessment of the potential consequences of disruptions on operations by using a Business Impact Analysis. This includes evaluating the financial, operational, and reputational implications, allowing agencies to prioritize resources effectively and allocate them where they are most needed.
In essence, FCDs 1 and 2 collectively provide a comprehensive roadmap for federal agencies, guiding them through the intricacies of continuity planning and ensuring a robust framework for the sustained and effective functioning of the Federal Executive Branch in any contingency.
The Continuity Guidance Circular (CGC) is a comprehensive guide designed to assist non-federal entities, including state and local governments, communities, and businesses, in developing their own continuity programs. Its primary objective is to emphasize the critical role of continuity planning in maintaining essential services and functions during disruptions, ultimately contributing to the overall resilience of the community.
The CGC seeks to unify the application of continuity principles, planning, and programs across the nation, providing guidance on the integration of continuity concepts and establishing a common foundation for understanding continuity. Emphasizing the shared responsibility of continuity across the whole community, the document includes individuals, local communities, private and nonprofit sectors, faith-based organizations, and all levels of government. It underscores the importance of continuity in preventing loss of life, facilitating effective governance, and supporting community recovery.
Aligning with the concept of resilience, the CGC advocates for an all-hazards, capability-based approach to preparedness planning, recognizing a wide range of threats and hazards. Continuity is portrayed as an interconnected concept and culture, reaching across communities, organizations, and individuals, and is considered a driving force for ensuring the continuation of essential functions and services.
Comprehensive continuity plans are highlighted as essential for ensuring the resiliency of resources and the means by which they are delivered, thereby contributing to the ongoing preparedness and response efforts at all levels of the nation.
Every day, people, organizations, and government agencies perform vital services and carry out essential functions that our neighbors and communities depend on. These connections between different groups are crucial for our way of life. Continuity planning ensures that the entire community has thought ahead about how to keep providing these essential services and functions when normal operations get disrupted. Without proper planning and following these continuity principles, our organizations, communities, and government may not be able to provide assistance to fellow citizens when they need it the most. This could lead to loss of life, elected officials being unable to fulfill their duties, organizations unable to respond effectively, and communities struggling to recover from disruptions.
Continuity is a concept "to unify the application of continuity principles, planning, and programs across the Nation." (FEMA Continuity Guidance Circular, 2018). Continuity is the ability to provide uninterrupted services to support before, during, and after an incident that disrupts normal operations.
The Presidential Policy Directive-21, focuses on the security and resilience of critical infrastructure. This defines resilience as the ability to get ready for and adapt to changing situations and bounce back quickly when things go wrong. Resilience isn't just about being tough; it's also about withstanding and recovering from intentional attacks, accidents, or natural disasters.
Continuity plays a crucial role in making sure our nation stays resilient. It's all about making sure we can keep our important functions going, no matter what happens. This means we need both federal and non-federal entities to work together to get ready for the biggest threats that could our nation. It's all about being well-prepared and strengthening the critical infrastructure to be more resilient in the face of potential dangers.
The responsibility for preparing our nation and ensuring the essential functions of our communities and citizens in times of crisis is shared by everyone. This means it's not just the government's job; it involves all of us, from individuals and local communities to private businesses, nonprofit organizations, faith-based groups, and all levels of government.
In other words, continuity isn't something only one organization or group has to worry about. It's not just a government program or limited to certain areas of expertise. Continuity is a concept that ties us all together. It's a way of thinking and acting that spreads across all communities, organizations, and people. It's something that leaders at all levels should take seriously and work on together.
To put it simply, we're all in this together when it comes to keeping our communities and citizens prepared and functioning during tough times.
The vision for continuity is to create a more resilient nation by fostering the whole community's involvement in integrating continuity plans and programs. The ultimate goal is to ensure the sustained operation of essential functions under all conditions, regardless of the challenges we may face. To realize this vision, the way that continuity is established is designed to be flexible and adaptable, catering to all types of emergencies and to each incident. Recognizing that continuity and building a resilient nation can't be approached as a one-size-fits-all program, continuity is adaptable that can be customized to suit the unique environment and circumstances encountered. This adaptability is essential in ensuring that our nation can effectively respond to and recover from any disruptions or emergencies it may encounter.
Continuity Planning is an essential responsibility shared by both federal and state governments, ensuring the uninterrupted performance of essential functions even in the face of disruptions or emergencies.
At the federal level, it guarantees that critical government agencies can maintain their operations, preserving the constitutional framework underpinning the nation's governance. This planning extends to strategies for leadership succession, enabling all branches of government to fulfill their constitutional responsibilities and maintain order during challenging times. It fosters unity of effort, providing a common doctrine and purpose that guides federal agencies in their preparedness and response efforts.
Similarly, at the state government level, continuity planning is crucial for ensuring that essential functions persist and that constitutional authority is upheld during emergencies. It aligns state resources and policies to ensure the stability and effective governance of the state even in the midst of crises. By adhering to continuity planning principles, federal and state governments collectively work towards safeguarding the continuity of essential functions and the enduring principles of constitutional governance, reinforcing the nation's resilience and preparedness during times of adversity.
Continuity of Operations (COOP) is all about making sure that any organization can keep doing its most important tasks, provide necessary services, and carry out critical functions even when things go wrong, like during a major problem or disaster. It's like having a backup plan to keep things running smoothly.
This backup plan is super important because it forms the foundation of how organizations handle tough times. It helps them stay on track and make sure they can continue doing what they need to do.
Think of COOP as a basic standard that every organization should follow. When all organizations have strong COOP plans, it builds a sort of national safety net. This safety net helps the whole country handle challenges, whether they're big storms, cyberattacks, or health crises, while still keeping important functions and services going. So, COOP is like our country's safety plan to keep things running even when it's tough out there, all based on continuity doctrine.
Continuity of government (COG) represents a coordinated endeavor spanning the executive, legislative, and judicial branches of government. Its purpose is to ensure the uninterrupted performance of essential functions within all three branches of government continue, both prior to, during, and after an emergency or threat. Unlike a program, COG is a result of a robust continuity capability. Its primary aim is to safeguard the constitutional authority of elected officials at all levels of government throughout the United States.
Disasters have the potential to trigger local or regional Continuity of Government (COG) scenarios by posing a threat to the ability of jurisdictions to carry out their statutory responsibilities, maintain essential functions, and provide crucial services. COG planning should be designed to adapt to different scales and levels, ensuring it is both scalable and flexible. This adaptability is essential to meet the diverse requirements, address varying threats, and respond to the unique needs of supported organizations or jurisdictions, whether they are small localities, large cities, or state, territorial, or tribal governments.
Enduring constitutional government (ECG) is all about the teamwork among the executive, legislative, and judicial branches to protect the rules and principles laid out in our Constitution, which is the foundation for how our nation is governed. This concept is primarily concerned with making sure that all three branches of government can still carry out their constitutional duties, even during emergencies or crises. It involves having plans in place for things like smooth transitions in leadership and the ability to continue important functions when things get tough.
Smaller communities might not have separate plans for COG and ECG, which is okay. The main goal is to ensure that government can still work and serve its people in challenging times.
What are Essential Functions?
Within the context of continuity planning, essential functions refer to those critical activities and responsibilities that federal departments and agencies must be able to carry out to maintain the viability of the federal government and provide essential services to the American people, even in the face of disruptions or crises.
The National Essential Functions (NEFs) are a set of core functions and responsibilities that federal executive departments and agencies are tasked with during continuity of government (COG) and national response efforts. These functions are a set of fundamental responsibilities and activities that various federal executive departments and agencies must uphold to ensure the continued operation of the government and the effective response to emergencies, crises, and national security threats.
In the event of a major catastrophe or a significant national security incident occurring in the National Capital Region, including Washington, D.C., all government agencies, including the White House, are required to have detailed Continuity of Operations (COOP) plans ready. These plans serve as a playbook for ensuring the continuity of constitutional government functions during a crisis.
As part of these plans, the President of the United States has the authority, as outlined in the Presidential Succession Act of 1947, and more specifically 3 U.S. Code § 19, to establish a temporary government, often referred to as a 'succession in government' as in the delegation of authority. This means that specific individuals, carefully chosen and designated, would be prepared to step into critical leadership roles temporarily if the regular government leadership becomes unavailable or if the continuity of constitutional government is threatened due to a major catastrophe, national emergency, or significant security incident.
This arrangement ensures the continuation of essential government functions and maintains constitutional governance during these exceptional circumstances, as prescribed by Article II, Section 1, Clause 6 of the U.S. Constitution, it states: "In Case of the Removal of the President from Office, or of his Death, Resignation, or Inability to discharge the Powers and Duties of the said Office, the Same shall devolve on the Vice President."
Additionally, each government agency identifies members of an 'Emergency Relocation Group' who are tasked with relocating to a secure and undisclosed location. These individuals are part of the agency's contingency plan, ready to carry out essential constitutional government functions when the Continuity Plan is activated. Their role is crucial in preserving the government's ability to function effectively and uphold the Constitution during times of crisis.