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Federal Continuity Directive 1

March 5, 2008. 2. Purpose of this Briefing. This briefing is intended to provide an overview of Federal Continuity Directive 1 (FCD 1), focusing on the changes from prior guidance and implications impacting Continuity Managers as they develop their programs and plans. This is not a comprehensive r

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Federal Continuity Directive 1

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    1. Federal Continuity Directive 1 Overview of Concepts, Elements, and Requirements

    2. March 5, 2008 2

    3. March 5, 2008 3

    4. March 5, 2008 4

    5. March 5, 2008 5

    6. March 5, 2008 6

    7. March 5, 2008 7 FCD 1 and 2 Applicability and Scope These are Directives, no longer circulars, that mandate actions and compliance from: Executive Departments, Independent Establishments, Government Corporations, and the US Postal Service At all levels…regardless of location Also useful for State, local, territorial, and tribal governments and the private sector

    8. March 5, 2008 8 Roles and Responsibilities FCD 1 establishes (or reiterates) the roles and responsibilities of: The President The National Continuity Coordinator (NCC)? The leaders of DHS, OMB, OSTP, DOD, National Intelligence, OPM, GSA, and the Small Agency Council The Federal Executive Boards and Associations The Directors of all Federal executive agencies The Continuity Coordinators The Continuity Managers and Planners All individuals

    9. March 5, 2008 9

    10. March 5, 2008 10 Continuity Program Concepts Some new, some reinforced, all required: “Culture of continuity” Fully Integrated Continuity Planning Supporting the National Essential Functions Four pillars of program management Four phases of continuity planning and implementation Program Management Cycle Risk Management Cycle Budgeting and Acquisition of Resources Coordination with other players Reporting on Readiness

    11. March 5, 2008 11 “Culture of Continuity” The President directs the Executive branch to “reorient itself and to utilize an integrated, overlapping national continuity concept in order to ensure the preservation of our government and the continuing performance of essential functions.” Continuity is to be integrated into all aspects of daily operations, thus creating a “culture of continuity”

    12. March 5, 2008 12

    13. March 5, 2008 13 Support the NEFs Prioritizes support to the 8 established National Essential Functions (NEFs) as main goal of continuity. Ensuring the continued functioning of our form of government under the Constitution…. 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…. Maintaining and fostering effective relationships with foreign nations. Protecting against threats to the homeland and bringing to justice perpetrators of crimes or attacks…. 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. Providing for critical Federal Government services that address the national health, safety, and welfare needs of the United States.

    14. March 5, 2008 14 Four Pillars… An organization’s continuity capability – its ability to perform its essential functions continuously – rests upon key components or pillars, which are in turn built on the foundation of continuity planning and continuity program management

    15. March 5, 2008 15 …and Four Phases Continuity planning and implementation must address four phases: Readiness and preparedness Activation and relocation Continuity operations Reconstitution

    16. March 5, 2008 16 A Multi-Year Strategy and Program Management Plan (MYSPMP) will align this cycle with the budgetary needs

    17. March 5, 2008 17 Risk Management Cycle

    18. March 5, 2008 18 Budgeting and Acquisition of Resources D/As must identify and provide continuity funding. D/As must use a risk management methodology for allocation of budgetary resources. D/As must integrate budgets with a Multi-Year Strategy and Program Management Plan (MYSPMP). continued…

    19. March 5, 2008 19 Budgeting and Acquisition of Resources (cont.)? D/As must ensure the availability of those resources necessary to performing essential functions before, during, and after a continuity event. D/As must budget for and acquire continuity capabilities in accordance with NSPD-51/HSPD-20 and the National Communication System’s (NCS) Directive 3-10 (Continuity Communications) as applicable.

    20. March 5, 2008 20 Coordination with other players FCD 1 emphasizes the need to coordinate continuity programs with: Other Federal agencies State, local, territorial and tribal governments The private sector FCD 2, and the identification of essential functions, presents requirements for analyzing interdependencies and mitigating gaps and single points of failure. continued…

    21. March 5, 2008 21 Coordination (cont.)?

    22. March 5, 2008 22 Reporting on Readiness

    23. March 5, 2008 23

    24. March 5, 2008 24 Elements of a Viable Continuity Capability Essential Functions Orders of Succession Delegations of Authority Continuity Facilities Continuity Communications Vital Records Management Human Capital Test, Training and Exercise (TT&E)? Devolution of Control and Direction Reconstitution

    25. March 5, 2008 25 Essential Functions Guidance and strategy on defining and identifying Essential Functions has changed. Essential Functions are now categorized into the following: Mission Essential Functions (MEFs)? Primary Mission Essential Functions (PMEFs)? National Essential Functions (NEFs)? continued…

    26. March 5, 2008 26 Essential Functions (cont.)?

    27. March 5, 2008 27 Essential Functions (cont.)?

    28. March 5, 2008 28 Essential Functions (cont.)?

    29. March 5, 2008 29 Orders of Succession Principles remain consistent while some elements are enhanced. Orders of succession must be established for the agency lead and other key leaders. This includes planning to three positions deep and geographically dispersing successor where possible. Orders of Succession must be coordinated with General Counsel to ensure legality.

    30. March 5, 2008 30 Delegations of Authority Principles remain consistent while some elements are enhanced. Must be documented in advance, delineating limitations, authority and under which circumstances. Must ensure training of officials who are to assume responsibilities outside their usual work area. Must be included in the vital records package.

    31. March 5, 2008 31 Continuity Facilities Principles remain consistent while some elements are enhanced. Note the terminology. “Continuity facilities” includes alternate facilities and non-traditional options such as virtual offices (telework). Alternate facilities should mirror primary facilities to the extent possible, replicating essential capabilities by using systems and configurations used in daily activities. continued…

    32. March 5, 2008 32 Continuity Facilities (cont.)? When possible, alternate facilities should be in locations that provide power, telecommunications, and internet separate from the grids that provide to the primary facility. Risk Assessments on the facilities must be conducted and they must be re-evaluated at least annually for suitability and functionality.

    33. March 5, 2008 33 Continuity Communications Principles remain consistent while many elements are enhanced. Note the terminology change, formerly Interoperable Communications. D/As must implement minimum communications requirements for its HQs and its continuity facilities, in accordance with NCS Directive 3-10, NCS Manual 3-10-1, and other established communications requirements. continued…

    34. March 5, 2008 34 Continuity Communications (cont.)? D/As must possess all necessary communications capabilities, quantities, and modes/medias needed to complete agency responsibilities under all conditions. If the D/A shares a continuity facility with another agency, have a signed agreement between the agencies ensuring that each has adequate access to communications resources.

    35. March 5, 2008 35 Vital Records Management Principles remain consistent while some elements are enhanced. Terminology change: Legal and Financial records are now Rights and Interests records. D/As must identify vital records and assign responsibility for those records to appropriate personnel. Vital records program and plans must be integrated into the overall continuity programs and plans. continued…

    36. March 5, 2008 36 Vital Records Management (cont.)? Records must be reviewed, rotated, or cycled at least annually to ensure that they are current. Vital Records Plan Packet must be updated annually. Multiple forms of media for redundant storage should be utilized.

    37. March 5, 2008 37 Human Capital Principles remain consistent while many elements are enhanced. D/A policies should address the human capital needs of all employees, not just continuity personnel, and be reviewed and updated annually. The Chief Human Capital Officer or Director of Human Resources must ensure that the agency policies remain current and relevant to changing environments or evolving threats. continued…

    38. March 5, 2008 38 Human Capital (cont.)? Agencies must: Identify a human capital liaison—a continuity coordinator or a continuity manager—to work with the agency’s human resources and emergency planning staff when developing the agency’s emergency plans. Develop and implement a process to identify, document, communicate with and train continuity personnel. continued…

    39. March 5, 2008 39 Human Capital (cont.)? Agencies must: Ensure that continuity personnel are officially informed of their roles or designations by providing documentation to ensure that continuity personnel know and accept their roles and responsibilities. Ensure that personnel understand their roles and responsibilities and participate in their agency’s continuity test, training, and exercises (TT&E) program Provide guidance to continuity personnel on individual preparedness measures they should take to ensure response to a continuity event. continued…

    40. March 5, 2008 40 Human Capital (cont.)? Agencies must: Implement a process for communicating agency status to all staff. Communicate how, and the extent to which, employees are expected to remain in contact with their agencies during any closure situation. Implement a process and procedures for contacting and accounting for all staff in the event of an emergency. Provide guidance to all employees on developing Family Support Plans. continued…

    41. March 5, 2008 41 Human Capital (cont.)? Agencies must: Implement a process to communicate their human capital guidance for emergencies (pay, leave, staffing and other human resources flexibilities) to managers and make staff aware of that guidance in an effort to help agencies continue essential functions during an emergency. Institute methods for staff to become aware and familiar with the human capital guidance during emergencies, such as utilizing an intranet website or employee orientation briefing.

    42. March 5, 2008 42 Test, Training and Exercises Principles remain consistent while some elements are enhanced. D/As should refer to HSEEP for exercise and evaluation guidance. Must submit an annual training report to FEMA. Revised TT&E schedule. Some additions include mandatory devolution and reconstitution training.

    43. March 5, 2008 43 Devolution of Control and Direction Principles remain consistent while some elements are enhanced. Requirement of continuity plan. Devolution planning must include all elements of continuity planning. Annual training and biennial exercises required.

    44. March 5, 2008 44 Reconstitution Operations Principles remain consistent while some elements are enhanced. Annual training on reconstitution procedures is required.

    45. March 5, 2008 45

    46. March 5, 2008 46 Requirements of continuity plans In addition to the overarching program concepts and elements of a viable continuity capability, Annex A of FCD 1 identifies 25 subjects which must be included in the written continuity plan. This section summarizes those 25 subjects. continued…

    47. March 5, 2008 47 Requirements of continuity plans (cont.)? Identify MEFs, and PMEFs as applicable. Address the 10 elements of a viable continuity capability and remain compliant with their requirements. Identify provisions for the acquisition of necessary personnel and resources needed to be operational at the continuity site within 12 hours for up to 30 days. continued…

    48. March 5, 2008 48 Requirements of continuity plans (cont.)? Identify the availability of communications capabilities at primary sites, alternate sites, in transit, and other sites. Identify a reconstitution and recovery process. Outline a process for determining readiness posture and a decision-making process on implementation. continued…

    49. March 5, 2008 49 Requirements of continuity plans (cont.)? Establish procedures for alert and notification, including monitoring of external awareness systems like HSAS. Define roles and responsibilities of those who support the continuity program. Establish and maintain contact roster. continued…

    50. March 5, 2008 50 Requirements of continuity plans (cont.)? Outline capability for communicating with non-continuity personnel during a continuity event. Develop the plan so it may be implemented with, or without warning. Identify and prepare continuity facilities. continued…

    51. March 5, 2008 51 Requirements of continuity plans (cont.)? Include an all-hazards risk assessment for continuity facilities. Recommend contents of drive-away kits and family support plans, in order to increase personal preparedness throughout the organization.

    52. March 5, 2008 52 Questions and Feedback

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