Continuity Of Operations Plan Template And Instructions .

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Continuity of Operations Plan Templateand Instructionsfor Federal Departments and AgenciesJuly 2011[Department/Agency Name][Month Day, Year][Department/Agency Name][Street Address][City, State Zip Code][Insert Federal Department/Agency Symbol]

CONTINUITY PLAN TEMPLATE AND INSTRUCTIONSThe purpose of this Template is to provide instructions, guidance, and sample text for thedevelopment of continuity plans and programs in accordance with Federal ContinuityDirectives (FCDs) 1 and 2 for the Federal executive branch. Continuity planningfacilitates the performance of executive branch essential functions during all-hazardsemergencies or other situations that may disrupt normal operations.This template follows the traditional functional Emergency Operations Plan formatdetailed in FEMA’s National Preparedness Directorate’s Comprehensive PreparednessGuide 101, Developing and Maintaining State, Territorial, Tribal, and Local GovernmentEmergency Plans, dated March 2009. By using this planning template, agencies willaddress each of the elements and requirements found in FCDs 1 and 2. Use of thistemplate is voluntary, and organizations are encouraged to tailor continuity plandevelopment to meet their own needs and requirements. This template is organized in aflexible format so that organizations may choose to use all portions or only certainsections of the template to build or improve their plan. However, if Federal executivebranch organizations choose not to use this template, they must ensure their continuityplans meet the requirements set forth in FCDs 1 and 2.An electronic version of this document, in portable document format (PDF) is availableon the FEMA website at htm. Torequest a Microsoft Word version please contact the National Continuity Programs,Continuity of Operations Division via e-mail at FEMA-NCP-FederalContinuity@dhs.gov. Questions concerning this template may be directed to:National Continuity ProgramsContinuity of Operations DivisionFederal Emergency Management Agency500 C Street, SW, Suite 515Washington, DC 20472FEMA-NCP-Federal-Continuity@dhs.gov(202) 646-3187Note: This document has been updated to reflect the change from the color-codedHomeland Security Advisory System (HSAS) to the Department of Homeland Security’sNational Terrorism Advisory System (NTAS) which was implemented in April 2011.1

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TABLE OF CONTENTSBASIC PLAN .5I.Promulgation Statement .5II.Record of Changes .6III.Record of Distribution .6IV. Purpose, Scope, Situations, and Assumptions .6A. Purpose. 6B. Scope . 7C. Situation Overview . 7D. Planning Assumptions . 8E. Objectives . 9F. Security and Privacy Statement . 10V.Concept of Operations .10A. Phase I: Readiness and Preparedness . 10B. Phase II: Activation and Relocation . 13C. Phase III: Continuity Operations . 17D. Phase IV: Reconstitution Operations . 18E. Devolution of Control and Direction . 21VI. Organization and Assignment of Responsibilities .22VII. Direction, Control, and Coordination .23VIII. Disaster Intelligence.24IX. Communications .25X.Budgeting and Acquisition .25XI. Plan Development and Maintenance .26XII. Authorities and References .26FUNCTIONAL ANNEXES .28I.Essential Functions .28A. Identification of Essential Functions . 30B. Identification of Continuity Personnel . 31II.Vital Records Management.33III.Continuity Facilities .36IV. Continuity Communications .383

V.Leadership and Staff .40A. Orders of Succession. 41B. Delegations of Authority. 42C. Human Capital . 43VI. Test, Training, and Exercises Program .45HAZARD-SPECIFIC APPENDICES .49ANNEX IMPLEMENTING INSTRUCTIONS .49I.Annex Implementing Instruction #1: Delegation of Authority.51ANNEX A. GLOSSARY . A-1ANNEX B. AUTHORITIES AND REFERENCES .B-1ANNEX C. ACRONYMS .C-14

BASIC PLANThe Basic Plan provides an overview of the organization’s approach to continuity ofoperations. It details continuity and organization policies, describes the organization, andassigns tasks. The plan elements listed in this chapter will provide a solid foundation forthe development of supporting annexes.I. Pr omulgation StatementPromulgation is the process that officially announces/declares a plan. It gives the planofficial status and gives both the authority and the responsibility to organizations toperform their tasks. The promulgation statement should briefly outline the organizationand content of the continuity of operations plan and describe what it is, who it affects, andthe circumstances under which it should be executed. The agency head, or a designee, mustapprove the continuity of operations plan. The promulgation document enters the plan “inforce.” Sample text for this section includes:The [Organization Name]’s mission is to [enter mission statement]. To accomplish thismission, [Organization Name] must ensure its operations are performed efficiently withminimal disruption, especially during an emergency. This document provides planning andprogram guidance for implementing the [Organization Name] Continuity of OperationsPlan and programs to ensure the organization is capable of conducting its essential missionsand functions under all threats and conditions.Key [Organization Name] personnel who are relocated under this plan are collectivelyknown as the [Insert name of group, such as Emergency Relocation Group]. Upon planactivation, these members will deploy to [insert continuity facility name]. Upon arrival,continuity personnel must establish an operational capability and perform essentialfunctions within 12 hours from the time of the activation of the Continuity Plan, for up to a30-day period or until normal operations can be resumed.This plan has been developed in accordance with guidance in Executive Order (EO) 12656,Assignment of Emergency Preparedness Responsibilities; National Security PresidentialDirective – 51/Homeland Security Presidential Directive – 20, National Continuity Policy;Homeland Security Council, National Continuity Policy Implementation Plan; FederalContinuity Directive (FCD) 1, Federal Executive Branch National Continuity Program andRequirements, February 2008; [Organization Name] Management Directive [enterDirective number and title]; and other related Directives and guidance.[Organization Head signs here][Enter Organization Head’s name here][Enter Organization Head’s title here][Enter Organization Name here]5

II. Recor d of ChangesWhen changes are made to the continuity plan outside the official cycle of plan review,coordination, and update, planners should track and record the changes using a record ofchanges table. The record of changes will contain, at a minimum, a change number, thedate of the change, the name of the person who made the change, and a description of thechange.SAMPLE: Document Change TableThe following table shows an example of how to track plan changes.ChangeNumberSectionDate ofChangeIndividual MakingChangeDescription of ChangeIII. Recor d of Distr ibutionThe record of distribution, usually in table format, indicates the title and the name of theperson receiving the plan, the agency to which the receiver belongs, the date of delivery,the method of delivery, and the number of copies delivered. The record of distribution canbe used to verify that tasked individuals and organizations have acknowledged theirreceipt, review, and/or acceptance of the plan.SAMPLE: Document Transmittal RecordThe following table shows an example of a record of distribution.Date ofDeliveryNumber of CopiesDeliveredMethod ofDeliveryName, Title, and Organization ofReceiverIV. Pur pose, Scope, Situations, and AssumptionsA. PURPOSEThe introduction to the continuity of operations plan should explain the importance ofcontinuity of operations planning to the organization and why the organization isdeveloping a continuity of operations plan. It may also discuss the background forplanning, referencing recent events that have led to the increased emphasis on the6

importance of a continuity of operations capability for the organization. Sample text forthis section includes:The [Organization Name]’s mission is to [enter mission statement]. To accomplish thismission, [Organization Name] must ensure its operations are performed efficiently withminimal disruption, especially during an emergency. This document provides planning andprogram guidance for implementing the [Organization Name] Continuity of OperationsPlan and programs to ensure the organization is capable of conducting its essential missionsand functions under all threats and conditions. While the severity and consequences of anemergency cannot be predicted, effective contingency planning can minimize the impact on[Organization Name] missions, personnel, and facilities.The overall purpose of continuity of operations planning is to ensure the continuity of theNational Essential Functions (NEFs) under all conditions. The current changing threatenvironment and recent emergencies, including acts of nature, accidents, technologicalemergencies, and military or terrorist attack-related incidents, have increased the need forviable continuity of operations capabilities and plans that enable agencies to continue theiressential functions across a spectrum of emergencies. These conditions, coupled with thepotential for terrorist use of weapons of mass destruction, have increased the importance ofhaving continuity programs that ensure continuity of essential government functions acrossthe Federal Executive Branch.B. SCOPEThis section describes the applicability of the plan to the organization as a whole,headquarters as well as subordinate activities, co-located and geographically dispersed,and to specific personnel groups in the organization. It should also include the scope of theplan. Ideally, plans should address the full spectrum of potential threats, crises, andemergencies (natural and man-made). Sample text for this section includes:This Plan applies to the functions, operations, and resources necessary to ensure thecontinuation of [Organization Name]’s essential functions, in the event its normaloperations at [Name primary operating facility] are disrupted or threatened withdisruption. This plan applies to all [Organization Name] personnel. [OrganizationName] staff must be familiar with continuity policies and procedures and their respectivecontinuity roles and responsibilities.This document ensures [Organization Name] is capable of conducting its essentialmissions and functions under all threats and conditions, with or without warning.C. SITUATION OVERVIEWThe situation section characterizes the “planning environment,” making it clear why acontinuity of operations plan is necessary. In this section, organizations should referencetheir risk assessment to summarize the hazards faced by their organization and the relativeprobability and impact of the hazards. Sample text for this section includes:According to NSPD 51/HSPD 20, it is the policy of the United States to maintain acomprehensive and effective continuity capability composed of Continuity of Operations7

and Continuity of Government programs in order to ensure the preservation of our form ofgovernment under the Constitution and the continuing performance of National EssentialFunctions under all conditions. Continuity requirements shall be incorporated into dailyoperations of all executive departments and agencies.Further, continuity planning must be based on the assumption that organizations will notreceive warning of an impending emergency. As a result, a risk assessment is essential tofocusing continuity planning. Risk-specific appendices that address the results of the[Organization Name] risk assessment are found later in the plan.The [Organization Name] continuity facilities were selected following an all-hazards riskassessment of facilities for continuity operations use. The [Organization Name] riskassessment is found at [insert document name and location or insert risk assessmentinformation in this section of the plan]. This risk assessment addresses the following foreach continuity facility: Identification of all hazards A vulnerability assessment to determine the effects of all hazards A cost-benefit analysis of implementing risk mitigation, prevention, or controlmeasures A formal analysis by management of acceptable risk Sufficient distance between each facility location or threatened area and otherfacilities or locations that are potential sources of disruptions or threats Sufficient levels of physical security required to protect against identified threats Sufficient levels of information security required to protect against identified threatsFurther, [Organization Name] has evaluated its daily operating facilities in accordancewith Interagency Security Commission Standards or applicable organization standards.This evaluation is found at [insert document name or location].D. PLANNING ASSUMPTIONSThis section should briefly describe the layout of the continuity of operations plan andfamiliarize the readers with underlying assumptions made during the planning process.Sample text for this section includes:This Continuity Plan is based on the following assumptions: An emergency condition may require the relocation of [Organization Name]’sEmergency Relocation Group (ERG) members to the continuity facility at[continuity facility name] The [continuity facility name] will support ERG members and the continuation of[Organization Name] essential functions by available communications andinformation systems within 12 hours or less from the time the Continuity ofOperations Plan is activated, for potentially up to a 30-day period or until normaloperations can be resumed8

[Organization Name] regional operations are unaffected and available to supportactions directed by the [title of organization head] or his successor. However, inthe event that ERG deployment is not feasible due to the loss of personnel, the[Organization Name] will devolve to [list devolution office/region][Insert additional assumptions here]E. OBJ ECTIVESAll plans and procedures should list the objectives that the plans are designed to meet.Continuity planning objectives are pre-identified in Federal Continuity Directive 1. Sampletext for this section includes: The continuity planning objectives that all Federal Executive Branch departmentsand agencies are required to meet are identified in Federal Continuity Directive 1(FCD 1), Federal Executive Branch National Continuity Program andRequirements, dated February 2008. The [Organization Name] continuity objectives are listed below:(1) Ensure that [Organization Name] can perform its Mission Essential Functions(MEFs) and Primary Mission Essential Functions (PMEFs), if applicable, underall conditions(2) Reduce the loss of life and minimize property damage and loss(3) Execute a successful order of succession with accompanying authorities in theevent a disruption renders [Organization Name] leadership unable, unavailable,or incapable of assuming and performing their authorities and responsibilities ofthe office(4) Reduce or mitigate disruptions to operations(5) Ensure that [Organization Name] has facilities where it can continue to performits MEFs and PMEFs, as appropriate, during a continuity event(6) Protect essential facilities, equipment, records, and other assets, in the event of adisruption(7) Achieve [Organization Name]’s timely and orderly recovery and reconstitutionfrom an emergency(8) Ensure and validate continuity readiness through a dynamic and integratedcontinuity test, training, and exercise program and operational capability9

F.SECURITY AND PRIVACY STATEMENTThis section details the classification of the Continuity Plan. At a minimum, agenciesshould classify their plan as “For Official Use Only,” as continuity plans and proceduresare sensitive, organization-specific documents. Further, if your continuity plan includes aroster of continuity personnel that includes personal information, such as telephonenumbers, that

Continuity of Operations Division via e-mail at . FEMA-NCP-Federal-Continuity@dhs.gov. Questions concerning this template may be directed to: National Continuity Programs . Continuity of Operations Division . Federal Emergency Management Agency . 500 C Street, SW, Suite 515 . Washington, DC 20472 . FEMA-NCP-Federal-Continuity@dhs.gov (202) 646-3187

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